[Federal Register Volume 65, Number 37 (Thursday, February 24, 2000)]
[Notices]
[Pages 9322-9993]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-4123]



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Part III





Department of Housing and Urban Development





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Super Notice of Funding Availability (SuperNOFA) for Housing, Community 
Development and Empowerment Programs and Section 8 Housing Voucher 
Assistance for FY 2000; Notice

  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4560-N-01]


Super Notice of Funding Availability (SuperNOFA) for HUD's 
Housing, Community Development and Empowerment Programs and Section 8 
Housing Voucher Assistance for Fiscal Year 2000

AGENCY: Office of the Secretary, HUD.

ACTION: Super Notice of Funding Availability (SuperNOFA) for HUD Grant 
Programs.

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SUMMARY: This Fiscal Year 2000 Super Notice of Funding Availability 
(SuperNOFA) announces the availability of approximately $2.424 billion 
in HUD program funds covering 39 grant categories within programs 
operated and administered by HUD offices and Section 8 housing voucher 
assistance.
    The General Section of this SuperNOFA provides the application 
procedures and requirements that are applicable to all the programs in 
this SuperNOFA. The Programs Section of this SuperNOFA provides a 
description of the specific programs for which funding is made 
available and describes any additional procedures and requirements that 
are applicable to a specific program. Please be sure you read both the 
General Section and the Program Section of this SuperNOFA to ensure you 
respond to all the requirements for funding.

APPLICATION DUE DATES

    The information in this ``APPLICATION DUE DATES'' section applies 
to all programs that are part of this SuperNOFA. You, the applicant, 
must submit a completed application to HUD no later than the 
application due date established for the program for which you are 
seeking funding. HUD will not accept for review and evaluation any 
applications sent by facsimile (fax).

ADDRESSES AND APPLICATION SUBMISSION PROCEDURES

    Addresses. You, the applicant, must submit a complete application 
to the location identified in the Programs Section of this SuperNOFA. 
When submitting your application, please refer to the name of the 
program for which you are seeking funding.
    For Applications to HUD Headquarters. If your application is due to 
HUD Headquarters, you must send the application to the following 
address: Department of Housing and Urban Development, 451 Seventh 
Street, SW, Washington, DC 20410 (see the Program Chart or Programs 
Section for Room location and additional information regarding the 
addresses for application submission). Please make sure that you note 
the room number. The correct room number is very important to ensure 
that your application is not misdirected.
    For Applications to HUD Field Offices. If your application is 
required to be submitted to a HUD Field Office, please see the Programs 
Section for the exact office location for submission of your 
application.
    Applications Submission Procedures. Mailed Applications. Your 
application will be considered timely filed if your application is 
postmarked on or before 12:00 midnight on the application due date and 
received by the designated HUD Office on or within ten (10) days of the 
application due date.
    Applications Sent by Overnight/Express Mail Delivery. If your 
application is sent by overnight delivery or express mail, your 
application will be timely filed if it is received before or on the 
application due date, or when you submit documentary evidence that your 
application was placed in transit with the overnight delivery/express 
mail service by no later than the application due date.
    Hand Carried Applications. Hand-carried to HUD Headquarters. If 
your application is required to be submitted to HUD Headquarters, and 
you arrange for the application to be hand carried, hand carried 
applications delivered before and on the application due date must be 
brought to the specified location at HUD Headquarters and room number 
between the hours of 8:45 am to 5:15 pm, Eastern time. Applications 
hand carried on the application due date will be accepted in the South 
Lobby of the HUD Headquarters Building at the above address from 5:15 
pm until 12:00 midnight, Eastern time. This deadline date is firm. 
Please make appropriate arrangements to arrive at the HUD Headquarters 
Building before 12:00 midnight, Eastern time, on the application due 
date.
    Hand-carried to HUD Field Office. If your application is required 
to be submitted to a HUD Field Office, your application must be 
delivered to the appropriate HUD Field Office in accordance with the 
instructions specified in the Programs Section of the SuperNOFA. A hand 
carried application will be accepted at the specified HUD Field Office 
during normal business hours before the application due date. On the 
application due date, business hours will be extended to 6:00 pm, local 
time. (Appendix A-1 to this General Section of the SuperNOFA lists the 
HUD Field Offices and the hours of operation.) Please be sure to arrive 
at the HUD Field Office with adequate time to submit the application 
before the 6:00 pm deadline on the application due date.
    Copies of Applications to HUD Offices. The Programs Section of this 
SuperNOFA may specify that to facilitate the processing and review of 
your application, a copy of the application also must be sent to an 
additional HUD location (for example, a copy to the HUD Field Office if 
the original application is to be submitted to HUD Headquarters, or a 
copy to HUD Headquarters, if the original application is to be 
submitted to a HUD Field Office). Please follow the directions of the 
Programs Section to ensure that you submit your application to the 
proper location. For some programs, HUD requests additional copies in 
order to expeditiously review your application, and to ensure that all 
reviewers receive complete applications to review. HUD appreciates your 
assistance in providing the copies. Please note that for those 
applications for which copies are to be submitted to the Field Offices 
and HUD Headquarters, timeliness of submission will be based on the 
time your application is received at HUD Headquarters.

FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE

    The information in this section is applicable to all programs that 
are part of this SuperNOFA. This section describes how you may obtain 
application kits, further information about the SuperNOFA and technical 
assistance. A guidebook to HUD programs, titled ``Connecting with 
Communities: A User's Guide to the HUD Programs and the 2000 SuperNOFA 
Process.'' This guidebook provides a brief description of all of HUD's 
programs, a description of the SuperNOFA programs, and eligible 
applicants for these programs, and examples of how programs can work in 
combination to serve local community needs. The main sources for 
obtaining this information are:
    The SuperNOFA Information Center, which you may reach by calling 1-
800-HUD-8929 or the Center's TTY number at 1-800-HUD-2209; and
    HUD's web site on the Internet at http://www.hud.gov.
    For Application Kits and SuperNOFA User Guide. HUD is pleased to 
provide you with the FY 2000 application kits and/or a guidebook to all 
HUD programs that are part of this SuperNOFA. For some announcements of 
funding

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availability in this SuperNOFA, the process for applying for funds is 
so simple no application kit is required. Where this is the case, the 
program section for that funding will note that there is no application 
kit. The application kits are designed to guide you through the 
application process and ensure that your application addresses all 
requirements for the program funding you are seeking. Please note that 
if there is a discrepancy between information provided in the 
application kit and the information provided in the published 
SuperNOFA, the information in the published SuperNOFA prevails. 
Therefore, please be sure to review your application submission against 
the requirements in the SuperNOFA.
    You may request general information and application kits from the 
SuperNOFA Information Center. When requesting an application kit from 
the SuperNOFA Information Center, please refer to the name of the 
program of the application kit you are interested in receiving. Please 
be sure to provide your name, address (including zip code), and 
telephone number (including area code). To ensure sufficient time to 
prepare your application, requests for application kits can be made 
immediately following publication of the SuperNOFA. The SuperNOFA 
Information Center opens for business simultaneously with the 
publication of the SuperNOFA.
    The SuperNOFA Information Center (1-800-HUD-8929) can provide you 
with assistance, application kits, and guidance in determining which 
HUD Office(s) should receive a copy of your application. Persons with 
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. Additionally, you can obtain information on this 
SuperNOFA and application kits for this SuperNOFA through the HUD web 
site on the Internet at http://www.hud.gov.
    Consolidated Application Submissions. If you, the applicant, would 
like to apply for funding under more than one program in this 
SuperNOFA, you need only submit one originally signed SF-424 and one 
set of original signatures for the other standard assurances and 
certifications, accompanied by the matrix that is provided in each 
application kit. As long as you submit one originally signed set of 
these documents with an application, you need only submit copies of 
these documents with any additional application you submit. Your 
application should identify the program for which you have submitted 
the original signatures for the standard assurances and certifications. 
Additionally, the Programs Section may specify additional forms, 
certifications, assurances, or other information that may be required 
for a particular program in this SuperNOFA.
    For Further Information. For answers to your questions about this 
SuperNOFA, you have several options. You may call, during business 
hours, the SuperNOFA Information Center at 1-800-HUD-8929, or you may 
contact the HUD Office or Processing Center serving your area at the 
telephone number listed in the application kit for the program in which 
you are interested. If you are a person with a hearing or speech 
impairment you may call the Center's TTY number at 1-800-HUD-2209. You 
may also obtain information on this SuperNOFA and application kits for 
this SuperNOFA through the HUD web site on the Internet at http://www.hud.gov.
    For Technical Assistance. Before the application due date, HUD 
staff will be available to provide you with general guidance and 
technical assistance about this SuperNOFA. HUD staff, however, are not 
permitted to assist in preparing your application. Following selection 
of applicants, but before awards are made, HUD staff are available to 
assist in clarifying or confirming information that is a prerequisite 
to the offer of an award or Annual Contributions Contract (ACC) by HUD.
    Satellite Broadcasts. HUD will hold information broadcasts via 
satellite for potential applicants to learn more about the programs in 
this SuperNOFA and preparation of the applications. For more 
information about the date and time of the broadcast, you should 
consult the HUD web site at http://www.hud.gov.

INTRODUCTION TO THE FY 2000 SUPERNOFA

HUD'S FY 2000 SUPERNOFA PROCESS

Background

    This year marks the third year that HUD is issuing a SuperNOFA for 
almost all of its competitive grant programs, and the first year, as 
further discussed below, that HUD has added to the SuperNOFA its 
announcements of funding availability for Section 8 housing voucher 
assistance for certain initiatives. The SuperNOFA approach, in which 
the great majority of HUD's competitive funds are announced in one 
document, is designed to simplify the application process, bring 
consistency and uniformity to the application and selection process, 
and accelerate the availability of funding. Equally important, the 
SuperNOFA approach is designed to increase the ability of applicants to 
consider and apply for funding under a wide variety of HUD programs. 
The SuperNOFA provides a ``menu'' of HUD competitive programs. From 
this menu, communities will be made aware of funding available for 
their jurisdictions. Nonprofits, public housing agencies, local and 
State governments, tribal governments and tribally designated housing 
entities, veterans service organizations, faith-based organizations and 
others will be able to identify the programs for which they are 
eligible for funding.
    The most creative and novel element of the SuperNOFA is that it 
places heavy emphasis on the coordination of activities assisted by HUD 
funds to provide (1) greater flexibility and responsiveness by 
potential grantees in meeting local housing and community development 
needs, and (2) greater flexibility for eligible applicants to determine 
what HUD program resources best fit the community's needs. The 
SuperNOFA's promotion of coordination and comprehensive planning of HUD 
assistance reduces duplication in the delivery of services by 
organizations and communities, and allows for delivery of a wider more 
integrated array of services, thereby resulting in more efficient use 
of HUD funds to more effectively serve a greater number of those most 
in need of HUD assistance.

Changes Made in the SuperNOFA Process for FY 2000

    Addition of Section 8 Housing Voucher Assistance for Certain 
Initiatives. In the FY 2000 SuperNOFA, HUD adds three NOFAs that 
provide Section 8 housing voucher funding for persons with disabilities 
under the following initiatives: (1) Mainstream housing opportunities 
for persons with disabilities (Mainstream Housing); (2) rental 
assistance for non-elderly persons with disabilities related to certain 
types of Section 8 project-based developments and Section 202, 
221(d)(3) and Section 236 developments (Certain Developments); and (3) 
rental assistance for non-elderly persons with disabilities in support 
of designated housing plans (Designated Housing). Although in prior 
years, these NOFAs were published independently of the SuperNOFA, HUD 
believes that the inclusion in this SuperNOFA of funding for Mainstream 
Housing Opportunities for Persons with Disabilities is especially 
helpful for nonprofit organizations coordinating housing assistance 
proposals for persons with disabilities under the Section 811 Program 
of Supportive Housing for Persons with Disabilities. (Please note

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that the notices of funding availability for Section 8 Family Self-
Sufficiency Program Coordinators, and Section 8 voucher assistance for 
Fair Share Allocation of Incremental Voucher Funding are not part of 
the SuperNOFA but will be published in the near future.)
    Encouraging Participation in Certain Policy Initiatives. In 
addition to the policy initiatives for which HUD encouraged applicant 
participation in the FY 1999 SuperNOFA, HUD adds two additional 
initiatives to this year's SuperNOFA. They are:
    (1) Partnership for Advancing Technology in Housing. President 
Clinton officially launched the Partnership for Advancing Technology in 
Housing (PATH) on May 4, 1998, in Los Angeles, California, during 
ground-breaking ceremonies for 186 energy-efficient, moderately priced 
homes. HUD's FY 2000 SuperNOFA encourages this partnership. PATH is 
discussed in more detail in Section VI of the General Section of this 
SuperNOFA.
    (2) Bridging the Digital Divide. Bridging the Digital Divide is an 
initiative whose objective is to provide access to computers to low- 
and moderate-income families and children who do not have access and 
therefore may be disadvantaged with respect to education, work and 
training opportunities. The Bridging the Digital Divide Initiative is 
discussed in more detail in Section VI of the General Section of this 
SuperNOFA.
    Civil Rights/Fair Housing Compliance Certification. Applicants 
familiar with the HUD SuperNOFA may note that the certification that 
the applicant will comply with the requirements of the Fair Housing Act 
and civil rights and nondiscrimination statutes has been removed from 
the list of required forms, certifications and assurances. Although HUD 
has removed the independent certification for compliance with fair 
housing and civil/rights nondiscrimination requirements, the 
certification requirement remains. The certification is part of the 
Standard Form for Assurances. For Non-Construction Programs that form 
is SF-424B; for Construction Programs, the form is SF-424D.
    Program Changes. The main difference between the FY 2000 SuperNOFA 
and the FY 1999 SuperNOFA are the programs that comprise the SuperNOFA. 
As noted earlier, the SuperNOFA adds three new funding availability 
announcements that provide Section 8 voucher funding for specified 
persons.
    Programs that are no longer included in the SuperNOFA are HUD's 
Comprehensive Improvement Assistance Program (CIAP) and Public Housing 
Drug Elimination Program (PHDEP), which now distribute funds through 
formula. (CIAP funds will eventually become part of HUD's new Capital 
Fund Program, which also will be distributed by formula.) HUD's 
Multifamily Drug Elimination Program and the New Approach Anti-Drug 
Program remain part of the SuperNOFA. Additionally, this FY 2000 
SuperNOFA includes Public Housing Drug Elimination Technical Assistance 
for Safety and Security.
    HUD's Tenant Opportunities Program (TOP) and Economic Development 
Supportive Services Program (EDSS) have been replaced by a new 
program--the Resident Opportunities and Self-Sufficiency (ROSS) 
Program.
    In this FY 2000 SuperNOFA, in addition to the Hispanic Serving 
Institutions Assisting Communities Program, there is also funding for 
the Alaska Native/Native Hawaiian Institutions Assisting Communities 
Program.
    HUD's Healthy Homes Initiative that was published as a separate 
NOFA in FY 1999, is part of the FY 2000 SuperNOFA.
    Inclusion of Application Forms. HUD is including with this 
publication of the SuperNOFA the application forms you will need to 
fully complete your application. Application kits have been prepared 
and will also be available after publication of this SuperNOFA, but the 
inclusion of application forms in this publication minimizes the 
possibility of any delay in timely completion and submission of 
applications.

Organization of the SuperNOFA

    The SuperNOFA is divided into two major sections. The General 
Section of the SuperNOFA describes the procedures and requirements 
applicable to all applications. The Programs Section of the SuperNOFA 
describes each program that is part of this SuperNOFA. For each 
program, the Programs Section describes the eligible applicants, 
eligible activities, factors for award, and any additional requirements 
or limitations that apply to the program.
    Please read carefully both the General Section and the Programs 
Section of the SuperNOFA for the program(s) for which you are applying. 
Your careful reading will ensure that you apply for program funding for 
which your organization is eligible to receive funds and that you 
fulfill all the requirements for that program(s).
    As part of the simplification of this funding process, and to avoid 
duplication of effort, the SuperNOFA provides for consolidated 
applications for several of the programs that are part of this 
SuperNOFA. HUD programs that provide assistance for, or complement, 
similar activities (for example, the Continuum of Care programs and CPD 
Technical Assistance programs) have a consolidated application that 
reduces the administrative and paperwork burden applicants would 
otherwise encounter in submitting a separate application for each 
program. The Program Chart in this introductory section of the 
SuperNOFA identifies the programs that have been consolidated and for 
which a consolidated application is made available to eligible 
applicants.

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    As noted earlier in this Introduction to the FY 2000 SuperNOFA, HUD 
is providing copies of the application forms in this publication. The 
standard forms, certifications and assurances applicable to all 
programs, or the great majority of programs, in the SuperNOFA follow 
the General Section as Appendix B. The forms and any additional 
certifications and assurances that are unique to the individual program 
will follow that program section of the SuperNOFA.
    The specific statutory and regulatory requirements of the programs 
that are part of this SuperNOFA continue to apply to each program. The 
SuperNOFA will identify, where necessary, the statutory requirements 
and differences applicable to the specific programs. Please pay careful 
attention to the individual program requirements that are identified 
for each program. Note that not all applicants are eligible to receive 
assistance under all programs identified in this SuperNOFA.

The Programs of This SuperNOFA and the Amount of Funds Allocated

    The programs that are part of this SuperNOFA are identified in the 
chart below. The approximate available funds for each program are based 
on appropriated funds, and for some programs, the available funding 
include funds already recaptured. In the event: (1) HUD recaptures 
funds (either for programs for which funding already reflects 
recaptured funds or other programs for which funding does not reflect 
recaptured funds), or (2) other funds become available for any program, 
HUD reserves the right to increase the available funding amount for a 
program by the additional amounts that become available.
    The chart also includes the application due date for each program, 
the OMB approval number for the information collection requirements 
contained in the specific program, and the Catalog of Federal Domestic 
Assistance (CFDA) number.

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    Paperwork Reduction Act Statement. The information collection 
requirements in this SuperNOFA have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520). The chart shown above provides the OMB approval 
number for each program that is part of this SuperNOFA. Where the chart 
notes that an OMB number is pending, this means that HUD has submitted 
the information to OMB to obtain an approval number and HUD's request 
for the number is pending. As soon as HUD receives the approval number, 
the number will be published in the Federal Register and provided to 
the SuperNOFA Information Center. Under the Paperwork Reduction Act, 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.

General Section of the SuperNOFA

I. Authority; Purposes of the FY 2000 SuperNOFA; Funding Available; 
Eligible Applicants and Eligible Activities

    (A) Authority. HUD's authority for making funding under this 
SuperNOFA is the Fiscal Year 2000 Department of Veterans Affairs and 
Housing and Urban Development and Independent Agencies Appropriations 
Act, 2000 (Pub.L. 106-74, 113 Stat. 1047, approved October 20, 1999) 
(FY 2000 HUD Appropriations Act). Generally, the authority is not 
repeated in the individual program sections of this SuperNOFA. The 
authority provision of the program sections identify additional laws 
and regulations that authorize the requirements listed for the funding 
competitions that make up this SuperNOFA.
    (B) Purposes. The purposes of this SuperNOFA are to:
    (1) Make funding available to empower communities and residents. 
The funding made available by this SuperNOFA will assist community 
leaders and residents, particularly low-and moderate-income residents, 
in using HUD funds to develop viable communities and provide decent 
housing for all citizens, without discrimination.
    (2) Simplify the application process for funding under HUD 
programs. This year's SuperNOFA continues to provide a single, uniform 
set of rating factors and submission requirements. This year's 
SuperNOFA also allows, as did last year's, for you, the applicant, to 
apply for more than one program with a single application.
    (3) Promote comprehensive approaches to housing and community 
development. Through the SuperNOFA process, HUD encourages you, the 
applicant, to focus on the interrelationships that exist in a community 
and in HUD's funding programs, and to build community-wide efforts that 
coordinate the resources of multiple applicants and programs. To 
successfully address community needs and solve community problems, and 
to take advantage of existing resources, HUD encourages members of a 
community to join together and pool all available resources in a 
common, coordinated effort. By making all of HUD's competitive funding 
available in one document, HUD allows you, the applicant, to be able to 
relate the activities proposed for funding under this SuperNOFA to the 
community's Consolidated Plan and Analysis of Impediments to Fair 
Housing Choice.
    (C) Funding Available. As noted in the Introduction Section to the 
SuperNOFA, the HUD programs that are part of this SuperNOFA are 
allocated amounts based on appropriated funds. If HUD recaptures funds 
in any program, HUD reserves the right to increase the available 
funding amounts by the amount of funds recaptured.
    (D) Eligible Applicants and Eligible Activities. The Programs 
Section of the SuperNOFA describes the eligible applicants and eligible 
activities for each program.

II. Requirements and Procedures Applicable to All Programs

    Except as may be modified in the Programs Section of this 
SuperNOFA, or as noted within the specific provisions of this Section 
II, the requirements, procedures and principles listed below apply to 
all programs that are part of this SuperNOFA. Please be sure to read 
the Programs Section of the SuperNOFA for additional requirements or 
information.
    (A) Statutory Requirements. To be eligible for funding under this 
SuperNOFA, you, the applicant, must meet all statutory and regulatory 
requirements applicable to the program or programs for which you are 
seeking funding. If you need copies of the program regulations, they 
are available from the SuperNOFA Information Center or through the 
Internet at the HUD web site located at http://www.hud.gov. Among the 
reasons that HUD may find an application ineligible to receive further 
funding consideration is if the activities or projects proposed in the 
application are not eligible activities and projects. In addition (with 
the exception of the Section 202 and Section 811 programs) HUD may 
eliminate the ineligible activities from funding consideration and 
reduce the grant amount accordingly.
    (B) Threshold Requirements. (1) Compliance with Fair Housing and 
Civil Rights Laws. With the exception of Federally recognized Indian 
tribes, all applicants and their subrecipients must comply with all 
Fair Housing and civil rights laws, statutes, regulations and executive 
orders as enumerated in 24 CFR 5.105(a). If you are a Federally 
recognized Indian tribe, you must comply with the nondiscrimination 
provisions enumerated at 24 CFR 1000.12.
    If you, the applicant--
    (a) Have been charged with a systemic violation of the Fair Housing 
Act by the Secretary alleging ongoing discrimination;
    (b) Are a defendant in a Fair Housing Act lawsuit filed by the 
Department of Justice alleging an ongoing pattern or practice of 
discrimination; or
    (c) Have received a letter of noncompliance findings under Title 
VI, Section 504, or Section 109--
    HUD will not rate and rank your application under this SuperNOFA if 
the charge, lawsuit, or letter of findings has not been resolved to the 
satisfaction of the Department before the application deadline stated 
in the individual program NOFA. HUD's decision regarding whether a 
charge, lawsuit, or a letter of findings has been satisfactorily 
resolved will be based upon whether appropriate actions have been taken 
to address allegations of ongoing discrimination in the policies or 
practices involved in the charge, lawsuit, or letter of findings.
    (2) Other Threshold Requirements. The program section for the 
funding for which you are applying may specify other threshold 
requirements. Additional threshold requirements may be identified in 
the discussion of ``eligibility'' requirements in the program section.
    (C) Additional Nondiscrimination Requirements. You, the applicant 
and your subrecipients, must comply with the Americans with 
Disabilities Act of 1990 (42 U.S.C. 1201 et seq.), and Title IX of the 
Education Amendments Act of 1972 (20 U.S.C. 1681 et seq).
    (D) Affirmatively Furthering Fair Housing. Unless otherwise 
specified in the Programs Section of this SuperNOFA, if you are a 
successful applicant, you will have a duty to affirmatively further 
fair housing. Again, except as may be provided otherwise in the 
Programs Section of this

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SuperNOFA, you, the applicant, should include in your application or 
work plan the specific steps that you will take to:
    (1) Address the elimination of impediments to fair housing that 
were identified in the jurisdiction's Analysis of Impediments (AI) to 
Fair Housing Choice;
    (2) Remedy discrimination in housing; or
    (3) Promote fair housing rights and fair housing choice.
    Further, you, the applicant, have a duty to carry out the specific 
activities provided in your responses to the SuperNOFA rating factors 
that address affirmatively furthering fair housing. Please see the 
Programs Section of this SuperNOFA for further information.
    (E) Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). Certain programs in this SuperNOFA require recipients of 
assistance to comply with section 3 of the Housing and Urban 
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for 
Low and Very Low-Income Persons in Connection with assisted Projects) 
and the HUD regulations at 24 CFR part 135, including the reporting 
requirements subpart E of this part. Section 3 requires recipients to 
ensure that, to the greatest extent feasible, training, employment and 
other economic opportunities will be directed to (1) low and very low 
income persons, particularly those who are recipients of government 
assistance for housing and (2) business concerns which provide economic 
opportunities to low-and very low-income persons. As noted in the 
Programs Section of this SuperNOFA, Section 3 is applicable to the 
following programs:
     Historically Black Colleges and Universities (HBCU);
     Hispanic-Serving Institutions Assisting Communities 
(HSIAC);
     Alaska Native/Native Hawaiian Institutions Assisting 
Communities (AN/NHIAC)
     Lead-Based Paint Hazard Control;
     Healthy Homes Initiative;
     HOPE VI Public Housing Revitalization and Demolition;
     Public Housing Drug Elimination Technical Assistance for 
Safety and Security;
     New Approach Anti-Drug Program;
     Multifamily Housing Drug Elimination Program;
     Resident Opportunity and Self-Sufficiency Program;
     Economic Development Initiative (EDI);
     Brownfields Economic Development Initiative (BEDI);
     Self-Help Homeownership Opportunity Program (SHOP);
     Youthbuild Program;
     Rural Housing and Economic Development Program;
     Continuum of Care Homeless Assistance Programs;
     Housing Opportunities for Persons with AIDS (HOPWA);
     Section 202 Supportive Housing for the Elderly Program;
     Section 811 Supportive Housing for Persons with 
Disabilities Program;
    More information is available on Section 3 at the following 
website--www.hud.gov/fhe/sec3over.html.
    (F) Relocation. Any person (including individuals, partnerships, 
corporations or associations) who moves from real property or moves 
personal property from real property directly (1) because of a written 
notice to acquire real property in whole or in part, or (2) because of 
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity is covered by Federal relocation statute and 
regulations. Specifically, this type of move is covered by the 
acquisition policies and procedures and the relocation requirements of 
the Uniform Relocation Assistance and Real Property Acquisition 
Policies Act of 1970, as amended (URA), and the implementing 
governmentwide regulation at 49 CFR part 24. The relocation 
requirements of the URA and the governmentwide regulations cover any 
person who moves permanently from real property or moves personal 
property from real property directly because of rehabilitation or 
demolition for an activity undertaken with HUD assistance.
    (G) Forms, Certifications and Assurances. You, the applicant, are 
required to submit signed copies of the standard forms, certifications, 
and assurances listed in this section, unless the requirements in the 
Programs Section specify otherwise. Also, the Programs Section may 
specify additional forms, certifications, assurances or other 
information that may be required for a particular program in this 
SuperNOFA.
    As part of HUD's continuing efforts to improve the SuperNOFA 
process, several of the required standard forms have been simplified 
this year. The standard forms, certifications, and assurances are as 
follows:
     Standard Form for Application for Federal Assistance (SF-
424) (which includes civil rights/fair housing certification);
     Federal Assistance Funding Matrix, HUD-424M;
     Standard Form for Budget Information--Non-Construction 
Programs (SF-424A) or
     Standard Form for Budget Information-Construction Programs 
(SF-424C), as applicable;
     Standard Form for Assurances--Non-Construction Programs 
(SF-424B) or
     Standard Form for Assurances--Construction Programs (SF-
424D), as applicable; Drug-Free Workplace Certification (HUD-50070);
     Certification of Payments to Influence Federal Transaction 
(HUD-50071) and if engaged in lobbying, the Disclosure Form Regarding 
Lobbying (SF-LLL); (Tribes and tribally designated housing entities 
(TDHEs) established by an Indian tribe as a result of the exercise of 
the tribe's sovereign power are not required to submit this 
certification. Tribes and TDHEs established under State law are 
required to submit this certification.)
     Applicant/Recipient Disclosure/Update Report (HUD-2880);
     Certification Regarding Debarment and Suspension (HUD-
2992). This is the certification required by 24 CFR 24.510. (The 
provisions of 24 CFR part 24 apply to the employment, engagement of 
services, awarding of contracts, subgrants, or funding of any 
recipients, or contractors or subcontractors, during any period of 
debarment, suspension, or placement in ineligibility status, and a 
certification is required.)
     Certification of Consistency with the EZ/EC Strategic Plan 
(HUD-2990) (if applicable);
     Certification of Consistency with the Consolidated Plan 
(HUD-2991) (if applicable).
    Copies of these standard forms follow this General Section of the 
SuperNOFA. Copies of forms that are particular to an individual 
program, follow the funding information for that program.
    Also included in the Appendix B to this General Section is the 
Funding Application for the Section 8 Housing Choice Voucher Program 
(HUD-52515) and the Acknowledge of Application Receipt (HUD 2993).

These forms are available at the HUD website at www.hudclips.org.

    (H) OMB Circulars and Governmentwide Regulations Applicable to 
Grant Programs. Certain OMB circulars also apply to programs in this 
SuperNOFA. The policies, guidance, and requirements of: OMB Circular 
No. A-87 (Cost Principles Applicable to Grants, Contracts and Other 
Agreements with State and Local Governments); OMB Circular A-21 (Cost 
Principles for Education Institutions) OMB Circular No. A-122 (Cost 
Principles for Nonprofit

[[Page 9337]]

Organizations); OMB Circular A-133 (Audits of States, Local 
Governments, and Non-Profit Organizations); and the regulations in 24 
CFR part 84 (Grants and Agreements with Institutions of Higher 
Education, Hospitals, and other Non-Profit Organizations) and 24 CFR 
part 85 (Administrative Requirements for Grants and Cooperative 
Agreements to State, Local, and Federally recognized Indian tribal 
governments) -- may apply to the award, acceptance and use of 
assistance under the programs of this SuperNOFA, and to the remedies 
for noncompliance, except when inconsistent with the provisions of the 
FY 2000 HUD Appropriations Act, other Federal statutes or the 
provisions of this SuperNOFA. Compliance with additional OMB Circulars 
or governmentwide regulations may be specified for a particular program 
in the Programs Section of the SuperNOFA. Copies of the OMB Circulars 
may be obtained from EOP Publications, Room 2200, New Executive Office 
Building, Washington, DC 10503, telephone (202) 395-7332 (this is not a 
toll free number) or from the website at http://www.whitehouse.gov/omb/grants/index.html#circulars.
    (I) Environmental Requirements. If you become a grantee under one 
of the programs in this SuperNOFA that assist physical development 
activities or property acquisition, you are generally prohibited from 
acquiring, rehabilitating, converting, leasing, repairing or 
constructing property, or committing or expending HUD or non-HUD funds 
for these types of program activities, until one of the following has 
occurred:
    (1) HUD has completed an environmental review in accordance with 24 
CFR part 50; or (2) For programs subject to 24 CFR part 58, HUD has 
approved a grantee's Request for Release of Funds (HUD Form 7015.15) 
following a Responsible Entity's completion of an environmental review.
    You, the applicant, should consult the Programs Section of the 
SuperNOFA for the applicable program to determine the procedures for, 
timing of, and any exclusions from environmental review under a 
particular program. For applicants applying for funding under the 
Sections 202 or 811 Programs, please note the environmental review 
requirements for these programs.
    (J) Conflicts of Interest. If you are a consultant or expert who is 
assisting HUD in rating and ranking applicants for funding under this 
SuperNOFA, you are subject to 18 U.S.C. 208, the Federal criminal 
conflict of interest statute, and the Standards of Ethical Conduct for 
Employees of the Executive Branch regulation published at 5 CFR part 
2635. As a result, if you have assisted or plan to assist applicants 
with preparing applications for this SuperNOFA, you may not serve on a 
selection panel and you may not serve as a technical advisor to HUD for 
this SuperNOFA. All individuals involved in rating and ranking this 
SuperNOFA, including experts and consultants, must avoid conflicts of 
interest or the appearance of conflicts. Individuals involved in the 
rating and ranking of applications must disclose to HUD's General 
Counsel or HUD's Ethics Law Division the following information if 
applicable: how the selection or non-selection of any applicant under 
this SuperNOFA will affect the individual's financial interests, as 
provided in 18 U.S.C. 208; or how the application process involves a 
party with whom the individual has a covered relationship under 5 CFR 
2635.502. The individual must disclose this information prior to 
participating in any matter regarding this SuperNOFA. If you have 
questions regarding these provisions or if you have questions 
concerning a conflict of interest, you may call the Office of General 
Counsel, Ethics Law Division, at 202-708-3815 and ask to speak to one 
of HUD's attorneys in this division.

III. Application Selection Process

    (A) Rating Panels. To review and rate your applications, HUD may 
establish panels. These panels may include persons not currently 
employed by HUD. HUD may include these non-HUD employees to obtain 
certain expertise and outside points of view, including views from 
other Federal agencies.
    (1) Rating. HUD will evaluate and rate all applications for funding 
that meet the threshold requirements and rating factors for award 
described in this SuperNOFA. The rating of you, as the ``applicant,'' 
or of your organization, ``the applicant's organization and staff,'' 
for technical merit or threshold compliance will include any sub-
contractors, consultants, sub-recipients, and members of consortia 
which are firmly committed to the project.
    (2) Ranking. HUD will rank applicants within each program (or, for 
Continuum of Care applicants, across the three programs identified in 
the Continuum of Care section of this SuperNOFA). HUD will rank 
applicants only against other applicants that applied for the same 
program funding. Where there are set-asides within a program 
competition, you, the applicant, will compete against only those 
applicants in the same set-aside competition.
    (B) Threshold Requirements. HUD will review your application to 
determine whether it meets all of the threshold requirements described 
in Section II(B), above. Only if your application meets all of the 
threshold requirements will it be eligible to be rated and ranked.
    (C) Factors for Award Used to Evaluate and Rate Applications. For 
each program that is part of this SuperNOFA, the points awarded for the 
rating factors total 100. Depending upon the program for which you the 
applicant seek funding, the program may provide for up to four bonus 
points as provided in paragraphs (1) and (2) of this Section III(C).
    (1) Bonus Points. The SuperNOFA provides for the award of up to two 
bonus points for eligible activities/projects that the applicant 
proposes to be located in federally designated Empowerment Zones (EZs), 
Enterprise Communities (ECs), Urban Enhanced Enterprise Communities 
(EECs), or Strategic Planning Communities and serve the residents of 
these federally designated areas, and are certified to be consistent 
with the strategic plan of these federally designated references. (For 
ease of reference in the SuperNOFA, these federally designated areas 
are collectively referred to as ``EZs/ECs'' and residents of these 
federally designated areas as EZ/EC residents.) \1\ The application kit 
contains a certification which must be completed for the applicant to 
be considered for EZ/EC bonus points. A list of the EZs, ECs, EECs and 
Strategic Planning Communities is available from the SuperNOFA 
Information Center, through the HUD web site at http://www.hud.gov, and 
is attached to this General Section of the SuperNOFA as Appendix A-2.
---------------------------------------------------------------------------

    \1\ On December 21, 1994, President Clinton and Vice President 
Gore designated 72 urban areas and 33 rural communities as 
Empowerment Zones or Enterprise Communities. These designated areas 
receive more than $1.5 billion in performance grants and more than 
$2.5 billion in tax incentives. On August 5, 1997, President Clinton 
signed the Taxpayers Relief Act of 1997 which established a second 
round of designations for 15 new Empowerment Zones. Round II 
designees were announced in December 1998. Strategic Planning 
Communities are HUD designations that ranked competitively in the 
Round II competition but were not selected for EZ designation.
---------------------------------------------------------------------------

    In the BEDI competition, two bonus points are available for 
federally designated Brownfields Show Case Communities. (Please see 
BEDI section of this SuperNOFA for additional information). A listing 
of the federally designated EZs, ECs, and Enhanced ECs and Brownfields 
Showcase Communities is available from the SuperNOFA Information 
Center, or

[[Page 9338]]

through the HUD web site on the Internet at http://www.hud.gov.
    (2) Court-Ordered Consideration. For any application submitted by 
the City of Dallas, Texas, for funds under this SuperNOFA for which the 
City of Dallas is eligible to apply, HUD will consider the extent to 
which the strategies or plans in the city's application or applications 
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 add 
up to 2 points to the score based on this consideration. This special 
consideration results from an order of the U.S. District Court for the 
Northern District of Texas, Dallas, Division. (This Section III(C)(2) 
is limited to applications submitted by the City of Dallas.)
    (3) The Five Standard Rating Factors. Additional details about the 
five rating factors listed below, and the maximum points for each 
factor, are provided in the Programs Section of the SuperNOFA. You, the 
applicant, should carefully read the factors for award as described in 
the Programs Section of the SuperNOFA. HUD has established these five 
factors as the basic factors for award in every program that is part of 
this SuperNOFA. For a specific HUD program, however, HUD may have 
modified these factors to take into account specific program needs, or 
statutory or regulatory limitations imposed on a program. The standard 
factors for award, except as modified in the program area section are:

Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination
    The Continuum of Care Homeless Assistance Programs have only two 
factors that receive points: Need and Continuum of Care.
    (D) Negotiation. After HUD has rated and ranked all applications 
and has made selections, HUD may require, depending upon the program, 
that all winners participate in negotiations to determine the specific 
terms of the grant agreement and budget. In cases where HUD cannot 
successfully conclude negotiations with a selected applicant or a 
selected applicant fails to provide HUD with requested information, an 
award will not be made to that applicant. In this instance, HUD may 
offer an award to the next highest ranking applicant, and proceed with 
negotiations with the next highest ranking applicant.
    (E) Adjustments to Funding. (1) HUD reserves the right to fund less 
than the full amount requested in your application to ensure the fair 
distribution of the funds and to ensure that the purposes of a specific 
program are met. (2) HUD will not fund any portion of your application 
that is not eligible for funding under specific program statutory or 
regulatory requirements; which does not meet the requirements of this 
SuperNOFA or which may be duplicative of other funded programs or 
activities from previous years' awards or other selected applicants. 
Only the eligible portions of your application (including non-
duplicative portions) may be funded.
    (3) If funds remain after funding the highest ranking applications, 
HUD may fund part of the next highest ranking application in a given 
program. If you, the applicant, turn down the award offer, HUD will 
make the same determination for the next highest ranking application. 
If funds remain after all selections have been made, remaining funds 
may be available for other competitions for each program where there is 
a balance of funds.
    (4) In the event HUD commits an error that, when corrected, would 
result in selection of an otherwise eligible applicant during the 
funding round of this SuperNOFA, HUD may select that applicant when 
sufficient funds become available.
    (F) Performance and Compliance Actions of Grantees. HUD will 
measure and address the performance and compliance actions of grantees 
in accordance with the applicable standards and sanctions of their 
respective programs.

IV. Application Submission Requirements

    The application submission requirements are specified in the 
Programs Section of this SuperNOFA. As discussed in the Introduction 
Section of this SuperNOFA, part of the simplification of this SuperNOFA 
funding process is to reduce the duplication of effort that has been 
required of applicants in the past. As the Program Chart above shows, 
the FY 2000 SuperNOFA provides, as did the previous SuperNOFAs, for 
consolidated applications for several of the programs for which funding 
is available under this SuperNOFA.

V. Corrections to Deficient Applications

    After the application due date, HUD may not, consistent with its 
regulations in 24 CFR part 4, subpart B, consider any unsolicited 
information you, the applicant, may want to provide. HUD may contact 
you, however, to clarify an item in your application or to correct 
technical deficiencies. You should note, however, that HUD may not seek 
clarification of items or responses that improve the substantive 
quality of your response to any selection factors. In order not to 
unreasonably exclude applications from being rated and ranked, HUD may, 
however, contact applicants to ensure proper completion of the 
application and will do so on a uniform basis for all applicants. 
Examples of curable (correctable) technical deficiencies include your 
failure to submit the proper certifications or your failure to submit 
an application that contains an original signature by an authorized 
official. In each case, HUD will notify you in writing by describing 
the clarification or technical deficiency. HUD will notify applicants 
by facsimile or by return receipt requested. You must submit 
clarifications or corrections of technical deficiencies in accordance 
with the information provided by HUD within 14 calendar days of the 
date of receipt of the HUD notification. (If the due date falls on a 
Saturday, Sunday, or Federal holiday, your correction must be received 
by HUD on the next day that is not a Saturday, Sunday, or Federal 
holiday.) If your deficiency is not corrected within this time period, 
HUD will reject your application as incomplete, and it will not be 
considered for funding. (Note that the Sections 202 and 811 Programs 
provide for appeal of rejection of an application on technical 
deficiency. Please see the Programs Sections for these programs for 
additional information and instructions.)

VI. Promoting Comprehensive Approaches to Housing and Community 
Development

    (A) General. HUD believes the best approach for addressing 
community problems is through a community-based process that provides a 
comprehensive response to identified needs. This Section VI of the 
General Section of the SuperNOFA describes important initiatives that 
applicants should be aware of.
    (B) Linking Program Activities with AmeriCorps. You are encouraged 
to link your proposed activities with AmeriCorps, a national service 
program engaging thousands of Americans on a

[[Page 9339]]

full or part-time basis to help communities address their toughest 
challenges, while earning support for college, graduate school, or job 
training. For information about AmeriCorps, call the Corporation for 
National Service at (202) 606-5000, or visit the AmeriCorps website at 
www.cns.gov/americorps.
    (C) Linking Program Activities with USDA. In this year's SuperNOFA, 
HUD is working with the Department of Agriculture (USDA) to provide 
technical assistance to public housing authorities to develop a natural 
resource stewardship program to enhance the natural environment through 
activities such as tree planting, creating green spaces in areas devoid 
of vegetation and protecting areas from erosion and storm water runoff. 
Further information about this initiative can be found on the U.S. 
Forest Service website at www.fs.fed/us/research/rvur/urban/
urbanforestry/urbanforest.htm.
    (D) Encouraging Visitability in New Construction and Substantial 
Rehabilitation Activities. In addition to applicable accessible design 
and construction requirements, you are encouraged to incorporate 
visitability standards where feasible in new construction and 
substantial rehabilitation projects. Visitability standards allow a 
person with mobility impairments access into the home, but do not 
require that all features be made accessible. Visitability means at 
least one entrance at grade (no steps), approached by an accessible 
route such as a sidewalk; the entrance door and all interior passage 
doors are at least 2 feet 10 inches wide, allowing 32 inches of clear 
passage space. A visitable home also serves persons without 
disabilities, such as a mother pushing a stroller, or a person 
delivering a large appliance. Copies of the Uniform Federal 
Accessibility Standards (UFAS) are available from the SuperNOFA 
Information Center (1-800-HUD-8929 or 1-800-HUD-2209 (TTY)) and also 
from the Office of Fair Housing and Equal Opportunity, U.S. Department 
of Housing and Urban Development, Room 5230, 451 Seventh Street, SW, 
Washington, DC 20410, telephone (202) 755-5404 or the TTY telephone 
number, 1-800-877 8399 (Federal Information Relay Service).
    (E) Developing Healthy Homes. HUD's Healthy Homes Initiative is one 
of the initiatives developed by the White House Task Force on 
Environmental Health Risks and Safety Risks to Children that was 
established under Executive Order 13045 (``Protection of Children from 
Environmental Health Risks and Safety Risks''). HUD encourages the 
funding of activities (to the extent eligible under specific programs) 
that promote healthy homes, or that promote education on what is a 
healthy home. These activities may include, but are not limited to, the 
following: educating homeowners or renters about the need to protect 
children in their home from dangers that can arise from items such as 
curtain cords, electrical outlets, hot water, poisons, fire, and sharp 
table edges, among others; incorporating child safety measures in the 
construction, rehabilitation or maintenance of housing, which include 
but are not limited to: child safety latches on cabinets, hot water 
protection devices, proper ventilation and moisture control to protect 
from mold, window guards to protect children from falling, proper pest 
management to prevent cockroaches which can trigger asthma, and 
activities directed to control of lead-based paint hazards. The 
National Lead Information Hotline is 1-800-424-5323, and information is 
also available at the following website--www.hud.gov/hhchild.html.
    (F) Participation in PATH. If you are applying for funds that may 
be utilized for construction or rehabilitation, HUD encourages 
participation in the President Clinton's Partnership for Advancing 
Technology in Housing (PATH). PATH's goal is to achieve dramatic 
approvement in the quality of American housing by the year 2010. PATH 
promotes leaders from the home building, product manufacturing, 
insurance and financial industries and representatives from federal 
agencies dealing with housing issues to work together to spur housing 
design and construction innovations. PATH has a FY 2000 budget of $10 
million. PATH will provide technical support in design and cost 
analysis of advance technologies to be incorporated in project 
construction.
    Applicants should see www.pathnet.org/about/about.html on the 
Internet for more information, the list of technologies, latest PATH 
Newsletter, results from field demonstrations and PATH projects. 
Applicants are encouraged to employ PATH technologies to exceed 
prevailing national building practices by: reducing costs; improving 
durability; increasing energy efficiency; improving disaster 
resistance; improving energy; and reducing environmental impact.
    HUD's objective is to select projects funded under this SuperNOFA 
which demonstrate high potential opportunities for application of PATH 
technologies. HUD will provide technical assistance in the form of 
architectural, engineering and financial analysis to incorporate the 
specific technologies appropriate to the type of construction and 
climate. More information about PATH is available at the following 
website--www.pathnet.org/about/about.html.
    (G) Bridging the Digital Divide. Bridging the Digital Divide is an 
initiative whose objective is to provide access to computers to low and 
moderate income families and children who do not have access and 
therefore may be disadvantaged with respect to education, work and 
training opportunities. HUD encourages applicants to incorporate 
education and job training opportunities through initiatives such as 
HUD's Neighborhood Networks and Twenty/20 Education communities in 
their programs.
    (1) Neighborhood Networks. The Neighborhood Networks Initiative 
enhances the self-sufficiency, employability and economic self-reliance 
of low-income families and the elderly living in HUD insured and HUD 
assisted properties by providing them with on-site access to computer 
and training resources. More information about Neighborhood Networks is 
available at the following website--www.hud.gov/nnw/nnwindex.html.
    (2) The Twenty/20 Education Communities Initiative. This initiative 
(formerly known as Campus of Learners) is designed to transform public 
housing into safe and livable communities where families undertake 
training in new telecommunications and computer technology and partake 
in educational opportunities and job training initiatives.

VII. Findings and Certifications

    (A) Environmental Impact. A Finding of No Significant Impact with 
respect to the environment has been made in accordance with HUD 
regulations at 24 CFR part 50 that implement section 102(2)(C) of the 
National Environmental Policy Act of 1969 (42 U.S.C. 4332). The Finding 
of No Significant Impact is available for public inspection during 
regular business hours in the Office of the General Counsel, 
Regulations Division, Room 10276, U.S. Department of Housing and Urban 
Development, 451 Seventh Street, SW, Washington, DC 20410-0500.
    (B) Executive Order 13132, Federalism. Executive Order 13132 
(entitled ``Federalism'') prohibits, to the extent practicable and 
permitted by law, an agency from promulgating policies that have 
federalism implications and either impose substantial direct compliance 
costs on State and local governments and are not required by statute, 
or preempt State law, unless the

[[Page 9340]]

relevant requirements of section 6 of the Executive Order are met. This 
SuperNOFA does not have federalism implications and does not impose 
substantial direct compliance costs on State and local governments or 
preempt State law within the meaning of the Executive Order.
    (C) Prohibition Against Lobbying Activities. You, the applicant, 
are subject to the provisions of section 319 of the Department of 
Interior and Related Agencies Appropriation Act for Fiscal Year 1991, 
31 U.S.C. 1352 (the Byrd Amendment), which prohibits 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. You 
are required to certify, using the certification found at Appendix A to 
24 CFR part 87, that you will not, and have not, used appropriated 
funds for any prohibited lobbying activities. In addition, you must 
disclose, using Standard Form LLL, ``Disclosure of Lobbying 
Activities,'' any funds, other than Federally appropriated funds, that 
will be or have been used to influence Federal employees, members of 
Congress, and congressional staff regarding specific grants or 
contracts. Tribes and tribally designated housing entities (TDHEs) 
established by an Indian tribe as a result of the exercise of the 
tribe's sovereign power are excluded from coverage of the Byrd 
Amendment, but tribes and TDHEs established under State law are not 
excluded from the statute's coverage.)
    (D) Section 102 of the HUD Reform Act; Documentation and Public 
Access Requirements. Section 102 of the Department of Housing and Urban 
Development Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and 
the regulations codified in 24 CFR part 4, subpart A, contain a number 
of provisions that are designed to ensure greater accountability and 
integrity in the provision of certain types of assistance administered 
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that 
also provides information on the implementation of section 102. The 
documentation, public access, and disclosure requirements of section 
102 apply to assistance awarded under this SuperNOFA as follows:
    (1) Documentation and public access requirements. HUD will ensure 
that documentation and other information regarding each application 
submitted pursuant to this SuperNOFA 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 5-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 in 24 CFR part 15.
    (2) Disclosures. HUD will make available to the public for 5 years 
all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this SuperNOFA. Update reports (update information also 
reported on Form 2880) will be made available along with the applicant 
disclosure reports, but in no case for a period less than 3 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 5.
    (3) Publication of Recipients of HUD Funding. HUD's regulations at 
24 CFR 4.7 provide that HUD will publish a notice in the Federal 
Register on at least a quarterly basis to notify the public of all 
decisions made by the Department to provide:
    (i) Assistance subject to section 102(a) of the HUD Reform Act; or
    (ii) Assistance that is provided through grants or cooperative 
agreements on a discretionary (non-formula, non-demand) basis, but that 
is not provided on the basis of a competition.
    (E) Section 103 HUD Reform Act. HUD's regulations implementing 
section 103 of the Department of Housing and Urban Development Reform 
Act of 1989 (42 U.S.C. 3537a), codified in 24 CFR part 4, subpart B, 
apply to this funding competition. The regulations 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 the regulations 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 or employees who have ethics related questions should 
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a 
toll-free number.) For HUD employees who have specific program 
questions, the employee should contact the appropriate field office 
counsel, or Headquarters counsel for the program to which the question 
pertains.

VIII. The FY 2000 SuperNOFA Process and Future HUD Funding 
Processes

    Each year, HUD strives to improve its SuperNOFA. The FY 2000 
SuperNOFA was revised based on comments received during the FY 1999 
funding process. HUD continues to welcome comments and feedback from 
applicants and other members of the public on how HUD may further 
improve its competitive funding process.
    The description of programs for which funding is available under 
this SuperNOFA follows.

    Dated: February 11, 2000.
Saul N. Ramirez, Jr.,
Deputy Secretary.

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APPENDIX A-2--LIST OF EZs, ECs, URBAN ENHANCED ENTERPRISE COMMUNITIES, 
STRATEGIC PLANNING COMMUNITIES

URBAN EMPOWERMENT ZONES (23)

CA, Los Angeles (EZ)
    David Eder, EZ/EC Program Coordinator, City of Los Angeles EZ/EC 
Programs, Los Angeles Community Development Department, 215 West 6th 
Street, Third Floor, Los Angeles, CA 90014, 213-485-2956 (Phone), 
213-847-0890 (Fax)
CA, Santa Ana (EZ)
    Aldo Schindler, EZ Manager, Community Development Agency, PO Box 
1988, Santa Ana, CA 92702, 714-647-6507 (Phone), 714-647-6549 (Fax)
CT, New Haven (EZ-EC)
    Sherri Killins, President/CEO, Empower New Haven, Inc., 59 Elm 
St., 4th Floor, Suite 410, New Haven, CT 06510, 203-776-2777 
(Phone), 203-776-0537 (Fax)
FL, Miami/Dade County (EZ-EC)
    Andre Wallace, Miami-Dade Empowerment Trust, Inc., 140 West 
Flagler Street, Suite 1107, Miami, FL 33130, 305-372-7620 (Phone), 
305-372-7629 (Fax)
GA, Atlanta (EZ)
    Joseph Reid, Executive Director, Atlanta EZ Corporation, City 
Hall East, 675 Ponce de Leon Avenue, Second Floor, Atlanta, GA 
30308, 404-853-7610 (Phone), 404-853-7372 (Fax)
IL, Chicago (EZ)
    Ronald Carter, Jr., Special Assistant/Director, City of Chicago, 
20 North Clark Street, 28th Floor, Chicago, IL 60602, 312-744-9623 
(Phone), 312-744-9696 (Fax)
IN, Gary, E. Chicago, Hammond (EZ)
IN, Gary
    Taghi Arshami, Office of Planning & Community Development, 475 
Broadway, Suite 318, Gary, IN 46402, 219-881-5075 (Phone), 219-881-
5085 (Fax)
IN, E. Chicago
    John Artis, Executive Director, City of East Chicago, Dept. of 
Redevelopment and Housing Authority, 4920 Larkspur Drive, East 
Chicago, IN 46312, 219-397-9974 (Phone), 219-397-4249 (Fax)
IN, Hammond
    Allen Kress, City Planner, Hammond City Planning, 649 Conkey 
Street, Hammond, IN 46324, 219-853-6398 (Phone), 219-853-6334 (Fax)
MA, Boston (EZ-EEC)
    Reginald Nunnally, Executive Director of Enhanced EC/Interim 
Director of EZ, Boston Empowerment Center, 20 Hampdon St., Roxbury, 
MA 02119, 617-445-3413 (Phone), 617-445-5675 (Fax)
MD, Baltimore (EZ)
    Diane Bell, President & CEO, Empower Baltimore Management 
Corporation, 34 Market Pl., Suite 800, Baltimore, MD 21202, 410-783-
4400 (Phone), 410-783-0526 (Fax)
MI, Detroit (EZ)
    Denise Gray, Executive Director, Empowerment Zone Development 
Corporation, 1 Ford Place, Suite 1F, Detroit, MI 48202, 313-872-
8050, 313-872-8002 (Fax)
MN, Minneapolis (EZ-EC)
    Kim W. Havey, Director, Minneapolis Empowerment Zone, 350 South 
Fifth Street, Minneapolis, MN 55415, 612-673-5415 (Phone), 612-673-
3724 (Fax)
MO, St. Louis/E. St. Louis, IL (EZ-EC)
    Alicia Smith, St. Louis Development Corporation, 1200 Market 
St., Mayor's Office, Room 200, St. Louis, MO 63103, 314-622-3201 
(Phone), 314-436-7983 (Fax)
NJ, Cumberland County (EZ)
    Gerry Valasquez, Executive Director, Department of Planning and 
Development, Cumberland County, 800 E. Commerce Street, Bridgeton, 
NJ 08302, 856-453-2177 (Phone), 856-453-9138 (Fax),
NY, New York (EZ) (Main Contact)
    Marion Phillips, III, Chief Administrative Officer, New York 
Empowerment Zone Corporation, 633 3rd Avenue, New York, NY 10017, 
212-803-3239 (Phone), 212-803-3294 (Fax)
NY, New York (Bronx)
    Maria Canales, Director, Bronx Empowerment Zone, Bronx Overall 
Economic Development Corporation, 198 East 161st Street, Suite 201, 
Bronx, NY 10451, 718-590-6034 (Phone), 718-590-6249 (Fax)
NY, New York (Upper Manhattan)
    Jeannine L. Melly, Director of Grants Management, Upper 
Manhattan Empowerment Zone, Development Corporation, 290 Lenox 
Avenue, 3rd Floor, New York, NY 10027, 212-410-0030 (Phone), 212-
410-9616 (Fax)
OH, Cincinnati (EZ)
    Susan Paddock, Special Assistant to the City Manager, City of 
Cincinnati, 801 Plum Street, Room 104, Cincinnati, OH 45202, 513-
352-4648 (Phone), 513-352-2458 (Fax)
OH, Cleveland (EZ)
    Valarie McCall, Director, Cleveland Empowerment Zone, 601 
Lakeside Avenue, City Hall, Room 335, Cleveland, OH 44114, 216-664-
2804 (Phone), 216-420-8522 (Fax), 216-664-3083 (Direct)
OH, Columbus (EZ-EC)
    Jon Beard, Columbus Compact Corporation, 1000 East Main St., 
Columbus, OH 43205, 614-251-0926 (Phone), 614-251-2243 (Fax)
PA, Philadelphia/NJ, Camden (EZ)
    Eva Gladstein, Executive Director, City of Philadelphia, 1515 
Arch Street, l Parkway, 9th Fl., Philadelphia, PA 19103, 215-683-
0462 (Phone), 215-683-0493 (Fax)
    Bryan K. Finnie, Managing Director, Camden Empowerment Zone 
Corporation, Hudson Square Complex, 817 Carpenter Street, Camden, NJ 
08102, 856-365-0300 (Phone), 856-365-1058 (Fax)
SC, Sumter/Columbia (EZ)
    Leona Plaugh, Assistant City Manager, City of Columbia, Dept. of 
Community Service, 1225 Laurel Street, Columbia, SC 29201, 803-733-
8313 (Phone), 803-733-8312 (Fax)
TN, Knoxville (EZ)
    Jeanette Kelleher, Community Development Administrator, City of 
Knoxville, Department of Development, P.O. Box 1631, Knoxville, TN 
37901, 865-215-2116 (Phone), 865-215-2962 (Fax)
TX, El Paso (EZ-EC)
    Deborah G. Hamlyn, Director, Community and Human Development, 
City of El Paso, #2 Civic Center Plaza, 9th Floor, El Paso, TX 
79901-1196, 915-541-4242 (Phone), 915-541-4370 (Fax)
VA, Norfolk/Portsmouth (EZ-EC)
    David Ollison, Empowerment 2010, 201 Granby Street, Ste. 100A, 
Norfolk, VA 23510, 757-624-8650 (Phone), 757-622-4623 (Fax)
WV, Huntington/Ironton, OH (EZ-EC)
    Cathy Burns, Executive Director, Huntington WV-Ironton OH 
Empowerment Zone, Inc., P.O. Box 1659, Huntington, WV 25717, 304-
696-5533 (Phone), 304-696-4465 (Fax)

URBAN ENHANCED ENTERPRISE COMMUNITIES (4)

CA, Oakland (EEC)
    Mahlon Harmon, EEC Coordinator, Community and Economic 
Development Agency (CEDA), 250 Frank Ogawa Plaza, 3rd Floor, 
Oakland, CA 94612, 510-238-6204 (Phone), 510-238-2226 (Fax)
KS, Kansas City and MO, Kansas City (EEC)
    Marlene Nagel, MARC, 600 Broadway, 300 Rivergate Center, Kansas 
City, MO 64105, 816-474-4240 (Phone), 816-421-7758 (Fax)

MA, BOSTON (EEC) (SEE EZ)

TX, Houston (EEC)
    Judith Butler, Mayor's Office, 901 Bagby Street, City Hall, 4th 
Floor, Houston, TX 77002, 713-247-2666 (Phone), 713-247-3985 (Fax)

URBAN ENTERPRISE COMMUNITIES

AL, Birmingham,
    Keith Strother, City of Birmingham, 710 N. 20th Street, City 
Hall, 3rd Floor, Birmingham, AL 35203, 205-254-2870 (Phone), 205-
254-7741 (Fax)
AR, Pulaski County
    Henry McHenry, Pulaski County Enterprise Community Alliance, 
Inc., 400 W. Markham, Suite 705, Little Rock, AR 72201-2424, 501-
340-5675 (Phone), 501-340-5680 (Fax)
AZ, Phoenix
    Jennifer Harper, Neighborhood Services Department, City of 
Phoenix, 200 West Washington Street, 4th Floor, Phoenix, AZ 85003-
1611, 602-262-4730 (Phone), 602-534-1555 (Fax)
CA, Los Angeles--Huntington Park
    David Eder, EZ/EC Program Coordinator, City of Los Angeles EZ/EC 
Programs, Los Angeles Community Development, Department 215 West 6th 
Street, Third Floor, Los Angeles, CA 90014, 213-485-2956 (Phone), 
213-847-0890 (Fax)
CA, San Diego
    Bonnie Contreras, Enterprise Community Coordinator, City of San 
Diego, 202 C Street, Third Floor, Mail Station 3A, San Diego, CA 
92101, 619-236-6846 (Phone), 619-236-6512 (Fax)
CA, San Francisco
    Anna Yee, City of San Francisco, San Francisco Enterprise 
Community

[[Page 9355]]

Program, 25 Van Ness Avenue, Suite 700, San Francisco, CA 94102, 
415-252-3130 (Phone), 415-252-3110 (Fax)
CO, Denver
    Ernest Hughes, Denver Enterprise Community Coordinator, Denver 
Community Development Agency, 216 16th Street, Suite 1400, Denver, 
CO 80202, 303-640-5726 (Phone), 303-640-7120 (Fax)
CT, Bridgeport
    Janice Willis, Director, City of Bridgeport Central Grants 
Office, 999 Broad St., Bridgeport, CT 06604, 203-332-5662 (Phone), 
203-332-5657 (Fax)
DE, Wilmington
    James Walker Wilmington Enterprise Community, Louis L. Redding 
City/County Building, 800 French Street, 9th Floor, Wilmington, DE 
19801, 302-571-4472 (Phone), 302-571-4326 (Fax)
District of Columbia
    Kimmarie Jamison, DCECP Coordinator, 801 N. Capitol St., 6th 
Floor, Washington, DC 20002, 202-442-7203 (Phone), 202-442-7089 
(Fax)
FL, Tampa
    Jeanette LaRussa Fenton, Manager, Ybor Service Center, 2105 N. 
Nebraska Avenue, Tampa, FL 33602-2529, 813-274-7959 (Phone), 813-
274-7927 (Fax)
GA, Albany
    Julie Duke, City Manager's Office, P.O. Box 447, Albany, GA 
31702, 912-431-3234 (Phone), 912-431-3223 (Fax)
IA, Des Moines
    Carol Gathright, City of Des Moines 602 East First Street, Des 
Moines, IA 50309, 515-283-4151 (Phone), 515-237-1713 (Fax)
IL, East St. Louis
Diane Bonner, Executive Director, CDBG Operations Corporation, 301 
River Park Drive, East St. Louis, IL 62201, 618-482-6635 ext. 15 
(Phone), 618-271-8194 (Fax)
IL, Springfield
    Jan Sorenson Interim Director, Office of Economic Development, 
231 South Sixth St., Springfield, IL 62701, 217-789-2377 (Phone), 
217-789-2380 (Fax)
IN, Indianapolis
    Renia Colbert, Project Manager, Div. of Comm. Development & 
Financial Services, 200 East Washington, Suite 1841, Indianapolis, 
IN 46204, 317-327-5869 (Phone), 317-327-5908 (Fax)
KY, Louisville
    Carolyn Gatz, Louisville Empowerment Zone, NIA Center, 2900 West 
Broadway, Louisville, KY 40211, 502-458-6813 (Phone), 502-456-9780 
(Fax)
LA, New Orleans
    Thelma H. French, Executive Assistant to Mayor, Office of 
Federal and State Programs, 1300 Perdido Street, Room 2E04, New 
Orleans, LA 70112, 504-565-6445 (Phone), 504-565-6423 (Fax)
LA, Ouachita Parish
    Eric Loewe, Executive Director, Ouachita Enterprise Community, 
P.O. Box 4268, Monroe, LA 71211, 318-329-4031 (Phone), 318-329-4034 
(Fax)
MA, Lowell
    Susanne Beaton, EC Program Manager, Department of Planning and 
Development, City Hall-JFK Civic Center, 50 Arcand Drive, Lowell, MA 
01852, 978-446-7239 (Phone), 978-970-4262 (Fax)
MA, Springfield
    Miguel Rivas, Director of Neighborhood Programs, Community 
Development Department, 36 Court Street, Springfield, MA 01103, 413-
750-2240 (Phone), 413-787-6027 (Fax)
MI, Flint
    Nancy Jurkiewicz, Corporate Resident Agent, Flint Area 
Enterprise Community, 805 Welch Blvd., Flint, Michigan 48504, 810-
766-7436 ext. 3014 (Phone), 810-766-7351 (Fax)
MI, Muskegon/Muskegon Heights (EC)
    Cathy Brubaker-Clarke, Director, Department of Community and 
Economic Development, P.O. Box 536, 933 Terrace St., Muskegon, MI 
49443-0536, 231-724-6702 (Phone), 231-724-6790 (Fax)
MN, St. Paul
    Harriet Horwath,
    Senior Employment Training Planner,
    City of St. Paul, Planning and Economic Development
    25 West Fourth Street,
    St. Paul, Minnesota 55102,
    651-266-6591 (Phone),
    651-228-3314 (Fax)
MS, Jackson
    Roosevelt T. Sanders,
    Executive Director,
    Jackson Urban Enterprise Community Council, Inc.,
    P.O. Box 10353,
    Jackson, MS 39289
    601-949-7879 (Phone),
    601-981-2407 (Fax)
NC, Charlotte
    Deborah Hazzard,
    Neighborhood Development Department, 600 East Trade Street,
    Charlotte, NC 28202,
    704-336-2106 (Phone),
    704-336-2527 (Fax)
NE, Omaha
    Herb Patten,
    Enterprise Zone Coordinator,
    Omaha Enterprise Community/Enterprise Zone,
    Blue Lion Centre,
    2421 North 24th St.,
    Omaha, NE 68110-2282,
    402-444-3514 (Phone),
    402-444-3755 (Fax)
NH, Manchester
    Amanda Parenteau,
    Administrator,
    Enterprise Community Program,
    One City Hall Plaza, Room 110,
    Manchester, NH 03101,
    603-624-6505 (Phone),
    603-624-6308 (Fax)
NJ, Newark
    Angela Corbo,
    EC Coordinator,
    Department of Administration,
    City Hall, Room B-16,
    920 Broad Street,
    Newark, NJ 07102,
    973-733-4331 (Phone),
    973-733-3769 (Fax)
NM, Albuquerque
    Sylvia Fettes,
    Department of Family & Community Services,
    P.O. Box 1293,
    Albuquerque, NM 87103,
    505-768-2932 (Phone),
    505-768-3204 (Fax)
NV, Las Vegas
    Douglas R. Bell,
    Director,
    Community Resources Management,
    500 South Grand Central Parkway,
    P.O. Box 551601,
    Las Vegas, NV 89155-1212,
    702-455-5025 (Phone),
    702-383-6041 (Fax)
NY, Albany/Troy/Schenectady
    Anthony Tozzi,
    Enterprise Community Director,
    Center for Economic Growth,
    One Key Corp Plaza,
    Suite 600,
    Albany, NY 12207,
    518-382-5054 (Phone),
    518-382-5275 (Fax)
NY, Buffalo
    Paula Alcala Rosner,
    Executive Director,
    Federal Enterprise Community of Buffalo, Inc.,
    911 City Hall,
    Buffalo, NY 14202,
    716-851-5032 (Phone),
    716-851-4388 (Fax)
NY, Newburgh/Kingston
    Sharon Hyder,
    The Kingston-Newburgh Enterprise Corp.,
    62 Grand Street,
    Newburgh, NY 12550,
    914-569-1680 ext. 102 (Phone),
    914-569-1630 (Fax)
NY, Rochester
    Valerie Wheatley,
    Staff Assistant to the Deputy Mayor,
    City of Rochester,
    Room 205A, City Hall,
    30, Church Street,
    Rochester, NY 14614,
    716-428-7207 (Phone),
    716-428-7901 (Fax)
OH, Akron
    Jerry Egan,
    Department of Planning & Urban Development,
    166 South High Street,
    Akron, OH 44308-1628,
    330-375-2090 (Phone),
    330-375-2387 (Fax)
OK, Oklahoma City,
    Carl Friend,
    Oklahoma City Planning Department,
    420 West Main Street, Suite 920,
    Oklahoma City, OK 73102,
    405-297-2574 (Phone),
    405-297-3796 (Fax)
OR, Portland
    Regena S. Warren,
    Multnomah County,
    421 SW Sixth Avenue, Suite 200,
    Portland, OR 97204,
    503-248-3691 (Phone),
    503-248-3379 (Fax)
PA, Harrisburg
    Terri Martini,
    Director,
    Department of Building and Housing Development,

[[Page 9356]]

    City of Harrisburg, Suite 206,
    10 North Second Street,
    Harrisburg, PA 17101,
    717-255-6408 (Phone),
    717-255-6421 (Fax)
PA, Pittsburgh
    Joan Blaustein,
    Manager, Special Projects,
    City Planning Dept.,
    City of Pittsburgh,
    200 Ross Street, 4th Floor,
    Pittsburgh, PA 15219,
    412-255-2206 (Phone),
    412-255-2838 (Fax)
RI, Providence
    Kim Rose,
    Enterprise Community Project Director,
    The Providence Plan,
    56 Pine Street, Suite 3B,
    Providence, RI 02903,
    401-455-8880 (Phone),
    401-331-6840 (Fax)
SC, Charleston/N. Charleston
    Geona Shaw Johnson,
    Coordinator,
    Enterprise Community Program,
    Department of Housing and Community Development,
    City of Charleston,
    75 Calhoun Street, 3rd Floor,
    Charleston, SC 29401,
    843-973-7285 (Phone),
    843-720-3836 (Fax)
TN, Memphis
    Joseph C. Gibbs, Economic Development Coordinator,
    Memphis Technical Assistance & Resource Center (MTARC),
    555 Beale Street,
    Memphis, TN 38103-3297,
    901-526-9300 ext.109 (Phone),
    901-525-2357 (Fax)
TN, Nashville
    Paul Johnson,
    Metropolitan Development and Housing Agency,
    701 South Sixth Street,
    Nashville, TN 37206,
    615-252-8543 (Phone),
    615-252-8559 (Fax)
TX, Dallas
    Mark Obeso, Fund Development Manager, City of Dallas, 1500 
Marilla, 2B North, Dallas, TX 75201, 214-670-4897 (Phone), 214-670-
5798 (Fax)
TX, San Antonio
    Curley Spears, San Antonio EZ/EC Coordinator, 419 South Main 
St., Suite 200, San Antonio, TX 78204, 210-207-6605 (Phone), 210-
886-0006 (Fax)
TX, Waco
    George Johnson, Jr., Assistant City Manager, City of Waco, 
Office of Economic Development, 300 Austin Avenue, Waco, TX 76701-
2570, 254-750-5640 (Phone), 254-750-5880 (Direct), 254-750-5880 
(Fax)
UT, Ogden
    Karen Thurber, Ogden City Neighborhood Development, 2484 
Washington Boulevard, Suite 211, Ogden, UT 84401, 801-629-8943 
(Phone), 801-629-8902 (Fax)
VT, Burlington
    Maria Vaivao, EC Coordinator, Office of Community & Economic 
Development, City Hall, Room 32, Burlington, VT 05401, 802-865-7182 
(Phone), 802-865-7024 (Fax)
WA, Seattle
    Ben Wolters, Senior Community Development Specialist, City of 
Seattle, Office of Economic Development, Seattle Municipal Building, 
Room 205, Seattle, WA 98104-1826, 206-684-8591 (Phone), 206-684-0379 
(Fax)
WA, Tacoma
    Dr. Shirl E. Gilbert II, Executive Director, Tacoma Empowerment 
Consortium, 1101 Pacific Avenue, Tacoma, WA 98402, 253-274-1288 
(Phone), 253-274-1289 (Fax)
WI, Milwaukee
    Glen Mattison, Enterprise Community Program Officer, City of 
Milwaukee, Community Block Grant Administration, 200 East Wells 
Street, City Hall, Room 606, Milwaukee, WI 53202, 414-286-3760 
(Phone), 414-286-5003 (Fax)

URBAN STRATEGIC PLANNING COMMUNITIES (15)

AK, Anchorage
Karen Mathis, Director of Community Planning & Development, 
Municipality of Anchorage, P.O. Box 196650, Anchorage, AK 99519-
6650, 907-343-4303 (Phone), 907-343-4220 (Fax)
NY, Brooklyn
George Glatter, Executive Director, City of New York, Department of 
Business Services, 110 William Street, 3rd Floor, New York, NY 
10038, 212-513-6442 (Phone), 212-618-8987 (Fax)
AL, Birmingham (See EC)
AR, Little Rock/N. Little Rock (See EC)
KS/MO, Kansas City, KS/Kansas City, MO (see EEC)
KY, Louisville (See EC)
LA, New Orleans (See EC)
MS, Jackson (See EC)
NV, Las Vegas/N. Las Vegas (see EC)
NJ, Newark/Elizabeth (See EC)
RI, Providence (See EC)
SC, Charleston/N. Charleston (See EC)
TX, San Antonio (See EC)
VT, Burlington/Plattsburgh, NY (see EC)
WA, Tacoma/Lakewood (See EC)
BILLING CODE 4210-32-P

[[Page 9357]]

Appendix B

    This appendix to the General Section of the SuperNOFA contains the 
standard forms, certifications and assurances used by the majority if 
not all of the programs that are part of the SuperNOFA. Also included 
in this appendix is Form HUD-52515, Funding Application, required for 
the Section 8 voucher assistance funding announcement. These forms are 
found on the following pages. 
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Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9389]]



FUNDING AVAILABILITY FOR COMMUNITY DEVELOPMENT TECHNICAL ASSISTANCE 
(CD-TA) PROGRAMS--CHDO, HOME, MCKINNEY ACT HOMELESS ASSISTANCE AND 
HOPWA

Program Overview

    Purpose of the Program. The purposes of the technical assistance 
programs in this SuperNOFA are:
    CHDO Technical Assistance. To promote the ability of Community 
Housing Development Organizations (CHDOs) to maintain, rehabilitate and 
construct housing for low-income and moderate-income families; 
facilitate the education of low-income homeowners and tenants; and help 
women who reside in low- and moderate-income neighborhoods to 
rehabilitate and construct housing in these neighborhoods.
    HOME Technical Assistance. To help HOME participating jurisdictions 
design and implement HOME programs, including: improving their ability 
to design and implement housing strategies and incorporate energy 
efficiency into affordable housing; facilitating the exchange of 
information to help participating jurisdictions carry out their 
programs; facilitating the establishment and efficient operation of 
employer-assisted housing programs and land bank programs; and 
encouraging private lenders and for-profit developers of low-income 
housing to participate in public-private partnerships.
    McKinney Act Homeless Assistance Programs Technical Assistance. To 
provide applicants, potential applicants, grantees, and project 
sponsors for McKinney Act funded Emergency Shelter Grants, Supportive 
Housing Program, Section 8 Moderate Rehabilitation Single Room 
Occupancy and Shelter Plus Care projects with technical assistance to 
promote the development of housing and supportive services as part of 
the Continuum of Care approach, including innovative approaches to 
assist homeless persons in the transition from homelessness, and to 
enable them to live as independently as possible.
    Housing Opportunities for Persons with AIDS (HOPWA). To train HOPWA 
grantees, project sponsors, and potential recipients of program funds 
in comprehensive housing strategies and responsive area programs that 
assist residents who are living with HIV/AIDS; in the sound management 
of HOPWA programs to support program operations in an efficient and 
effective manner, including undertaking community consultations, 
program planning, housing development and operations, program 
evaluation and reporting on accomplishments; and to build the capacity 
of nonprofit organizations to carry out activities as HOPWA project 
sponsors.
    Available Funds. Up to $22.74 million is available for the four CD-
TA programs.
    Eligible Applicants. Specific eligibility requirements for the four 
CD-TA programs are found below in Section III(C). Forty percent of the 
CHDO, HOME and McKinney Act Homeless Assistance technical assistance 
funds is limited to qualified providers who have not previously 
received a CPD technical assistance award. This limitation is not 
applicable to HOPWA technical assistance.
    Application Deadline. May 19, 2000.
    Match. None.

ADDITIONAL INFORMATION

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit your completed applications (an 
original and one copy) on or before 12:00 midnight, Eastern time, on 
May 19, 2000, at the address shown below.
    The original application that you submit to Headquarters is 
considered the official application. Send a copy of your application on 
or before the application deadline date to the HUD CPD Field Office(s) 
in which you are seeking to provide services. Only one application per 
applicant is permitted; however, one application can include as few as 
one or as many as all four CD-TA programs.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Addresses for Submitting Applications. HUD Headquarters. Your 
completed application consists of one original application and one 
copy. Submit your original application to HUD Headquarters, U.S. 
Department of Housing and Urban Development, CPD Processing and Control 
Branch, Room 7251, 451 Seventh Street, SW, Washington, DC 20410.
    Copy to Field Office. Send a copy of the application to the 
appropriate CPD Field Office(s) at the address shown on the list of HUD 
CPD Field Offices included in the application kit.
    When submitting your application, please refer to the Community 
Development Technical Assistance Program. Be sure to include your name, 
mailing address (including zip code), telephone number (including area 
code), and fax number (including area code).
    For Application Kits. For an application kit and any supplemental 
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, 
please refer to ``Community Development Technical Assistance Programs 
or CD-TA.'' Please be sure to provide your name, address (including zip 
code), telephone number (including area code), and fax number 
(including area code).
    For Further Information and Technical Assistance. You may contact 
the HUD CPD Office serving your area at the telephone number listed in 
the list of HUD CPD Field Offices included in the application kit, or 
you may contact Penny McCormack at 202-708-3176, x4391 in HUD 
Headquarters. Information on this SuperNOFA also may be obtained 
through the HUD web site on the Internet at http://www:HUD.gov.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) The amounts allocated for each CD-TA program are as follows:

CHDO TA funds: up to $8,000,000 Total
    $3,200,000 Single State
    $4,800,000 Multi-State
HOME TA funds: up to $9,000,000
McKinney Act Homeless Assistance
Programs TA funds: up to $4,000,000
HOPWA TA funds: up to $1,740,000

    (B) Each HUD/CPD Field Office has been allocated a ``fair-share'' 
of CD-TA funds for purposes of this competition, except for the HOPWA 
TA funds which will be awarded only through a national competition (see 
CD-TA Appendix A for the fair share allocations). The amounts are based 
on allocations of HOME and McKinney Act Homeless Assistance formula 
funds and competitive programs for which Field Offices have management 
oversight. These amounts are only for guidance purposes for you to 
develop your

[[Page 9390]]

program budgets by Field Office jurisdiction and are not the exact 
amounts to be awarded to you in each area.
    HUD will determine the total amount to be awarded to any provider 
based upon the size and needs of the provider's service area within 
each Field Office jurisdiction in which the provider is selected to 
operate, the funds available for that area, the number of other 
awardees selected in that area, and the scope of the technical 
assistance to be provided. Additionally, HUD may reduce the amount of 
funds allocated for Field Office jurisdictions to fund national CD-TA 
providers and other CD-TA providers for activities which cannot be 
budgeted or estimated by Field Office jurisdiction. HUD may require 
selected applicants, as a condition of funding, to provide coverage on 
a geographically broader basis than applied for in order to supplement 
or strengthen the intermediary network in terms of the location 
(service area), types and scope of technical assistance proposed.
    (C) In order to reach new technical assistance providers in the 
HOME, CHDO and McKinney Act Homeless Assistance program areas, 40% of 
the funds in each of these three program areas within a Field Office 
(or at the national level) will be awarded to applicants who have not 
previously been funded under a CPD technical assistance competition. 
Therefore, approximately $3.6 million will be awarded to new providers 
in HOME; $3.2 million in CHDO; and $1.6 million in McKinney Act 
Homeless Assistance. With respect to CHDO funds, 40% of the total funds 
(single state and multi-state combined) are earmarked for new 
providers. If qualified new applicants are not found in each program 
area in each Field Office and/or at the national level, the remaining 
funds will be made available for previously funded providers. The 
reverse also is true.
    (D) To the extent permitted by funding constraints, HUD intends to 
provide coverage for as full a range as possible, of eligible CD-TA 
activities of each CD-TA program in each Field Office jurisdiction. To 
achieve this objective, HUD will fund the highest ranking providers 
that bring the required expertise in one or more specialized activity 
areas, and fund portions of providers' proposed programs in which they 
have the greatest skill and capability for given geographic areas or on 
a national basis. HUD also may require national, multi-jurisdictional, 
or other providers to provide coverage to Field Office jurisdictions 
which cannot otherwise receive cost-effective support from a CD-TA 
provider. In selecting applicants for funding, in addition to the 
rating factors, HUD will apply program policy criteria identified in 
Section V of this CD-TA Program section of SuperNOFA to select a range 
of providers and activities that would best serve program objectives 
for each program serviced by the CD-TA funded under this SuperNOFA.

III. Program Description; Program Award Period; Eligible 
Applicants; Eligible Activities; and Sub-Grants/Pass Through Funds

    (A) Program Description. Up to $22.74 million in technical 
assistance (TA) funds is available from four separate technical 
assistance programs: Community Housing Development Organization (CHDO) 
TA, HOME TA, McKinney Act Homeless Assistance TA, and HOPWA TA 
(collectively ``CD-TA'').
    The funding of these four CD-TA programs through a single funding 
availability announcement will not affect the ability of eligible 
applicants to seek CD-TA funding. Eligible applicants are able to apply 
for funding under as few as one, and as many as four, separate CD-TA 
programs, individually or collectively, singularly or in combination. 
The specific provisions of the four separate CD-TA programs have not 
been changed. This Community Development Technical Assistance Programs 
section of the SuperNOFA reflects the statutory requirements and 
differences in the four different CD-TA programs.
    (B) Program Award Period. (1) Cooperative Agreements will be for a 
period of up to 36 months. HUD, however, reserves the right to:
    (a) Terminate awards in accordance with provisions contained in OMB 
Circular A-102, and 24 CFR parts 84 and 85 anytime after 12 months;
    (b) Withdraw funds from a specific provider, if HUD determines that 
the urgency of need for the assistance is greater in other Field Office 
jurisdictions or the need for assistance is not commensurate with the 
award for assistance;
    (c) Extend the performance period of individual awardees up to a 
total of 12 additional months.
    (2) In cases where an applicant selected for funding under this CD-
TA program section of the SuperNOFA currently is providing CD technical 
assistance under an existing CD-TA grant/cooperative agreement, HUD 
reserves the right to adjust the start date of funding under this 
program to coincide with the conclusion of the previous award, or to 
incorporate the remaining activities from the previous award into the 
new agreement, adjusting the funding levels as necessary.
    (C) Eligible Applicants. (1) General. The eligible applicants for 
each of the four CD-TA programs are listed in paragraphs (2), (3), (4) 
and (5) of this Section (C). This paragraph (1) lists requirements 
applicable to all applicants.
    (a) Many organizations are eligible to apply for more than one CD-
TA program and are encouraged to do so to the extent they have the 
requisite experience, expertise and capability.
    (b) All applicant organizations must have demonstrated ability to 
provide CD-TA in a geographic area larger than a single city or county 
and must propose to serve an area larger than a single city or county.
    (c) An organization may not provide assistance to itself, and any 
organization funded to assist CHDOs under this CD-TA Program section of 
the SuperNOFA may not act as a CHDO itself within its service area 
while under award with HUD.
    (d) A consortium of organizations may apply for one or more CD-TA 
programs, but HUD will require that one organization be designated as 
the legal applicant, where legally feasible. Where one organization 
cannot be so designated for all proposed activities, HUD may execute 
more than one cooperative agreement with the members of a consortium. 
However, in general HUD will not award more than one cooperative 
agreement per application unless necessary due to legal requirements.
    (e) All applicants must meet minimum statutory eligibility 
requirements for each CD-TA program for which they are chosen in order 
to be awarded a cooperative agreement. Copies of the Technical 
Assistance program regulations will be provided with the application 
kit.
    (f) All eligible CD-TA providers may propose assistance using in-
house staff, consultants, sub-contractors and sub-recipients, networks 
of private consultants and/or local organizations with requisite 
experience and capabilities. Whenever possible, applicants should make 
use of technical assistance providers located in the Field Office 
jurisdiction receiving services. This draws upon local expertise and 
persons familiar with the opportunities and resources available in the 
area to be served while reducing travel and other costs associated with 
delivering the proposed technical assistance services.
    (g) All applicants must meet the applicable threshold requirements 
of

[[Page 9391]]

Section II(B) of the General Section of the SuperNOFA.
    (2) McKinney Act Homeless Assistance Programs TA Eligible 
Applicants.
    (a) States, units of general local government, and public housing 
authorities.
    (b) Public and private non-profit or for-profit groups, including 
educational institutions and area-wide planning organizations, 
qualified to provide technical assistance on McKinney Act Homeless 
Assistance projects.
    (3) CHDO TA Eligible Applicants. Public and private non-profit 
intermediary organizations that customarily provide services (in more 
than one community) related to affordable housing or neighborhood 
revitalization to CHDOs, or similar organizations that engage in 
community revitalization, including all eligible organizations under 
section 233 of the Cranston-Gonzalez National Affordable Housing Act, 
as amended.
    HUD will consider an intermediary as a primarily single State 
technical assistance provider if it can document that more than 50% of 
its past activities in working with CHDOs or similar nonprofit and 
other organizations (on the production of affordable housing or 
revitalization of deteriorating neighborhoods and/or the delivery of 
technical assistance to these groups) was confined to the geographic 
limits of a single State.
    (4) HOME TA Eligible Applicants.
    (a) A for-profit or non-profit professional and technical services 
company or firm that has demonstrated capacity to provide technical 
assistance services;
    (b) A HOME participating jurisdiction (PJ) or agency thereof;
    (c) A public purpose organization responsible to the chief elected 
official of a PJ and established pursuant to State or local 
legislation;
    (d) An agency or authority established by two or more PJs to carry 
out activities consistent with the purposes of the HOME program;
    (e) A national or regional non-profit organization that has 
membership comprised predominantly of entities or officials of entities 
of PJs or PJs' agencies or established organizations.
    (5) HOPWA TA Eligible Applicants.
    (a) Non-profit organizations; and
    (b) States and units of general local government.
    (D) Eligible Activities. Eligible activities as appropriate for 
each of the four CD-TA programs are listed below:
    (1) CHDO Technical Assistance. CHDO Technical Assistance funds may 
be used only for the following eligible activities:
    (a) Organizational Support--Organizational support assistance may 
be made available to community housing development organizations to 
cover operational expenses and to cover expenses for training and 
technical, legal, engineering and other assistance to the board of 
directors, staff, and members of the community housing development 
organization;
    (b) Housing Education--Housing education assistance may be made 
available to community housing development organizations to cover 
expenses for providing or administering programs for educating, 
counseling, organizing homeowners and tenants who are eligible to 
receive assistance under other provisions of the HOME Program;
    (c) Program-Wide Support of Nonprofit Development and Management--
Technical assistance, training, and continuing support may be made 
available to eligible community housing development organizations for 
managing and conserving properties developed under the HOME Program;
    (d) Benevolent Loan Funds--Technical assistance may be made 
available to increase the investment of private capital in housing for 
very low-income families, particularly by encouraging the establishment 
of benevolent loan funds through which private financial institutions 
will accept deposits at below-market interest rates and make those 
funds available at favorable rates to developers of low-income housing 
and to low-income homebuyers;
    (e) Community Development Banks and Credit Unions--Technical 
assistance may be made available to establish privately owned, local 
community development banks and credit unions to finance affordable 
housing;
    (f) Community Land Trusts--Organizational support, technical 
assistance, education, training and continuing support under this 
subsection may be made available to community land trusts (as such term 
is defined in section 233(f) of the Cranston-Gonzalez National 
Affordable Housing Act) and to community groups for the establishment 
of community land trusts; and
    (g) Facilitating Women in Homebuilding Professions--Technical 
assistance may be made available to businesses, unions, and 
organizations involved in construction and rehabilitation of housing in 
low- and moderate-income areas to assist women residing in the area to 
obtain jobs involving such activities, which may include facilitating 
access by helping such women develop nontraditional skills, recruiting 
women to participate in such programs, providing continuing support for 
women at job sites, counseling and educating businesses regarding 
suitable work environments for women, providing information to such 
women regarding opportunities for establishing small housing 
construction and rehabilitation businesses, and providing materials and 
tools for training such women (in an amount not exceeding 10% of any 
assistance provided under this paragraph). HUD shall give priority 
under this paragraph to providing technical assistance for 
organizations rehabilitating single family or multifamily housing owned 
or controlled by HUD pursuant to title II of the National Housing Act 
and which have women members in occupations in which women constitute 
25% or less of the total number of workers in the occupation (in this 
section referred to as ``nontraditional occupations'').
    (2) HOME Technical Assistance. HUD will provide assistance to:
    (a) Facilitate the exchange of information that would help 
participating jurisdictions carry out the purposes of the HOME statute, 
including information on program design and accessibility, housing 
finance, land use controls, and building construction techniques;
    (b) Improve the ability of States and units of local government to 
design and implement housing strategies, particularly those States and 
units of local government that are relatively inexperienced in the 
development of affordable housing;
    (c) Encourage private lenders and for-profit developers of low-
income housing to participate in public-private partnerships to achieve 
the purposes of the HOME statute;
    (d) Improve the ability of States and units of local government, 
community housing development organizations, private lenders, and for-
profit developers of low-income housing to incorporate energy 
efficiency into the planning, design, financing, construction and 
operation of affordable housing;
    (e) Facilitate the establishment and efficient operation of 
employer-assisted housing programs, through research, technical 
assistance, and demonstration projects; and
    (f) Facilitate the establishment and efficient operation of land 
bank programs, under which title to vacant and abandoned parcels of 
real estate located in or causing blighted neighborhoods is cleared for 
use consistent with the purposes of the HOME statute.

[[Page 9392]]

    (3) McKinney Act Homeless Assistance Programs Technical Assistance. 
Funds are available to provide technical assistance to McKinney Act 
funded Homeless Assistance projects. Funds may be used to provide 
technical assistance to prospective applicants, applicants, recipients 
or other providers (project sponsors) of McKinney Act funded housing 
and supportive services for homeless persons. The assistance may 
include, but is not limited to, written information such as papers, 
manuals, guides and brochures; person-to-person exchanges; on-site 
assessments and provision of technical expertise; and training and 
related costs.
    (4) HOPWA Technical Assistance. For the purposes of this CD-TA 
program section of the SuperNOFA, HOPWA technical assistance shall mean 
the transfer to HOPWA grantees and project sponsors and potential 
recipients of program funds, the skills and knowledge needed to 
develop, operate and support HOPWA-eligible projects and activities.
    An applicant for HOPWA TA funds must propose activities on a 
national basis, a regional basis (e.g., serving a multi-state area) or 
within a State or community. The application should emphasize how 
activities will advise and train communities and project sponsors in 
undertaking program planning, community consultations, housing 
development and operations, coordination with related health-care and 
other supportive services, and evaluation and reporting on program 
performance. The Department has established the following national 
goals for HOPWA TA projects:

 National Goal--Sound Management of HOPWA Programs and Projects

    HOPWA TA funds can be used to help to strengthen the management, 
operation, and capacity of grantees, project sponsors, and potential 
applicants to ensure that organizations use funds in a manner that 
upholds the public trust in the operation of programs. To achieve this 
goal, HOPWA TA can be used in the following areas:
    (i) Management and operations through such activities as:
    (A) Advising on management practices to ensure responsive, 
efficient and cost effective facility and program operations;
    (B) Advising on fiscal management to ensure accountability in the 
use of funds; and
    (C) Assisting projects in using the Department's information 
technology, financial systems and information management systems.
    (ii) State, local, and community planning through such activities 
as:
    (A) Advising on the coordination of housing with health-care and 
other related supportive services for eligible persons;
    (B) Assisting in developing collaborations with local, State and 
Federal agencies that administer HIV/AIDS-related programs, including 
programs funded under the Ryan White CARE Act;
    (C) Creating or linking to existing needs assessments of the area's 
housing needs of persons living with HIV/AIDS and their families;
    (D) Creating or linking to comprehensive multiple-year HIV/AIDS 
housing plans that are undertaken in collaboration with local, State 
and federal programs including the Ryan White CARE Act programs; and
    (E) Creating or linking to existing plans that address specialized 
needs of clients, including assistance for clients with serious mental 
illness, chronic alcohol and other drug abuse issues, and homelessness.
    (iii) Program evaluation through such activities as:
    (A) Advising on data collection and program evaluation; and
    (B) Developing and providing program handbooks, guidance materials, 
audio/visual products, training, and other activities to promote good 
management practices.

 National Goal--Targeting Resources to Underserved Populations

    The Department has been advised by persons living with HIV/AIDS, 
HIV/AIDS housing providers, and national organizations, of the 
continuing disparity in accessing health-care and HIV/AIDS treatment 
among underserved populations, such as, racial and ethnic minority 
populations, women, and persons living in rural areas. In an effort to 
meet this continuing need and diversify the number and type of 
organizations that have traditionally received HOPWA funding, the 
Department is encouraging that HOPWA TA funds be used to build 
collaborations between HOPWA grantees, project sponsors, and/or 
potential grantees to enhance the provision of housing assistance and 
related supportive services to better serve underserved populations on 
a national, regional, or local level.
    Collaborations may pair organizations that are experienced in 
developing or operating housing facilities and housing assistance 
programs with organizations that provide services or use culturally-
sensitive efforts to reach persons in underserved communities, but may 
have little or no experience in meeting the housing needs of persons 
living with HIV/AIDS. It is intended that this collaborative approach 
will meet the HOPWA TA goal of providing for sound management of HOPWA 
programs, projects, or potential applicants.
    HOPWA TA providers seeking funds to work with organizations 
targeting underserved populations must further the HOPWA TA national 
goal of Sound Management by addressing the following.
    (i) Addressing the management and operation of organizations 
serving underserved populations by:
    (A) Helping organizations reach underserved populations in areas 
that lack housing and health care infrastructure; and
    (B) Improving organizational capacity to develop, operate, manage, 
and evaluate housing assistance programs for underserved persons living 
with HIV/AIDS.
    (ii) Addressing State, local, and community planning affecting 
underserved populations by:
    (A) Assisting less experienced organizations serving underserved 
populations to become involved in existing state, local, and community 
planning addressing the housing and related supportive service needs of 
persons living with HIV/AIDS; and
    (B) Addressing community needs--assisting organizations to address 
the unmet needs of underserved populations in state, local, and 
community planning processes.
    (iii) Addressing program evaluation of projects serving underserved 
populations by:
    (A) Advising on data collection and program evaluation serving 
underserved populations;
    (B) Disseminating information on data collection outcomes and 
program evaluations to increase knowledge of model programs serving the 
housing needs of underserved populations; and
    (C) Providing program handbooks, guidance materials, audio/visual 
products, training, and other activities to promote good management 
practices of organizations targeting underserved populations.

    Note: All assistance provided to targeted underserved 
communities must be in accordance with the requirements of the Fair 
Housing Act.

    For the purposes of the HOPWA TA portion of this NOFA, underserved 
populations are defined as low-income populations living with HIV/AIDS 
and their families, such as racial or ethnic minority groups, women, 
persons living in rural areas, or other underserved groups as 
determined by your service

[[Page 9393]]

area, whose housing and related service needs are not currently being 
met in your service area. To meet this definition of an underserved 
population, you must present reliable statistics and data sources 
(i.e., Census, health department statistics, research, scientific 
studies, Consolidated Plan, and Continuum of Care documentation), 
showing the unmet need in the provision of housing and supportive 
services for the identified underserved population. HUD will consider 
your presentation of statistics and data sources based on soundness and 
reliability and the specificity of information to the underserved 
population and the area to be served.
    (E) Sub-Grants/Pass-Through Funds. Applicants may propose to make 
sub-grants to achieve the purposes of their proposed CD-TA programs in 
accordance with program requirements in Section IV of this CD-TA 
Program section of the SuperNOFA. In the case of CHDO TA, these sub-
grants (also called ``pass-through'' funds) may be made for eligible 
activities and to eligible entities as identified in Section 233(b)(1), 
(2), and (7) of the Cranston-Gonzalez National Affordable Housing Act. 
When CHDO TA sub-grants are made to CHDOs, two statutory provisions 
apply:
    (1) The sub-grant amount, when combined with other capacity 
building and operating support available through the HOME program, 
cannot exceed the greater of 50% of the CHDO's operating budget for the 
year in which it receives the funds, or $50,000 annually;
    (2) An amount not exceeding 10% of the total funds awarded for the 
``Women in the Homebuilding Professions'' eligible activity may be used 
to provide materials and tools for training such women.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, applicants are subject to the following 
requirements:
    (A) Program Requirements for CHDO, HOME and McKinney Act Homeless 
Assistance.
    (1) Profit/Fee. No increment above cost, no fee or profit, may be 
paid to any recipient or subrecipient of an award under this CD-TA 
Program section of the SuperNOFA.
    (2) Demand/Response Delivery System.
    (a) As an awardee, you must operate within the structure of the 
demand/response system described in this section. You must coordinate 
your plans with, and operate under the direction of, each HUD Field 
Office within whose jurisdiction you are operating. When so directed by 
a Field Office, you will coordinate your activities instead through a 
lead CD-TA provider or other organization designated by the Field 
Office.
    (b) If selected as the lead CD-TA provider in any Field Office 
jurisdiction, as an awardee you must coordinate the activities of other 
CD-TA providers selected under this CD-TA Program section of the 
SuperNOFA under the direction of the HUD Field Office. Joint activities 
by CD-TA providers may be required.
    (c) Under the demand/response system, CD-TA providers will be 
required to:
    (i) When requested by a Field Office or Government Technical 
Representative (GTR), market the availability of their services to 
existing and potential clients to include local jurisdictions in which 
the assistance will be delivered.
    (ii) Respond to requests for assistance from the HUD Field 
Office(s) with oversight of the geographic service area for which the 
technical assistance will be delivered, including responding to 
priorities established by the Field Office in its Grants Management 
System. CHDOs, HOME PJs, and McKinney Act Homeless Assistance grantees 
may request assistance from the CD-TA provider directly, but such 
requests must be approved by the local HUD Field Office.
    (iii) When requested by a Field Office or GTR, conduct a Needs 
Assessment to identify the type and nature of the assistance needed by 
the recipients of the assistance. These needs assessments should 
typically identify the nature of the problem to be addressed by the 
technical assistance services; the plan of action to address the need 
including the type of technical assistance services to be provided, the 
duration of the service, the staff assigned to provide the assistance, 
anticipated products and/or outcomes, and the estimated cost for the 
provision of services; and the relationship of the proposed services to 
the planned or expected Consolidated Plan submission to HUD and to 
other technical assistance providers providing service within the 
locality.
    (iv) Obtain approval for the Technical Assistance Delivery Plan 
(TADP) from the HUD Field Office(s) with oversight for the area in 
which service will be provided. (See Section 3 below).
    (v) Work cooperatively with other CD-TA providers in their 
geographic areas to ensure that clients are provided with the full 
range of CD-TA services needed and available. CD-TA providers are 
expected to be knowledgeable about the range of services available from 
other providers, make referrals and arrange visits by other CD-TA 
providers when appropriate, and carry out CD-TA activities concurrently 
when it is cost-effective and in the interests of the client to do so. 
HUD Field Offices may direct CD-TA providers to conduct joint 
activities.
    (3) Technical Assistance Delivery Plan (TADP).
    (a) After selection for funding but prior to award, you must 
develop a TADP for each Field Office jurisdiction or National Program 
for which you have been selected, in consultation with the Field office 
and/or GTR.
    (b) In developing the TADP, you must follow the Field Office's 
Business Operating Plan (BOP) and management strategies/workplans for 
each community/State in the Field Office's jurisdiction. You must use 
these BOP/management strategies/workplans in determining your priority 
work activities, location of activities, and organizations to be 
assisted during the cooperative agreement performance period.
    (c) The BOP/grantee management strategies/workplans are part of the 
Field Office's Grants Management Process (GMP) and should indicate the 
issues to be addressed by CD-TA, the improved performance expected as a 
result of CD-TA, and methods for measuring the success of the CD-TA.
    (d) The TADP must delineate all the tasks and sub-tasks for each CD 
program the applicant will undertake in each Field Office jurisdiction. 
The TADP must show the location of the community/State in which the CD-
TA activities will occur, the level of CD-TA funding and proposed 
activities by location, the improved program performance or other 
results expected from the CD-TA and the methodology to be used for 
measuring the success of the CD-TA. A time schedule for delivery of the 
activities, budget summary, budget-by-task and staffing plan must be 
included in the TADP.
    (4) Negotiation. After all applications have been rated and ranked 
and a selection has been made, HUD requires that all winners 
participate in negotiations to determine the specific terms of the TADP 
and the budget. HUD will follow the negotiation procedures described in 
Section III(D) of the General Section of the SuperNOFA.
    (5) Forms, Certifications and Assurances. You must submit with your 
application the forms, certifications and assurances listed in the 
General Section of this SuperNOFA. After selection for funding but 
prior to your providing

[[Page 9394]]

services to a specific community you must submit the CHDO TA 
designation letter (where applicable).
    (6) Financial Management and Audit Information. After selection for 
funding but prior to award, you must submit a certification from an 
Independent Public Accountant or the cognizant government auditor, 
stating that your financial management system meets prescribed 
standards for fund control and accountability required by 24 CFR part 
84 for Institutions of Higher Education and other Non-Profit 
Institutions, 24 CFR part 85 for States and local governments, or the 
Federal Acquisition Regulations (for all other applicants). The 
information should include the name and telephone number of the 
independent auditor, cognizant Federal auditor, or other audit agency 
as applicable.
    (7) Designation for CHDO Technical Assistance Providers. CHDO TA 
providers will be responsible for securing a technical assistance 
designation letter from a PJ stating that a CHDO or prospective CHDO to 
be assisted by the provider is a recipient or intended recipient of 
HOME funds and indicating, at its option, subject areas of assistance 
that are most important to the PJ.
    (8) Training Sessions. When conducting training sessions as part of 
its CD-TA activities, CD-TA providers are required to:
    (a) Design the course materials as ``step-in'' packages (also 
called ``train-the trainer'' packages) so that a Field Office or other 
CD-TA provider may separately give the course on its own;
    (b) Arrange for joint delivery of the training with Field Office 
participation when so requested by the Field Office or by the GTR for 
national grants; and
    (c) When requested by a Field Office and/or GTR, provide for 
professional videotaping of the workshops/courses and ensure their 
production in a professional and high-quality manner, suitable for 
viewing by other CD clients (if this requirement is implemented, 
additional funds may be requested).
    (d) When required by HUD, deliver HUD-approved training courses 
that have been designed and developed by other HUD contractors or HUD 
cooperating parties on a ``step-in'' basis for CD-TA clients, and send 
trainers to HUD-approved Train-the Trainer sessions.
    (9) Reports to Field Offices and/or GTRs. CD-TA providers will be 
required to report to the HUD Field Office(s) with oversight of the 
geographic area(s) in which CD-TA services are provided or to 
Headquarters GTRs in the case of national providers. At a minimum, this 
reporting will be on a quarterly basis unless otherwise specified in 
the approved TADP.
    (10) Active Participation. HUD Field Offices will be active 
participants in the delivery of all technical assistance by funded 
providers throughout the term of the cooperative agreement.
    (11) CHDO Pass-Through Funds. CD-TA providers proposing pass-
through grants are required to:
    (a) Establish written criteria for selection of CHDOs receiving 
pass-through funds which includes the following:
    (i) Participating jurisdictions (PJs) must designate the 
organizations as CHDOs.
    (ii) Generally, the organizations should not have been in existence 
more than 3 years.
    (b) Enter into an agreement with the CHDO that the agreement and 
pass-through funding may be terminated at the discretion of the 
Department if no written legally binding agreement to provide 
assistance for a specific housing project (for acquisition, 
rehabilitation, new construction or tenant-based rental assistance) has 
been made by the PJ with the CHDO within 24 months of receiving the 
pass-through funding.
    (12) CHDO TA Program Limitations. (a) Pursuant to section 233(d)(1) 
and (2) of the Cranston-Gonzalez National Affordable Housing Act, 
funding to any single eligible nonprofit intermediary organization 
seeking to provide CHDO TA, whether as an independent or joint 
applicant, is limited to the lesser of 20% of all funds, or an amount 
not to exceed 20% of the organization's operating budget for any one 
year (not including funds sub-awarded or passed through the 
intermediary to CHDOs).
    (b) Pursuant to section 233(e), HUD is making available through 
this CD-TA program section of the SuperNOFA 40% of the total CHDO TA 
funds to single state providers within the Field Offices. As discussed 
in Section III(C)(3), CHDO Eligible Applicants, to be considered a 
single state provider you must be able to document that 50% of your 
past activities working with CHDOs or similar nonprofits and other 
organizations was confined to the geographic limits of a single state. 
Therefore, you can be designated a single state provider in one Field 
Office jurisdiction only and you should so indicate on your funding 
matrix submission. In all other Field Offices in which you are applying 
for CHDO TA funding, you are a multi-state provider. If there are no 
single state applicants or the qualified single state applicants 
utilize less than the 40% set-aside in a given Field Office, that Field 
Office's single state CHDO set-aside will be redistributed among the 
qualified multi-state providers in that Field Office. Field Offices 
also may utilize their multi-state set-aside for single state 
applicants if the reverse is true.
    (13) HOME TA Program Limitations. Pursuant to section 243(b) of the 
Cranston-Gonzalez National Affordable Housing Act, funding to any 
single eligible HOME TA organization, whether as an independent or 
joint applicant, is limited to not more than 20% of the operating 
budget of the recipient organization in any one year and is limited to 
20% of the funds available under this CD-TA program section of the 
SuperNOFA.
    (14) CHDO and HOME National TA Program Guidance. With the funds 
designated for a national TA program, HUD intends to fund applications 
which propose activities to support the following purposes:
    (a) CHDO Technical Assistance. To promote the ability of Community 
Housing Development Organizations (CHDOs) to own, develop or sponsor 
housing for low and very-low income families; to facilitate the 
education of low-income homebuyers, homeowners and tenants; and/or to 
help women who reside in low-income neighborhoods to rehabilitate or 
construct housing in their communities. Proposals should directly 
address how the capacity of CHDOs may be improved to ensure that HOME 
funds are used effectively, efficiently and in compliance with the HOME 
rules to develop affordable housing. Emphasis should be placed on basic 
skills needed to develop, maintain and manage well designed and 
constructed affordable housing over the long term when using Federal 
funds.
    (b) HOME Technical Assistance. To help HOME participating 
jurisdictions design and implement HOME programs, including: improving 
their ability to design and implement housing strategies and 
incorporate energy efficiency into affordable housing, facilitating the 
exchange of information to help participating jurisdictions carry out 
their programs; facilitating the establishment and efficient operation 
of employer-assisted housing programs; and/or encouraging private 
lenders and for-profit developers of low-income housing to participate 
in public-private partnerships. Proposals should directly address how 
the capacity of participating jurisdictions may be improved to ensure 
that HOME funds are used effectively, efficiently and in compliance 
with the HOME rules to develop affordable housing. Emphasis should be 
placed on the basic skills and systems needed to develop, maintain

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and manage well designed and constructed affordable housing over the 
long term when using Federal funds.
    (15) Affirmatively Furthering Fair Housing. Section II(D) of the 
General Section of the SuperNOFA does not apply to these technical 
assistance programs.
    (B) Program Requirements for HOPWA Technical Assistance.
    (1) General Requirements. The items listed below specify the 
requirements that apply to the HOPWA TA applications as follows: in 
Section (A), Paragraphs: (1) on Profit/Fee; (4) Negotiation, except 
that the TADP reference will apply to a workplan negotiated between the 
applicant and the GTR for the HOPWA TA grant in HUD Headquarters; (5) 
Forms, Certifications and Assurances; (6) Financial Management and 
Audit Information; (8) Training Sessions; (9) Reports to Field Offices 
and/or GTRs, except that you must report to the HOPWA Headquarters GTR, 
at a minimum, on a quarterly basis, unless otherwise specified in an 
approved HOPWA TA workplan and you will be expected to meet the 
following performance benchmarks: (i) you are required to begin 
technical assistance activities within one year of your selection 
(i.e., one year from the date of the signing of your selection letter 
by HUD); and (ii) you are requested to provide an initial report to the 
Field Office and the Headquarters GTR on the startup of the planned 
activities within six months of your selection. Please outline any 
accomplishments in implementing the funds along with identifying any 
barriers or issues for which the Department may provide assistance. If 
a selected project does not meet the appropriate performance benchmark, 
HUD reserves the right to cancel or withdraw the grant funds.
    (2) Coordination of HOPWA TA Requests. Except for national 
meetings, research, information and other activities that are conducted 
on a program-wide basis in cooperation with HUD Headquarters, as the 
grantee of HOPWA TA funds, you must work cooperatively with HUD Field 
Offices. You must notify the applicable HUD Field Office of the planned 
activities; must consider the views or recommendations of that office, 
if any; must follow those recommendations, to the degree practicable; 
and must report to the applicable Field Office on the accomplishments 
of this assistance.

V. Application Selection Process

    (A) Rating and Ranking.
    (1) HUD will evaluate applications competitively and rank them 
against all other applicants that have applied for the same CD-TA 
program (HOME, McKinney Act Homeless Assistance) within each Field 
Office or as a National Provider under HOPWA. CHDO applications are 
similarly evaluated and ranked but are separated into two sub-groups--
single State providers and multi-State providers. There will be 
separate rankings for each CD-TA program, and you will be ranked only 
against others that have applied for the same CD-TA program.
    (2) Once scores are assigned, all applications will be listed in 
rank order for each CD-TA program for which they applied by Field 
Office jurisdiction and/or the HOPWA National Program. In each Field 
Office jurisdiction or National Program area, all applications for the 
HOME TA program will be listed in rank order on another list, all 
applications for the McKinney Act Homeless Assistance TA program will 
be listed in rank order on another list, and all applications for the 
HOPWA TA national projects will be ranked separately on another list. 
All applications for the CHDO TA program will be ranked separately on 
either the single state provider list or the multi-state provider list. 
Under this system, a single application from one organization for all 
CD-TA programs could be assigned different scores and different 
rankings for each program in different Field Offices.
    (3) Applications will be funded in rank order for each CD-TA 
program by Field Office jurisdiction, except for HOPWA TA national 
providers and others which cannot be ranked by Field Office 
jurisdiction. National providers and others will be ranked separately 
and funded in rank order for each CD-TA program. Irrespective of final 
scores, HUD may apply program policy criteria to select one applicant 
in each of the three (CHDO, HOME and McKinney Act Homeless Assistance) 
CD-TA programs in each Field Office or nationally, to ensure diversity 
of methods, approaches, or kinds of projects. HUD will apply these 
program policy criteria to provide coverage of CD-TA services for 
minorities; women, particularly women in the homebuilding professions 
under section 233(b)(7) of the Cranston-Gonzalez National Affordable 
Housing Act; persons with disabilities; homeless; persons with special 
needs; and rural areas.
    (4) In addition to the authority in the General Section to adjust 
funding, HUD reserves the right to adjust funding levels for each 
applicant for each CD-TA program, as follows:
    (a) Adjust funding levels for any provider based upon the size and 
needs of the provider's service area within each Field Office 
jurisdiction in which the provider is selected to operate, the funds 
available for that area, the number of other awardees selected in that 
area, funds available on a national basis for providers that will be 
operating nationally, or the scope of the technical assistance to be 
provided;
    (b) To negotiate increased grant awards with applicants approved 
for funding if HUD requests them to offer coverage to geographic areas 
for which they did not apply or budget, or if HUD receives an 
insufficient amount of applications.
    (5) If funds remain after all selections have been made, remaining 
funds may be:
    (a) Distributed among all HUD Field Offices (in proportion to their 
fair-share awards) and/or the National Program, or
    (b) Made available for other CD-TA program competitions.
    (6) If you apply for HOPWA TA funds, you must propose activities 
that will be carried out on a national, regional, State or community 
basis. The Department reserves the right to adjust the amount of 
requested funds that are awarded to correspond with the size of the 
intended service area in comparison to the planned national scope of 
activities to ensure the best use of these limited resources.
    HUD may also modify the service area of a selected application, if 
practicable. HUD reserves the right to ensure that at least forty (40) 
percent of the funds awarded for HOPWA TA grants are awarded to 
applications that address identified and documented needs in 
underserved communities.
    (B) Factors for Award Used to Evaluate and Rate Applications. The 
factors and maximum points for each factor are provided below. The 
maximum number of points to be awarded for a CD-TA application is 100. 
The minimum score for an applicant to be considered in funding range is 
55, with a minimum of 11 points in Factor 1. The CD-TA program is not 
an eligible program for the EZ/EC bonus points, as described in Section 
III(C)(1) of the General Section of the SuperNOFA.
    Rating of the ``applicant'' or the ``applicant's organization and 
staff'', unless otherwise specified, will include any sub-contractors, 
consultants, sub-recipients, and members of consortia which are firmly 
committed to the project.
    When addressing the Factors for Award, you should discuss the 
specific TA projects, activities, tasks, etc. that you suggest be 
carried out during the term of the cooperative agreement. See

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Sections IV(A)(2) and (3) of this CD-TA program section for a 
discussion of the extent to which such activities may be revised at or 
after the time of award. You should also be specific when detailing the 
communities, populations (HOPWA only) and/or organizations which you 
propose to serve, especially in response to Factor 3, Subfactor 2 and 
in detailing the dollar amounts you have leveraged in Factor 4.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points) (Minimum for Funding 
Eligibility--11 Points)

    In rating this factor, HUD will consider the extent to which the 
application demonstrates in relation to CD-TA program funding that is 
requested:
    (1) (10 points) Recent, relevant and successful experience of your 
organization and staff in providing technical assistance in all 
eligible activities and to all eligible entities for the CD-TA 
program(s) applied for, as described in the regulations;
    (2) (5 points) The relevant experience and competence of your key 
personnel in managing complex, multi-faceted or multi-disciplinary 
programs that require coordination with other CD-TA entities or 
multiple, diverse units in an organization;
    (3) (5 points) You have sufficient personnel or access to qualified 
experts or professionals to deliver the proposed level of technical 
assistance in each proposed service area in a timely and effective 
fashion.

Rating Factor 2: Potential Effectiveness of the Application in 
Meeting Needs of Target Groups/Localities and Accomplishing Project 
Objectives for Each CD-TA Program for which Funds Are Requested (20 
Points)

    In rating this factor, HUD will consider the extent to which your 
application:
    (1) (10 points) Identifies high priority needs and issues for the 
CD program in each community or Field Office jurisdiction for which CD-
TA funding is requested, or on a national or regional basis for 
national HOPWA grants;
    (2) (5 points) Outlines a clear and cost-effective plan of 
suggested TA activities for addressing those needs and aiding a broad 
diversity of eligible grantees and/or beneficiaries, including those 
which traditionally have been under-served; and (3) (5 points) 
Identifies creative activities to assist eligible grantees in 
participating in the development of, and improving, local Consolidated 
Plans and comprehensive strategies.

Rating Factor 3: Soundness of Approach (40 Points)

    In rating this factor, HUD will consider the extent to which your 
application evidences a sound approach in addressing identified needs 
and:
    (1) (15 points) Provides a cost effective plan for designing, 
organizing, and carrying out the suggested technical assistance 
activities within the framework of the Demand/Response System or, for 
HOPWA TA applicants, in addressing the HOPWA TA goal.
    (2) (15 points) Demonstrates an effective outreach and assistance 
program to specifically identified disadvantaged communities, 
populations (HOPWA only) and/or organizations which previously have 
been underserved and have the potential to participate in CPD programs.
    (3) (5 points) Provides for full geographic coverage, including 
urban and rural areas, (directly or through a consortium of providers) 
of a single State or Field Office jurisdiction or is targeted to 
address the needs of rural areas, minority groups or other under-served 
groups or for HOPWA TA applicants, addresses other approaches that 
respond to identified needs.
    (4) (5 points) Proposes a feasible, creative plan, which uses state 
of the art or new promising technology, to transfer models and lessons 
learned in each of its CD-TA program's activities to grantees and/or 
program beneficiaries in other CD-TA programs.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure community resources 
(note: financing is a community resource) which can be combined with 
HUD's program resources to achieve program purposes. In evaluating this 
factor HUD will consider:
    The extent to which you have partnered with other entities to 
secure additional resources to increase the effectiveness of the 
proposed program activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the award you are seeking. Resources may be provided by 
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities willing to partner with 
the applicant. You also may partner with other program funding 
recipients to coordinate the use of resources in the target area.
    You must provide evidence of leveraging/partnerships by including 
in the application letters of firm commitments, memoranda of 
understanding, or agreements to participate from those entities 
identified as partners in the application. Each letter of commitment, 
memorandum of understanding, or agreement to participate should include 
the organization's name, proposed level of commitment and 
responsibilities as they relate to the proposed program. The commitment 
must also be signed by an official of the organization legally able to 
make commitments on behalf of the organization.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinate your 
activities with other known organizations, participate or promote 
participation in a community's Consolidated Planning process and 
Continuum of Care homeless assistance strategy, and are working towards 
addressing a need in a holistic and comprehensive manner through 
linkages with other activities in the community.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations prior to submission in order to best complement, 
support and coordinate all known activities and if funded, the specific 
steps you will take to share information on solutions and outcomes with 
others. Describe any written agreements, memoranda of understanding in 
place, or that will be in place after award.
    (2) Taken or will take specific steps to work with recipients of 
technical assistance services to become active in the community's 
Consolidated Planning process (including the Analysis of Impediments to 
Fair Housing Choice) established to identify and address a need/problem 
that is related to the activities you propose.
    (3) Taken or will take specific steps to develop linkages to 
coordinate comprehensive solutions through meetings, information 
networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally funded activities, including 
those proposed or on-going in the community.

VI. Application Submission Requirements

    In addition to the forms, certifications and assurances listed in 
Section II(G) of

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the General Section of the SuperNOFA (collectively referred to as the 
``standard forms''), your application must, at a minimum, contain the 
following items (except that the following paragraphs (C), (D), (E), 
(F), (G) and (H) do not apply to HOPWA TA applicants). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining forms can be found as Appendix B to this CD-TA 
program section of the SuperNOFA.
    (A) Transmittal Letter which identifies the SuperNOFA, the CD-TA 
programs for which funds are requested and the dollar amount requested 
for each program, and the applicant or applicants submitting the 
application. If your organization has never received a CPD technical 
assistance award, please include a statement to this effect in the 
transmittal letter.
    (B) Narrative statement addressing the Factors for Award described 
in Section V(B) of this CD-TA Program section of this SuperNOFA. You 
should number the narrative response in accordance with each factor for 
award. This narrative statement will be the basis for evaluating your 
application. It should include a plan of suggested TA activities as 
described in Factors 2, 3, and elsewhere. These suggested TA activities 
may form a starting point for negotiating the TADP described in Section 
IV(A)(3) of this CD-TA Program section of the SuperNOFA. However, they 
are used primarily for purposes of rating and evaluation and may be 
substantially altered and revised during negotiations with the Field 
Offices on the content of the TADPs (see Section IV(A)(3)) or 
Headquarters program office for national projects.
    (C) Statement that identifies the Field Office jurisdictions in 
which you propose to offer services. If you will not offer services 
throughout the full jurisdictional area of the Field Office, your 
statement should identify the service areas involved (e.g., States, 
counties, etc.), as well as the communities in which you propose to 
offer services.
    (D) A matrix that summarizes the amount of funds you are requesting 
for each CD-TA program in each Field Office jurisdiction. (See CD-TA 
Appendix B for a copy of the matrix to be submitted.)
    (E) A statement as to whether you propose to use pass-through funds 
for CHDOs under the CHDO TA program, and, if so, the amount and 
proposed uses of such funds.
    (F) If applying for the CHDO TA program, a certification as to 
whether you qualify as a primarily single-State provider under section 
233(e) of the Cranston-Gonzalez Affordable Housing Act and as discussed 
in Section III(C)(3) of this CD-TA Program section of this SuperNOFA.
    (G) A statement as to whether you propose to be considered for the 
role of lead CD-TA provider in one or more specific program areas in a 
Field Office jurisdiction, and if so, your organization's capabilities 
and attributes that qualify you for the role.
    (H) Budget Summary identifying costs for implementing the plan of 
suggested TA activities by cost category for each CD-TA program for 
which funds are requested by Field Office or as a National Provider (in 
accordance with the following):
    (1) Direct Labor by position or individual, indicating the 
estimated hours per position, the rate per hour, estimated cost per 
staff position and the total estimated direct labor costs;
    (2) Fringe Benefits by staff position identifying the rate, the 
salary base the rate was computed on, estimated cost per position, and 
the total estimated fringe benefit cost;
    (3) Material Costs indicating the item, quantity, unit cost per 
item, estimated cost per item, and the total estimated material costs;
    (4) Transportation Costs, as applicable.
    (5) Equipment charges, if any. Equipment charges should identify 
the type of equipment, quantity, unit costs and total estimated 
equipment costs;
    (6) Consultant Costs, if applicable. Indicate the type, estimated 
number of consultant days, rate per day, total estimated consultant 
costs per consultant and total estimated costs for all consultants;
    (7) Subcontract Costs, if applicable. Indicate each individual 
subcontract and amount;
    (8) Other Direct Costs listed by item, quantity, unit cost, total 
for each item listed, and total other direct costs for the award;
    (9) Indirect Costs should identify the type, approved indirect cost 
rate, base to which the rate applies and total indirect costs.
    These line items should total the amount requested for each CD-TA 
program area. The grand total of all CD-TA program funds requested 
should reflect the grand total of all funds for which application is 
made.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the 
assistance provided by these programs relates only to the provision of 
technical assistance and is categorically excluded from the 
requirements of the National Environmental Policy Act and not subject 
to environmental review under the related laws and authorities. This 
determination is based on the ineligibility of real property 
acquisition, construction, rehabilitation, conversion, leasing or 
repair for HUD assistance under these technical assistance programs.

IX. Authority

    CHDO Technical Assistance. The CHDO Technical Assistance Program is 
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12773); 
24 CFR part 92.
    HOME Technical Assistance. The HOME Technical Assistance Program is 
authorized by the HOME Investment Partnerships Act (42 U.S.C. 12781-
12783); 24 CFR part 92.
    McKinney Act Homeless Assistance Programs Technical Assistance. The 
Supportive Housing Program is authorized under 42 U.S.C. 11381 et seq.; 
24 CFR 583.140. The Emergency Shelter Grant, Section 8 Moderate 
Rehabilitation Single Room Occupancy Program and Shelter Plus Care 
Technical Assistance Programs are authorized by the FY 2000 HUD 
Appropriations Act.
    HOPWA Technical Assistance. The HOPWA Technical Assistance program 
is authorized under the FY 2000 HUD Appropriations Act. The HOPWA 
program is authorized under the AIDS Housing Opportunities Act (42 
U.S.C. 12901) and the HOPWA regulations are found at 24 CFR part 574.

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
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FUNDING AVAILABILITY FOR THE COMMUNITY OUTREACH PARTNERSHIP CENTERS 
PROGRAM (COPC)

Program Overview

    Purpose of the Program. To provide funds to community colleges, 
four-year colleges, and universities to establish and operate Community 
Outreach Partnership Centers (COPCs) to address the problems of urban 
areas.
    Available Funds. Approximately $8 million.
    Eligible Applicants. Public and private nonprofit institutions of 
higher education granting two- or four-year degrees and accredited by a 
national or regional accrediting agency recognized by the U.S. 
Department of Education.
    Application Deadline. May 10, 2000.
    Match. 50% of the total costs of establishing and operating 
research activities and 25% of the total costs of establishing and 
operating outreach activities.

ADDITIONAL INFORMATION

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits. Further Information, and 
Technical Assistance

    Application Due Date. Your completed application is due on or 
before 12:00 midnight, Eastern time, on May 10, 2000, at HUD 
Headquarters.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of an original and two copies. Submit your completed 
application to: Processing and Control Branch, Office of Community 
Planning and Development, U.S. Department of Housing and Urban 
Development, 451 Seventh Street, SW, Room 7251, Washington, DC 20410. 
When submitting your application, please refer to COPC and include your 
name, mailing address (including zip code) and telephone number 
(including area code).
    For Application Kits. For an application kit and supplemental 
material you should call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, you 
should refer to COPC and provide your name, address (including zip 
code), and telephone number (including area code). You may also 
download the application kit on the Internet through the HUD web site 
at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Jane Karadbil of HUD's Office of University Partnerships at (202) 708-
1537, ext. 5918. If you have a speech or hearing impairment, you may 
call HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the Federal 
Information Relay Service TTY). Other than the ``800'' number, these 
numbers are not toll-free. You may also reach Ms. Karadbil via the 
Internet at [email protected].
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at the web 
address listed above.

II. Amount Allocated

    Up to $8 million has been allocated to fund grants under the 
program. This year, HUD will award two kinds of grants--(A) New Grants 
to applicants who have never received a COPC grant before to undertake 
eligible work and (B) New Directions Grants to fund previous COPC 
recipients (as identified in Section III.(B) below) to undertake new 
directions in their activities.
    Institutionalization Grants will not be funded under this funding 
announcement for COPC. HUD will use up to $6.8 million to fund 
approximately 16 New Grants and up to $1.2 million to fund 
approximately 8 New Directions Grants.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The main purpose of this COPC Program is 
to assist in establishing or carrying out outreach and applied research 
activities addressing the problems of urban areas. But HUD also looks 
to this program to encourage structural change--both within an 
institution of higher education and in the way it relates to its 
neighbors. Funding under this program is used to establish and operate 
local Community Outreach Partnership Centers (COPC).
    The five key concepts that your COPC Program should include are:
    (1) Outreach, technical assistance, and applied research should be 
provided to neighborhoods and neighborhood-based organizations based on 
what the residents decide is needed, rather than what the institution 
concludes is appropriate for that neighborhood;
    (2) Community-based organizations and residents should be empowered 
by the project and be your partners throughout the life of the project 
and beyond, from planning to implementation to activities beyond the 
grant;
    (3) Your applied research should be related to the outreach 
activities and be used to influence your activities within the grant 
period or shortly after it ends. HUD will not fund research without 
practical application;
    (4) The assistance you provide should be primarily by faculty, 
students, or to a limited extent, by neighborhood residents or 
community-based organizations funded by the university; and
    (5) Your program should be part of your institution's broader 
effort to meet its urban mission, and be supported by its senior 
officials, rather than just the work of a few faculty members. Your 
proposed activities should not duplicate those of other entities in the 
community and should be appropriate for an institution of higher 
education to undertake in light of its teaching, and research, and 
service missions.
    (B) Eligible Applicants. Eligible applicants for both New Grants 
and New Directions Grants are public or private nonprofit institutions 
of higher education granting two-or four-year degrees and accredited by 
a national or regional accrediting agency recognized by the U.S. 
Department of Education. For New Grants, only applicants that have 
never previously received a New Grant, a New Directions Grant, or an 
Institutionalization Grant are eligible. For New Directions Grants, 
applicants must meet the following requirements: you must have received 
a New Grant in FY 1994, 1995, 1996, or 1997; you must not have received 
a New Directions Grant; and you must have drawn down (i.e., requests 
for reimbursement have been submitted), by the application due date, at 
least 75% of the funds you received from any previous COPC award. Joint 
Community Development Program grantees are not eligible for either kind 
of funding, nor are FY 1998 and 1999 COPC Grantees.
    Consortia of eligible institutions may apply, as long as one 
institution is designated the lead applicant. Since the Statement of 
Work and other facets of the technical review are assessed in the 
context of the proposed staffing, and in order to fund as many eligible 
applicants as possible, HUD has determined that you may be part of only 
one consortium or submit only one

[[Page 9408]]

application or you will be disqualified. HUD will hold you responsible 
for ensuring that neither you nor any part of your institution, 
including specific faculty, participate in more than one application. 
For New Directions Grants, if you originally received funding as a 
consortium, you are not required to submit again with all the 
consortium members. Members of a previously approved consortium may 
submit on their own or as part of their old consortium. However, as 
with New Grants, only one application from an institution will be 
permitted.
    Different campuses of the same university system are eligible to 
apply, even if one campus has already received COPC funding. Such 
campuses are eligible as separate applicants only if they have 
administrative and budgeting structures independent of other campuses 
in the system.
    (C) Eligible Activities. Your COPC Program must combine research 
with outreach, work with communities and local governments and address 
the multidimensional problems that beset urban areas. To meet the 
threshold requirements, your New Grant application must be multifaceted 
and address three or more urban problems and you must propose at least 
one distinct activity to address each separate urban problem. Urban 
problems include issues related to housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning, the environment, community 
organizing, and other areas deemed appropriate by the Secretary. Single 
purpose applications are not eligible. For example, if you propose to 
undertake health education for elementary school children, organizing 
around health issues, and job readiness for the health professions, HUD 
will deem your application as single purpose, because it really only 
addresses the problem of health care. Likewise, if you propose to 
address housing, economic development, and health care problems by 
developing a Geographic Information System, your application would also 
be considered single purpose because it does not propose separate and 
distinct activities for each of the problems you will address. As 
examples of eligible projects, if you propose a health care project for 
the elderly, a job training program on construction trades for high 
school seniors, and an affordable housing fair, you would meet the test 
of addressing three urban problems, each with a separate activity. 
Alternatively, if you propose a Geographic Information System to 
identify economic development potential, an oral history of the 
neighborhood, and the creation of block watches, you would also meet 
the test. These are just examples. For more information about the 
projects have actually been funded under the program, you should look 
at the Office of University Partnerships' web site at www.oup.org. If 
you are applying for a New Directions Grant, you will only be required 
to address two urban problems and undertake at least one activity for 
each of these problems.
    The statute creating COPC is very specific that the program address 
the problems of urban areas. HUD uses the Census definition of an urban 
area: a single geographic place (e.g., a city, town, or village, but 
not a county) with a population of 2,500 or more. You cannot meet this 
test by aggregating several places smaller than the population 
threshold in order to meet this requirement.
    Funded research must have a clear near-term potential for solving 
specific, significant urban problems. You must have the capacity to 
apply your research results and to work with communities and local 
institutions, including neighborhood groups, local governments, and 
other appropriate community stakeholders, in applying these results to 
specific real-life urban problems.
    While the list of eligible and ineligible activities is the same 
for both New Grant applicants and New Directions Grant applicants, New 
Directions Grant applicants must demonstrate that the proposed 
activities either implement new eligible projects in the current target 
neighborhood(s) or implement eligible projects in a new target 
neighborhood(s).
    Eligible activities include:
    (1) Research activities that have practical application for solving 
specific problems in designated communities and neighborhoods, 
including evaluation of the effectiveness of the outreach activities. 
In order to ensure that the primary focus of your project is on 
outreach, research may not total more than one-quarter of the total 
project costs contained in any grant made under this COPC funding 
announcement (including the required 50% match).
    (2) Outreach, technical assistance and information exchange 
activities which are designed to address specific urban problems in 
designated communities and neighborhoods. Such activities must total no 
less than three-quarters of your total project costs (including the 
required 25% match). Examples of outreach activities include, but are 
not limited to:
    (a) Job training and other training projects, such as workshops, 
seminars, and one-on-one and on-the-job training;
    (b) Design of community or metropolitan strategies to resolve urban 
problems of communities and neighborhoods;
    (c) Innovative use of funds to provide direct technical expertise 
and assistance to local community groups, residents, and other 
appropriate community stakeholders to assist them in resolving local 
problems such as homelessness, housing discrimination, and impediments 
to fair housing choice;
    (d) Technical assistance in business start-up activities for low-
and moderate-income individuals and organizations, including business 
start-up training and technical expertise and assistance, mentor 
programs, assistance in developing small loan funds, business 
incubators, etc;
    (e) Technical assistance to local public housing authorities on 
welfare-to-work initiatives and physical transformations of public or 
assisted housing, including development of accessible and visitable 
housing;
    (f) Assistance to communities to improve consolidated housing and 
community development plans and remove impediments to the design and 
implementation of such plans;
    (g) Assistance to communities to design ways to use HUD's 
Partnership for Advancing Technology in Housing (PATH) technology such 
as analyzing building codes and building materials or designing new 
building systems. (Remember that actual physical development activities 
are not eligible under COPC.) For more information, see the General 
Section of the SuperNOFA or visit the website at www.pathnet.org;
    (h) Assistance to communities to improve their fair housing 
planning process;
    (i) Services to assist low-income students to attend college, as 
part of the U.S. Department of Education's Gaining Awareness and 
Readiness for Undergraduate Program (GEAR UP). (For more information 
call 1-800-USA-LEARN or visit the Department of Education's website at 
www.ed.gov.); and
    (j) Regional projects that maximize the interaction of targeted 
inner city distressed neighborhoods with suburban job opportunities 
similar to HUD's Bridges-to-Work or Moving to Opportunity programs.
    (3) Funds for faculty development including paying for course time 
or summer support to enable faculty members to work on the COPC.

[[Page 9409]]

    (4) Funds for stipends or salaries for students (but the program 
cannot cover tuition and fees) while they are working on the COPC.
    (5) Activities to carry out the ``Responsibilities'' listed under 
Section IV (B) below. These activities may include leases for office 
space in which to house the Community Outreach Partnership Center, 
under the following conditions:
    (a) The lease must be for existing facilities not requiring 
rehabilitation or construction;
    (b) No repairs or renovations of the property may be undertaken 
with Federal funds; and
    (c) Properties in the Coastal Barrier Resource System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased with Federal funds.
    (6) Components of your program may address metropolitan or regional 
strategies. You must clearly demonstrate how:
    (a) Your strategies are directly related to what the targeted 
neighborhoods and neighborhood-based organizations have decided is 
needed; and
    (b) Neighborhoods and neighborhood organizations are involved in 
the development and implementation of the metropolitan or regional 
strategies.
    (D) Ineligible Activities. Activities ineligible for funding under 
this program are as follows:
    (1) Research activities that have no clear and immediate practical 
application for solving urban problems or do not address specific 
problems in designated communities and neighborhoods.
    (2) Any type of construction, rehabilitation, or other physical 
development costs.
    (3) Costs used for routine operations and day-to-day administration 
of institutions of higher education, local governments or neighborhood 
groups.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, grantees must meet the following program 
requirements:
    (A) Grant Sizes and Terms. If you are applying for a New Grant, you 
may not request less than $250,000 nor more than $400,000. This amount 
must be spent over a three-year period, and your budget must reflect 
this period. Since the Statement of Work (in Section VI.(G)) and the 
Narrative Statement Addressing the Factors for Award (in Section 
VI.(H)) are assessed in the context of the proposed budget and grant 
request, and in the interest of fairness to all applicants, HUD will 
not accept a New Grant application that is under $250,000 or over 
$400,000.
    If you are applying for a New Directions Grant, you may not request 
a grant that exceeds $150,000. This amount must be spent over a two-
year period. Since the Statement of Work and other facets of the 
technical review are assessed in the context of the proposed budget and 
grant request, and in the interest of fairness to all applicants, HUD 
will not accept a New Directions application that is over $150,000.
    (B) Responsibilities. You are required to:
    (1) Employ the research and outreach resources of your institution 
of higher education to solve specific urban problems identified by 
communities served by your Center;
    (2) Establish outreach activities in areas identified in your 
application as the communities to be served;
    (3) Establish a community advisory committee comprised of 
representatives of local institutions and residents of the communities 
to be served to assist in identifying local needs and advise on the 
development and implementation of strategies to address those issues;
    (4) Coordinate outreach activities in communities to be served by 
your Center;
    (5) Facilitate public service projects in the communities served by 
your Center;
    (6) Act as a clearinghouse for dissemination of information;
    (7) Develop instructional programs, convene conferences, and 
provide training for local community leaders, when appropriate; and
    (8) Exchange information with other Centers.
    The clearinghouse function in Section IV(B)(6) above refers to a 
local or regional clearinghouse for dissemination of information and is 
separate and distinct from the functions in (8) above, which relate to 
the provision of information to the University Partnerships 
Clearinghouse, which is the national clearinghouse for the program.
    (C) Cap on Research Costs. No more than 25% of your total project 
costs (Federal share plus match) can be spent on research activities. 
You are, however, not required to undertake any research as part of 
your project. You may apply for a project that is totally for outreach 
activities.
    (D) Match. The non-Federal share may include cash or the value of 
non-cash contributions, equipment and other allowable in-kind 
contributions as detailed in 24 CFR part 84, and in particular 
Sec. 84.23 entitled ``cost sharing or matching.'' You may not count as 
match any costs that would be ineligible for funding under the program 
(e.g., housing rehabilitation).
    (1) If you are a New Grant applicant, you must meet the following 
match requirements:
    (a) Research Activities. 50% of the total project costs of 
establishing and operating research activities.
    (b) Outreach Activities. 25% of the total project costs of 
establishing and operating outreach activities.
    (2) If you are a New Directions Grant applicant, you must meet the 
following match requirements:
    (a) Research Activities. 60% of the total project costs of 
establishing and operating research activities.
    (b) Outreach Activities. 35% of the total project costs of 
establishing and operating outreach activities.
    In previous competitions, some applicants incorrectly based their 
match calculations on the Federal grant amount, not the total project 
costs. An example of how you should calculate the match correctly and a 
worksheet for the calculation are included in the application kit. The 
worksheet, which is also included in the program area section of the 
SuperNOFA, should be included with your application.
    (E) Administrative. Your grant will be governed by the provisions 
of 24 CFR part 84 (Grants and Agreements with Institutions of Higher 
Education, Hospitals, and Other Non-Profit Organizations), A-21 (Cost 
Principles for Education Institutions), and A-133 (Audits of States, 
Local Governments, and Non-Profit Organizations. You may not spend more 
than 20% of your grant on planning or administrative costs. The 
application kit contains a detailed explanation of what these costs 
are. You can access the OMB circulars at the White House website at 
http://whitehouse.gov/WH/EOP/OMB/html/circulars.

V. Application Selection Process

    There will be two separate competitions--one for New Grants and one 
for New Directions Grants. For each type of grant, applications will be 
rated, ranked, and selected separately. Two types of reviews will be 
conducted: a threshold review to determine your application's 
eligibility; and a technical review to rate your application based on 
the rating factors in Section V.(A) below.
    (A) Additional Threshold Requirements For Funding Consideration. 
Under the threshold review, your application can only be rated if you 
are both in compliance with the requirements of the General Section

[[Page 9410]]

of the SuperNOFA and if the following additional standards are met:
    (1) You have met the statutory match requirements, if applying for 
a New Grant or the higher match levels described above, if applying for 
a New Directions Grant.
    (2) You have proposed a program in which at least 75% of the total 
project costs will be for outreach activities.
    (3) For New Grants, you have requested a Federal grant between 
$250,000 and $400,000. For New Directions Grants, you have requested a 
Federal grant that is no more than $150,000.
    (4) You have addressed at least three urban problems, such as 
affordable housing, fair housing, economic development, neighborhood 
revitalization, infrastructure, health care; job training, education, 
crime prevention, planning, the environment, and community organizing 
and have proposed at least one separate and distinct activity for each 
problem you propose to address.
    (5) You and any part of your organization are participating in only 
one application.
    (6) Your project will operate in an urban area.
    (B) Factors For Award Used To Evaluate and Rate Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are provided below. The maximum number of points for this 
program is 102. This includes two EZ/EC bonus points, as described in 
the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. In rating this factor HUD will 
consider the extent to which the proposal demonstrates:
    (1) For New Grants (15 Points): For New Direction Grants (7 
Points).
    (a) The knowledge and experience of your overall proposed project 
director and staff, including the day-to-day program manager, 
consultants and contractors in planning and managing programs for which 
funding is being requested. Experience will be judged in terms of 
recent, relevant and successful experience of your staff to undertake 
eligible program activities. In rating this factor, HUD will consider 
experience within the last 5 years to be recent; experience pertaining 
to the specific activities being proposed to be relevant; and 
experience producing specific accomplishments to be successful. The 
more recent the experience and the more experience your own staff 
members who work on the project have in successfully conducting and 
completing similar activities, the greater the number of points you 
will receive for this rating factor. The following categories will be 
evaluated:
    (i) Undertaking research activities in specific communities that 
have a clear near-term potential for practical application to 
significant urban issues, such as affordable housing, fair housing 
including accessible and visitable housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning, and community organizing;
    (ii) Undertaking outreach activities in specific communities to 
solve or ameliorate significant urban issues;
    (iii) Undertaking projects with community-based organizations or 
local governments; and
    (iv) Providing leadership in solving community problems and making 
national contributions to solving long-term and immediate urban 
problems.
    (2) For New Directions Grants only (8 points). The extent to which 
you performed successfully under your previous COPC grant(s), as 
measured by:
    (a) Your achievement of specific measurable outcome objectives;
    (b) Your leveraging of funding beyond the funds originally proposed 
to be leveraged for that project; and
    (c) The effectiveness of your administration of any previous COPC 
grants (including the timeliness and completeness of your compliance 
with COPC reporting requirements and your ability to have resolved 
problems which presented themselves during the grant period). In 
addressing timeliness of reports, you should compare when your reports 
were due with when they were actually submitted.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities and your indication of the 
urgency of meeting the need in the target area. In responding to this 
factor, you will be evaluated on the extent to which you document the 
level of need for the proposed activity and the urgency in meeting the 
need.
    You should use statistics and analyses contained in a data 
source(s) that is sound and reliable. To the extent that the targeted 
community's Consolidated Plan and Analysis of Impediments to Fair 
Housing Choice (AI) identify the level of the problem and the urgency 
in meeting the need, you should include references to these documents 
in your response.
    If the proposed activity is not covered under the scope of the 
Consolidated Plan and Analysis of Impediments to Fair Housing Choice 
(AI), you should indicate such, and use other sound data sources to 
identify the level of need and the urgency in meeting the need. Types 
of other sources include Census reports, Continuum of Care gaps 
analysis, law enforcement agency crime reports, Public Housing 
Authorities' Comprehensive Plan, and other sound and reliable sources 
appropriate for your program. You may also address needs in terms of 
fulfilling court orders or consent decrees, settlements, conciliation 
agreements, and voluntary compliance agreements.
    To the extent possible, the data you use should be specific to the 
area where the proposed activity will be carried out. You should 
document needs as they apply to the area where activities will be 
targeted, rather than the entire locality or state.

Rating Factor 3: Soundness of Approach (50 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. There must be a clear relationship between your 
proposed activities, community needs and the purpose of the program 
funding for you to receive points for this factor. The factor will be 
evaluated based on the extent to which the proposed work plan will:
    (1) (10 points) Identify the specific services or activities to be 
performed. Note that you are not required to undertake research as part 
of the grant. In reviewing this subfactor, HUD will consider the extent 
to which:
    (a) There is a clear research agenda;
    (i) With identifiable research projects and outcomes (e.g., 
reports, surveys, etc.)
    (ii) That identifies each task and who will be responsible for it;
    (iii) Which is tried to the outreach agenda (e.g., if you proposed 
to study the extent of housing abandonment in a neighborhood and then 
design a plan for reusing this housing, you would be able to 
demonstrate the link between your proposed research and outreach 
strategies); and
    (iv) Which does not duplicate research by your institution or by 
others for the target area previously completed or currently underway. 
If other complimentary research is underway, you need to describe how 
the proposed research agenda would compliment it.
    (b) There is a clear outreach agenda:

[[Page 9411]]

    (i) With identifiable outreach projects;
    (ii) That identifies each task and who will be responsible for it;
    (iii) That involves your institution as a whole (i.e., many 
academic disciplines and administrative offices);
    (iv) That provides for on-site or frequent presence in the target 
area; and
    (v) That does not duplicate outreach activities by your institution 
or others for the target area previously completed or currently 
underway.
    (2) (10 points) Involve the communities to be served in a 
partnership for the planning and implementation of your activities. In 
reviewing this subfactor, HUD will look at the extent to which:
    (a) You have formed or will form one or more Community Advisory 
Committees, comprised of representatives of local institutions and a 
balance of the race, ethnic, disability status, gender, and income of 
the residents of the communities to be served to develop and implement 
strategies to address the needs identified in Factor 2. You will be 
expected to demonstrate that you have already formed such a 
committee(s) or secured the commitment of the appropriate persons to 
serve on the committee(s), rather than just describing generally the 
types of people whose involvement you will seek.
    (b) You have involved a wide range of neighborhood organizations 
and local government entities in the identification of your research 
and outreach activities.
    (c) The committee and your partners will play an active role in all 
stages of the project and will not serve as merely advisors or 
monitors.
    (d) Your outreach agenda includes training projects for local 
community leaders, for example, to increase their capacity to direct 
their organizations or undertake various kinds of community development 
projects.
    (3) (6 points) Help solve or address an urgent problem as 
identified in Rating Factor 2 and will achieve the purposes of the 
program within the grant period. In reviewing this subfactor, HUD will 
look at the extent to which:
    (a) You identify specific time phased and measurable objectives to 
be accomplished; your proposed short and long term program objectives 
to be achieved as a result of the proposed activities; the tangible and 
measurable impacts your work program will have on the community in 
general and the target area or population in particular including 
affirmatively furthering fair housing for classes protected under the 
Fair Housing Act; and the relationship of your proposed activities to 
other ongoing or proposed efforts to improve the economic, social or 
living environment in the impact area; and
    (b) Grant funds will pay for activities you conduct directly, 
rather than passing funds through to other entities (In order for your 
application to be competitive, no more than 25 percent of your grant 
funds should be passed to other entities); and
    (c) The activities you propose to undertake are pressing and urgent 
needs, as identified in the documents described in Factor 2.
    (4) (4 points) Potentially yield innovative strategies or ``best 
practices'' that can be replicated and disseminated to other 
organizations, including nonprofit organizations, State and local 
governments. In reviewing this subfactor, HUD will assess your 
demonstrated ability to disseminate results of research and outreach 
activities to other COPCs and communities. HUD will evaluate your past 
experience and the scope and quality of your plan to disseminate 
information on COPC results, strategies, and lessons learned through 
such means as conferences, cross-site technical assistance, 
publications, etc. The more proactive your plan for providing 
information to a wide range of audiences, the greater the number of 
points you will received.
    (5) (8 points) HUD priorities;
    (a) (3 points) Further and support the policy priorities of HUD 
including:
    (i) Promoting healthy homes;
    (ii) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare to work programs;
    (iii) Enhancing ongoing efforts to eliminate drugs and crime from 
neighborhoods through program policy efforts such as ``One Strike and 
You're Out'' or the ``Officer Next Door'' initiative;
    (iv) Providing educational and job training opportunities through 
such initiatives as GEAR UP, Neighborhood Networks, Twenty/20 Education 
Communities (formerly known as Campus of Learners) and linking to 
AmeriCorps activities; or
    (v) HUD's Partnership for Advancing Technology in Housing (PATH) 
initiative.
    The Healthy Homes initiative implements a series of activities to 
protect children from home hazards such as lead-based paint, radon, 
fires, and accidents around the home.
    The GEAR UP initiative promotes partnerships between colleges and 
middle or junior high schools in low-income communities, to help teach 
students how they can go to college by informing them about college 
options, academic requirements, costs, and financial aid, and by 
providing support services, including tutoring, counseling, and 
mentoring.
    The Neighborhood Networks initiative enhances the self-sufficiency, 
employability, and economic self-reliance of low-income families and 
the elderly living in HUD-insured and HUD-assisted properties by 
providing them with on-site access to computer and training resources.
    The Twenty/20 Education Communities initiative is designed to 
transform public housing into safe and livable communities where 
families undertake training in new telecommunications and computer 
technology and partake in educational opportunities and job training 
initiatives.
    The Partnership for Advancing Technology in Housing (PATH) 
initiative is a voluntary public/private partnership that seeks to 
speed the creation and widespread use of advanced technologies in order 
to radically improve the quality, durability, energy efficiency, and 
environmental performance and affordability of housing. For more 
information, you can go to the PATH web site at www.pathnet.org.
    (b) (5 points) Include activities that affirmatively further fair 
housing, for example:
    (i) Working with other entities in the community to overcome 
impediments to fair housing, such as discrimination in the sale or 
rental of housing or in advertising, provision of brokerage services, 
or lending;
    (ii) Promoting fair housing choice through the expansion of 
homeownership opportunities and improved quality of services for 
minorities, families with children, and persons with disabilities; or
    (iii) Providing housing mobility counseling services.
    (6) For New Grants (12 points): For New Directions Grants (7 
points). Result in the COPC function and activities becoming part of 
the urban mission of your institution and being funded in the future by 
sources other than HUD. In reviewing this subfactor, HUD will consider 
the extent to which:
    (a) COPC activities relate to your institution's urban mission; are 
part of a climate that rewards faculty work on these activities through 
promotion and tenure policies; benefit students because they are part 
of a service learning program or professional training at your 
institution (rather than just volunteer activities); and are reflected 
in your curriculum. HUD will look at your institution's commitment to 
faculty and staff continuing work in COPC

[[Page 9412]]

neighborhoods or replicating successes in other neighborhoods and to 
your longer term commitment (e.g., five years after the start of the 
COPC) of hard dollars to COPC work. HUD will consider the extent to 
which your proposed activities are appropriate for an institution of 
higher education because they are tied to your institution's teaching 
or research mission. In addition, HUD will consider the extent to which 
your faculty, staff and students from across many disciplines are 
involved in COPC-like activities as a way of demonstrating your 
institution's commitment to these kinds of activities.
    (b) You have received commitments for funding from sources outside 
the university for related COPC-like projects and activities in the 
targeted neighborhood or other distressed neighborhoods. Funding 
sources to be considered include, but are not limited to, local 
governments, neighborhood organizations, private businesses, your 
institution, and foundations.
    (7) For New Direction Grants only (5 points). Previous grantees 
have a wealth of knowledge that they can and should share with other 
institutions. If you send a faculty member of your team who has been 
listed in your application to participate in the peer review process 
for New Grants, you will receive 5 points.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses the ability of the applicant to secure 
community resources which can be combined with HUD's program resources 
to achieve program purposes. This factor measures the extent to which 
you have established partnerships with other entities to secure 
additional resources to increase the effectiveness of your proposed 
program activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the award you are seeking. Resources may be provided by 
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities willing to establish 
partnerships with you. You may also establish partnerships with funding 
recipients in other grant programs to coordinate the use of resources 
in the target area. In evaluating this factor, HUD will allocate points 
as follows:
    (1) Five (5) points will be awarded for a match that is 50% over 
the required match, as described in Section IV(D) above. Fewer points 
will be assigned depending on the extent of the match.
    HUD is concerned that applicants should be providing hard dollars 
as part of their matching contributions to enhance the tangible 
resources going into targeted neighborhoods. Thus, while indirect costs 
can count towards meeting the required match, they will not be used in 
calculating match overage. Only direct costs can count in this factor.
    (2) Up to an additional 5 points will be awarded for the extent to 
which you document that matching funds are provided from eligible 
sources other than your institution (e.g., funds from the city, 
including CDBG, other State or local government agencies, public or 
private organizations, or foundations). Fewer points will be assigned 
depending on the extent of the outside match.
    You must provide evidence of leveraging/partnerships by including 
in the application letters of firm commitment, memoranda of 
understanding, or agreements to participate from any entity, including 
your own institution, that will be providing matching funds to the 
project. Each letter of commitment, memorandum of understanding, or 
agreement to participate should include the organization's name, 
proposed total level of commitment and responsibilities as they relate 
to the proposed program. The commitment must also be signed by an 
official of the organization legally able to make commitments on behalf 
of the organization. Unless matching funds are accompanied by a 
commitment letter, they will not be counted towards the match. 

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinated your 
activities with other known organizations, participate or promote 
participation in your community's Consolidated Planning process, and 
are working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community. If you 
propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address and will only 
be rated on subfactors (1) and (3). If that is the case, the points for 
this factor will be evenly divided between these two subfactors. If you 
are working in a CDBG non-entitlement area, please note that at the 
beginning of the discussion of this factor.
    In evaluating this factor, HUD will consider the extent to which 
you have:
    (1) (4 points) Coordinated your proposed activities with those of 
other groups or organizations prior to submission in order to best 
complement, support and coordinate all known activities and, if funded, 
the specific steps you will take to share information on solutions and 
outcomes with others. Any written agreements, memoranda of 
understanding in place, or that will be in place after award should be 
described.
    (2) (3 points) Taken or will take specific steps to become active 
in the community's Consolidated Planning process (including the 
Analysis of Impediments to Fair Housing Choice) established to identify 
and address a need/problem that is related to the activities the 
applicant proposes.
    (3) (3 points) Taken or will take specific steps to develop 
linkages to coordinate comprehensive solutions through meetings, 
information networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally funded activities, including 
those proposed or ongoing in the community.
    (C) Selections. In order to be funded under COPC, you must receive 
a minimum score of 70. HUD intends to fund at least one eligible 
applicant that serves colonias, as defined by section 916(d) of the 
Cranston-Gonzalez National Affordable Housing Act, as long as the 
applicant receives a minimum score of 70. HUD will select the highest 
ranking colonias application from among the rated colonias 
applications.
    If two or more applications have the same number of points, the 
application with the most points for Factor 3, Soundness of Approach, 
shall be selected. If there is still a tie, the application with the 
most points for Factor 4, Leveraging Resources shall be selected.
    HUD reserves the right to make selections out of rank order to 
provide for geographic distribution of funded COPCs. If HUD decides to 
use this option, it will do so only if two adjacent HUD regions do not 
yield at least one fundable COPC on the basis of rank order. If this 
occurs, HUD will fund the highest ranking applicant within the two 
regions as long as the minimum score of 70 points is achieved.
    After all applications have been rated and ranked and selections 
have been made, HUD may require you, if you are selected, to 
participate in negotiations to determine the specific terms of your 
Statement of Work and grant budget. In

[[Page 9413]]

cases where HUD cannot successfully conclude negotiations, or you fail 
to provide HUD with requested information, an award will not be made. 
In such instances, HUD may elect to offer an award to the next highest 
ranking applicant, and proceed with negotiations with that applicant.

VI. Application Submission Requirements

    You should include an original and two copies of the items listed 
below. In order to be able to recycle paper, please do not submit 
applications in bound form; binder clips or loose leaf binders are 
acceptable. Also, please, do not use colored paper. Please note the 
page limits for some of the items listed below and do not exceed them.
    Your application must contain the items listed in this section. 
These items include the standard forms, certifications, and assurances 
listed in the General Section of the SuperNOFA that are applicable to 
this funding (collectively, referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-
standard'' forms can be found as Appendix A to this program section of 
the SuperNOFA. The items are as follows:

(A) SF-424, Application for Federal Assistance.
(B) HUD-424M, Federal Assistance Funding Matrix.
(C) Application Checklist. 
(D) Transmittal Letter signed by the Chief Executive Officer of your 
institution or his or her designee. If a designee signs, your 
application must include the official delegation of signatory 
authority;
(E) Abstract. (1 page limit) An abstract describing the goals and 
activities of your program.
(F) Budget. Your budget presentation should be consistent with your 
Statement of Work and include:

    (1) Budget Form--The budget form (Form HUD-30003) should be used to 
prepare the budget.
    (2) A narrative explanation of how you arrived at your cost 
estimates, for any line item over $5,000.
    (3) A statement of your compliance with the 20% limitation on 
``Planning and Administration'' Costs.
    (4) An explanation of your compliance with the requirement that not 
more than 25% of the total budget be allocated to research activities 
(Form HUD-30002).
    (5) An explanation of your compliance with the matching 
requirements (Form HUD-30001 and the Verification of Match Worksheet).
    (G) A Statement of Work (25 page limit; this page limit is separate 
from the 25 pages for the Narrative Statement addressing the rating 
factors described above) The Statement of Work incorporates all 
activities to be funded in your application and details how your 
proposed work will be accomplished. (Please note that although 
submitting pages in excess of the page limit will not disqualify your 
application, HUD will not consider the information on any excess pages, 
which may result in a lower score or failure to meet a threshold.) 
Following an activity and tasks under each activity format, your 
Statement of Work must:
    (1) Arrange the presentation of related major activities by project 
functional category (e.g., economic development, affordable housing, 
capacity building), summarize each activity, identify the primary 
persons involved in carrying out the activity, and delineate the major 
tasks involved in carrying it out.
    (2) Indicate the sequence in which the tasks are to be performed, 
noting areas of work which must be performed simultaneously.
    (3) Identify specific numbers of quantifiable intermediate and end 
products and objectives you will deliver by the end of the award 
agreement period as a result of the work performed.
    (4) Identify whether you propose to work in a Community Development 
Block Grant (CDBG) entitlement area or not.
    (H) Narrative statement addressing the Factors for Award in Section 
V(B). (25 page limit, including letters of commitment, tables and maps, 
but not including letters of matching commitments and the match 
calculation worksheet). Your narrative response should be numbered in 
accordance with each factor and subfactor. Please do not repeat 
material in your Statements of Work or Need; instead focus on how you 
meet each factor. (Please note that although submitting pages in excess 
of the page limit will not disqualify your application, HUD will not 
consider the information on any excess pages, which may result in a 
lower score or failure to meet a threshold.)

(I) Certifications.
    (1) SF-424B, Assurances for Non-Construction Programs.
    (2) HUD-50071, Certification of Payments to Influence Certain 
Federal Transactions;
    (3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
    (4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
    (5) HUD-50070, Certification of Drug-Free Workplace;
    (6) HUD-2992, Certification Regarding Debarment and Suspension;
    (7) HUD-2991, Certification of Consistency with the Consolidated 
Plan; and
    (8) HUD-2990, Certification of Consistency with the EZ/EC Strategic 
Plan (if applicable);

    (J) Acknowledgement of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (K) Client Comments and Suggestions (HUD-2994). If you wish to 
offer comments on the COPC NOFA of this SuperNOFA or the SuperNOFA 
process, please complete this form. This form is optional.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b) of the HUD regulations, 
activities assisted under this program are categorically excluded from 
the requirements of the National Environmental Policy Act and are not 
subject to environmental review under the related laws and authorities.

IX. Authority

    This program is authorized under the Community Outreach Partnership 
Act of 1992 (42 U.S.C. 5307 note; the ``COPC Act''). The COPC Act is 
contained in section 851 of the Housing and Community Development Act 
of 1992 (Pub. L. 102-550, approved October 28, 1992) (HCD Act of 1992). 
Section 801(c) of the HCD Act of 1992 authorizes $7.5 million for each 
year of the 5-year demonstration to create Community Outreach 
Partnership Centers as authorized in the COPC Act. The FY 2000 HUD 
Appropriations Act continued the program beyond the initial five-year 
demonstration by providing funding for Community Outreach Partnership 
Centers for FY 2000.

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APPENDIX A

    The non-standard forms, which follow, are required for your COPC 
application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9431]]



FUNDING AVAILABILITY FOR THE HISTORICALLY BLACK COLLEGES AND 
UNIVERSITIES PROGRAM

Program Overview

    Purpose of the Program. To assist HBCUs expand their role and 
effectiveness in addressing community development needs in their 
localities, including neighborhood revitalization, housing, and 
economic development, principally for persons of low and moderate 
income, consistent with the purposes of Title I of the Housing and 
Community Development Act of 1974.
    Available Funds. Approximately $10 million.
    Eligible Applicants. Only HBCUs as determined by the Department of 
Education in 34 CFR 608.2 in accordance with that Department's 
responsibilities under Executive Order 12876, dated November 1, 1993, 
are eligible for funding under the HBCU Program.
    Application Deadline. May 10, 2000.
    Match: None.

ADDITIONAL INFORMATION

    If you are interested in applying for funding under the HBCU 
program, please review carefully the General Section of this SuperNOFA 
and the following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application is due on or 
before 12:00 midnight, Eastern time, on May 10, 2000, at HUD 
Headquarters with a copy to the appropriate HUD CPD Field Office.
    See the General Section of this SuperNOFA for specific procedures 
covering the form of application submission (e.g., mailed applications, 
express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of one original and two copies of your application. Submit 
your original signed application and one of the two copies to the 
following address: Processing and Control Branch, Office of Community 
Planning and Development, Department of Housing and Urban Development, 
451 Seventh Street, SW, Room 7251, Washington, DC, 20410. When 
submitting your application, please refer to the HBCU Program, and 
include your name, mailing address (including zip code) and telephone 
number (including area code).
    Copies of Applications to HUD Offices. To facilitate processing and 
review of your application, submit one copy (the second copy) to the 
Community Planning and Development (CPD) Director in the appropriate 
HUD Field Office for the HBCU by 6:00 pm, local time, on May 10, 2000. 
The list of HUD Field Offices with CPD Directors is included in 
Appendix A.
    HUD will accept only one application per HBCU. If HUD receives more 
than one application from a single HBCU, the application that was 
received earliest will be considered for funding. All others are 
ineligible.
    You should take this policy into account to ensure that multiple 
applications are not submitted.
    For Application Kits. For an application kit and any supplemental 
materials, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment please call the 
Center's TTY number at 1-800-HUD-2209. When requesting an application 
kit, you should refer to the HBCU Program and provide your name, 
address (including zip code), and telephone number (including area 
code). You may also download the application on the Internet through 
the HUD web site at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Delores Pruden or Ophelia Wilson, Historically Black Colleges and 
Universities Program, Office of the Deputy Assistant Secretary for 
Grant Programs, Community Planning and Development, Department of 
Housing and Urban Development, 451 Seventh St, SW, Washington, DC 
20410; telephone (202) 708-1590. (This is not a toll-free number.) If 
you have a hearing or speech impairment, you may access this number via 
TTY by calling the Federal Information Relay Service toll-free at 1-
800-877-8339. You may also obtain information from the HUD Field Office 
located in your geographic area. Appendix A contains the names, 
addresses and telephone numbers of the HUD Field Offices. For general 
information and information regarding training on this HBCU Program 
section of the SuperNOFA, you can call the SuperNOFA Information Center 
at 1-800-HUD-8929.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $10 million is being made available for funding under 
this program section of the SuperNOFA. Additional funds may be 
available if funds are recaptured, deobligated, appropriated or 
otherwise made available during the fiscal year.
    (A) Allocation of Funding. In order to ensure that some previously 
unfunded HBCUs will receive awards in this competition, approximately 
one-fifth of the available funds will be awarded to HBCUs that have not 
previously been funded under the HUD HBCU program. (The FY 1991 
competition was the first funded under the current HBCU Program 
authorization, section 107(b)(3) of the Housing and Community 
Development Act of 1974.) Therefore, of the $10 million in FY 2000 
funds made available under this SuperNOFA for the HBCU Program:
    (1) Approximately $2 million will be awarded to HBCUs that have not 
received funding in past HUD HBCU competitions under section 107(b)(3) 
of the Housing and Community Development Act of 1974. This includes 
competitions for Fiscal Years 1991 through 1999 (``previously unfunded 
HBCUs'').
    Previously unfunded HBCUs are listed in Appendix B of this HBCU 
Program section of the SuperNOFA.
    (2) The remaining approximately $8 million of FY 2000 funds will be 
awarded to HBCUs that have received funding under such competitions 
(``previously funded HBCUs''). Previously funded HBCUs are listed in 
Appendix C of this HBCU Program section of the SuperNOFA.
    If recaptured funds are made available, those funds will also be 
divided proportionately between the two types of applicant funding 
pools; i.e. one fifth to previously unfunded HBCUs and four fifths to 
previously funded HBCUs.
    HUD reserves the right to make awards for less than the maximum 
amount or less than the amount requested in a particular application. 
Awards will be made in the form of grants. The maximum amount awarded 
to previously unfunded applicants will be up to $300,000 and the 
maximum amount awarded to previously funded applicants will be up to 
$400,000. However, should a previously unfunded or funded HBCU propose 
activities to address a past ``Presidentially Declared Disaster'', the 
HBCU may apply for up to an additional $100,000 for eligible 
activities. For disasters declared during calendar years 1992 through 
1999, an HBCU may confirm or identify major disaster areas (generally 
counties or independent cities) by looking up ``Federally Declared 
Disasters'' on the Federal Emergency Management

[[Page 9432]]

Agency's web-site at www.fema.gov/library/drcys.htm. At HUD, more 
information on disasters may be obtained from Jan Opper. Mr. Opper can 
be reached on 202-708-3587.
    (B) Term of Grant. The maximum period for performance of your 
proposed program under this SuperNOFA for the HBCU Program is 24 
months. The performance period will commence on the effective date of 
your grant agreement.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. Approximately $10,000,000 is available in 
funding for the Historically Black Colleges and Universities (HBCU) 
Program. The HBCU Program assists HBCUs expand their role and 
effectiveness in addressing community development needs in their 
localities, including neighborhood revitalization, housing, and 
economic development, consistent with the purposes of Title I of the 
Housing and Community Development Act of 1974.
    (1) For the purposes of this program, the term ``locality'' 
includes any city, county, town, township, parish, village, or other 
general political subdivision of a State or the U.S. Virgin Islands 
within which an HBCU is located.
    (2) If your HBCU is located in a metropolitan statistical area 
(MSA), as established by the Office of Management and Budget, you may 
consider your locality to be one or more of these entities within the 
entire MSA. The nature of the locality for each HBCU may differ, 
therefore, depending on its location.
    (3) If the HBCU is proposing activities for the purpose of 
providing assistance to address a ``Presidentially Declared Disaster'', 
HUD may, in accordance with regulatory waiver standard requirements, 
grant a waiver of the locality restriction to allow the HBCU to carry 
out disaster activities within the entire area of the State in which 
the HBCU is located.
    (4) A ``target area'' is the locality or the area within the 
locality in which your HBCU will implement its proposed HUD grant 
activities.
    (B) Eligible Applicants. Only HBCUs as determined by the Department 
of Education in 34 CFR 608.2 in accordance with that Department's 
responsibilities under Executive Order 12876, dated November 1, 1993, 
are eligible for funding under the HBCU Program. As indicated in 
Section II(A)(1) and (2), funds available under this program will be 
split between two classes of HBCU applicant, which will be rated, 
ranked, and selected separately.
    (C) Eligible Activities. (1) General. Each activity you propose for 
funding must meet both a Community Development Block Grant (CDBG) 
Program national objective AND the CDBG eligibility requirements. 
Eligible activities that may be funded under the HBCU Program are those 
activities eligible for CDBG funding. The eligible activities are 
listed in 24 CFR part 570, subpart C, particularly Secs. 570.201 
through 570.206. Additionally, not less than 51% of the aggregated 
expenditures of a grant must benefit low and moderate income persons 
under the criteria specified in 24 CFR 570.208(a) or 570.208(d)(5)or 
(6).
    (2) National Objectives. Each activity that may be funded under 
this SuperNOFA for the HBCU Program must meet one of the three national 
objectives of the Community Development Block Grant program which are:

(a) Benefit to low- or moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular urgency 
because existing conditions pose a serious and immediate threat to the 
health and welfare of the community, and other financial resources are 
not available to meet such needs.

    Criteria for determining whether an activity addresses one or more 
of these objectives are provided at 24 CFR 570.208. This year, HUD is 
encouraging HBCUs that want to provide CDBG assistance in 
``Presidentially Declared Disaster Areas'' (beginning in 1992) to 
consider funding eligible activities to address the damage within their 
localities.
    (3) Examples of Eligible Activities. Examples of activities that 
generally can be carried out with these funds include, but are not 
limited to:
    (a) Acquisition of real property;
    (b) Clearance and demolition;
    (c) Rehabilitation of residential structures including lead-based 
paint hazard evaluation and reduction; and making accessibility and 
visitability modifications in accordance with the requirements of 
section 504 of the Rehabilitation Act of 1973;
    (d) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets;
    If you are proposing to undertake any of the activities listed in 
(a) through (d), you will be required to provide at least two 
reasonable appraisals/estimates, from a qualified entity other than the 
HBCU, of the cost to complete the activities. This information is to be 
submitted with your application. Such an entity must be involved in the 
business of housing rehabilitation, construction, and/or management;
    (e) Relocation payments and other assistance for permanently and 
temporarily relocated individuals, families, businesses, nonprofit 
organizations, and farm operations where the assistance is
    (i) Required under the provisions of 24 CFR 570.606(b) or (c); or
    (ii) Determined by the grantee to be appropriate under the 
provisions of 24 CFR 570.606(d);
    (f) Direct homeownership assistance to low- and moderate-income 
persons, as provided in section 105(a)(25) of the Housing and Community 
Development Act of 1974;
    (g) Special economic development activities described at 24 CFR 
570.203;
    (h) Assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (i) Establishment of a new or stabilization of an existing 
Community Development Corporation (CDC) to undertake or continue HBCU 
eligible activities. If you are proposing a Community Development 
Corporation (CDC) component, it may qualify for Community Based 
Development Organization (CBDO) activities;
    (j) Assistance to a (CBDO) to carry out a CDBG neighborhood 
revitalization, community economic development, or energy conservation 
project, in accordance with 24 CFR 570.204. This could include 
activities in support of a HUD approved local entitlement grantee CDBG 
Neighborhood Revitalization Strategy (NRS) or HUD approved State CDBG 
Community Revitalization Strategy (CRS); and
    (k) Eligible public service activities, including activities that 
provide a continuum of care for the homeless; adult basic education 
classes; GED preparation and testing; HBCU curriculum development of 
courses which will lead to a certificate or degree in community 
planning and development; job and career counseling and assessment; 
citizen participation academies, and public access telecommunications 
centers; social and medical services; and/ or other support activities 
for low- and moderate-income residents, senior citizens and youth, 
including the U.S. Department of Education's Gaining Early Awareness

[[Page 9433]]

and Readiness for Undergraduate Programs (GEAR UP). (For more 
information regarding GEAR UP, call 1-800-USA-LEARN or visit the 
Department of Education's website at www.ed.gov);
    (l) Fair housing services designed to further the fair housing 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
family status and/or disability aware of the range of housing 
opportunities available to them; and
    (m) Payment of reasonable grant administrative costs and carrying 
charges related to the planning and execution of community development 
activities assisted in whole or in part with grant funds. HBCU program 
administrative costs may include capacity building to enhance your HUD 
HBCU previously funded activities, and/or the creation of new 
activities under this HUD HBCU grant. Administrative activities in 
connection with strengthening previous and new activities include 
hiring staff, supporting and training existing staff, providing 
software and other tools to provide administrative capability.
    To enhance the program delivery capacity of HBCUs eligible under 
this SuperNOFA, you may propose to use up to 10% of your award funds to 
acquire technical assistance (TA) from a qualified TA provider to 
assist in implementing your proposed activities. While you are 
responsible for ensuring that potential TA providers are qualified, we 
believe that the most qualified providers would be entities/
organizations that have demonstrated the expertise and capacity to 
successfully conceptualize, develop and implement community and 
economic development projects and initiatives similar to those you 
propose. Previously unfunded HBCUs are particularly encouraged to 
consider acquiring technical assistance from a qualified previously 
funded HBCU, as described in the paragraph below entitled ``Partnering 
With A Qualified Previously Funded HBCU.''
    (3) Activities Designed to Promote Training and Employment 
Opportunities. In selecting proposed eligible activities, we urge you 
to consider undertaking activities designed to promote opportunities 
for training and employment of low-income residents in connection with 
HUD initiatives such as ``Twenty/20 Education Communities (TEC) 
formerly known as the Campus of Learners'' (COL) in public housing and 
``Neighborhood Networks'' (NN) in other Federally-assisted or insured 
housing. We also encourage you, whenever feasible, to propose 
implementing activities in a Federally-designated Urban or Rural (HUD 
or Department of Agriculture) Empowerment Zone, Urban or Rural 
Enterprise Community (EZ or EC), or a HUD-approved local CDBG 
Neighborhood Revitalization Strategy Area or HUD-approved State CDBG 
Community Revitalization Strategy Area.
    (4) Use of Grant Funds for the Provision of Public Services. If you 
plan to use grant funds to provide public services, you are bound by 
the CDBG statutory requirement that not more than 15% of the total 
grant amount be used for public service activities that benefit low and 
moderate income persons. Therefore, you must propose to use at least 
85% of the grant amount for activities qualifying under an eligibility 
category other than public services (as described at 24 CFR 
570.201(e)). For example, while HUD encourages HBCUs to use a portion 
of their grant funds for curriculum development of courses that would 
lead to a certificate or degree in community planning and development, 
this activity is considered a public service and subject to the public 
service cap of 15%.
    (5) Partnering With A Qualified Previously Funded HBCU. In order to 
foster further partnerships between HBCUs, you are encouraged to 
propose using a portion of the award funds to acquire technical 
assistance from a qualified previously funded HBCU to assist you to 
develop and implement the proposed activities. The cost for the 
technical assistance must be for post award assistance and must be 
deemed by HUD as necessary and reasonable for the purposes of your 
grant. Under no circumstances may you propose to use more than 10 
percent of the total HUD grant (not including matching funds, if any) 
to purchase program activity technical assistance.
    If you propose an activity which otherwise is eligible it may not 
be funded if State or local law requires that it be carried out by a 
governmental entity.
    The CDBG Publication entitled ``Everything You Wanted to Know About 
CDBG'' discusses the regulations, and a copy can be ordered from HUD's 
SuperNOFA Information Center at 1-800-HUD-8929 or 1-800-HUD-2209 for 
the hearing impaired.
    (D) Ineligible CDBG Activities are listed at Sec. 570.207.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, you are subject to the following 
requirements:
    (A) Leveraging. Although a match is not required to qualify for 
funding, applicants that provide letters evidencing a firm commitment 
from other Federal (e.g., Americorps Programs), State, local, and/or 
private sources to provide funding, and/or in-kind goods or services to 
implement the proposed activities will receive points under Rating 
Factor 4. These letters must be dated no earlier than the date of this 
published SuperNOFA. If you do not have evidence of leveraging, you 
will receive zero (0) points for Rating Factor 4.
Potential Sources of Assistance
 Federal, State and local governments
 Housing Authorities
 Local or national nonprofit organizations
 Banks and private businesses
 Foundations
 Faith Based Communities
 The HBCU

    For each match, cash or in kind contribution to your program, you 
must submit a letter from the provider on the provider's letterhead. A 
firm commitment letter should address the following:
 The cash amount contributed or dollar value of the in-kind 
goods and/or services committed;
 How the match is to be used;
 The date the match will be made available and a statement that 
it will be for the duration of the grant period;
 Any terms and conditions affecting the commitment, other than 
receipt of a HUD HBCU Grant; and
 The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services.

    (B) Employment of Local Area Residents (Section 3). Please see 
Section II(E) of the General Section of this SuperNOFA. The 
requirements are applicable to certain activities that may be funded 
under this program section of the SuperNOFA.
    (C) Labor Standards. If you are awarded a grant, you must comply 
with the labor standards as found at 24 CFR 570.603.
    (D) OMB Circulars. Your grant will be governed by: (1) OMB Circular 
A-21 entitled ``Cost Principles for Educational Institutions''; (2) OMB 
Circular A-133 entitled ``Audits of States, Local Governments, and Non-
Profit Organizations''; and (3) the provisions of 24 CFR part 84 
entitled ``Grants and Agreements with Institutions of Higher Education, 
Hospitals and Other Nonprofit Organizations. You can access

[[Page 9434]]

the OMB Circulars at the White House website at http://whitehouse.gov/
wh/eop/omb/html/circulars.

V. Application Selection Process

    (A) Rating and Ranking. (1) Threshold Review. HUD will conduct a 
review to insure that applications are complete and consistent with the 
threshold requirements of Section II(B), Compliance with Fair Housing 
and Civil Rights Laws, of the General Section of the SuperNOFA, this 
HBCU Program section of the SuperNOFA and the HBCU Program regulations 
(24 CFR 570.404) before reviewing the application for rating and 
ranking. The General Section of the SuperNOFA provides the procedures 
for corrections to deficient applications.
    (2) Funding of Applications. To be considered for funding, your 
application must receive a minimum score of 70 out of the possible 
total of 100 points possible for Factors 1 through 5. In addition, two 
bonus points may be awarded for EZ/EC, as described in the General 
Section of the SuperNOFA. Within each category of eligible applicant, 
HUD will fund applications in rank order, until it has awarded all 
available funds for that category of applicant, or until there are no 
fundable applications remaining in that category. If there is a tie in 
the point scores of two applications, the rank order will be determined 
by the score on Rating Factor 3, 4, 2, 1, 5 in that order. HUD will 
give the higher rank to the application with the most points for a 
factor in the above order.
    If funds remain after approving all fundable applications within a 
category of applicants, HUD may choose to add those funds to the funds 
available for the other category of applicants.
    (3) After Selection. After selection, but prior to award, you will 
be required to:
    (a) Negotiate. After HUD has rated and ranked all applications and 
HUD has selected the competition winners, HUD requires that all winners 
participate in negotiations to determine the specific terms of the 
Statement of Work and the final grant budget. HUD will follow the 
negotiation procedures described in Section III(D) of the General 
Section of the SuperNOFA.
    (b) Provide Financial Management and Audit Information. If you are 
selected for funding, you will be required to submit a copy of your 
most recent audit from an Independent Public Accountant, or the 
cognizant government auditor, stating that your financial management 
system meets prescribed standards for fund control and accountability 
required by OMB Circular A-133, as codified at 24 CFR part 84 and 
provides your approved fringe benefit and overhead rates.
    (B) Factors For Award Used To Evaluate and Rate Applications. HUD 
will use the Factors For Award set forth below to evaluate 
applications. Your application must contain sufficient information for 
HUD to review it for its merits. The score for each factor will be 
based on the qualitative and quantitative aspects of your response to 
that factor. You are not to exceed a total of twenty-five (25) pages to 
respond to Rating Factor 1 through 5. This limitation applies to your 
narrative response, tables, and maps, and NOT to firm commiment 
letters, the performance narrative and progress reports for previously 
funded HBCUs.
    The maximum number of points that may be awarded is 102. This 
includes two EZ/EC bonus points, as described in the General Section of 
the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement your 
proposed activities in a timely manner. In rating this factor, HUD will 
consider the extent to which:
    (1) Knowledge and Experience. (5 Points for previously funded 
applicants and 15 Points for previously unfunded applicants). Your 
application demonstrates the knowledge and experience of the overall 
project director and staff, including the day-to-day program manager, 
consultants (including technical assistance providers) and contractors 
in planning and managing the kinds of programs for which funding is 
being requested. Experience will be judged in terms of recent, relevant 
and successful experience of your staff to undertake eligible program 
activities. In rating this factor, HUD will consider the extent to 
which your organization and staff have recent, relevant, and successful 
experience in:
    (a) Undertaking specific successful community development projects 
with community-based organizations or local governments; and
    (b) Providing proven leadership in solving community problems which 
have a direct bearing on the proposed activity.
    (2) Past Performance (10 Points for previously funded applicants) 
For previously funded HBCUs, the extent to which you have been 
successful with past HUD/HBCU projects. For each HUD HBCU grant, you 
must submit copies of the last two progress reports and a performance 
narrative as outlined in Appendix D. HUD will consider your 
performance, including meeting established target dates and schedules, 
in applying the rating for this subfactor.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities and an indication of the 
importance of meeting the need in the target area. In responding to 
this factor, you will be evaluated on the extent to which you document 
the level of need for the proposed activities and the importance of 
meeting the need.
    You should use statistics and analyses contained in one or more 
data sources that are sound and reliable. To the extent that your 
community's Consolidated Plan and Analysis of Impediments to Fair 
Housing Choice (AI) identify the level of the problem and the urgency 
in meeting the need, you should include references to these documents 
in your response to this factor. If your proposed activities are not 
covered under the scope of the Consolidated Plan and AI, you should 
indicate such, and use other sound data sources to identify the level 
of need and the urgency in meeting the need. Types of other sources 
include, but are not limited to, Census reports, HUD's Continuum of 
Care gaps analysis, law enforcement agency crime reports, Public 
Housing Authorities' Comprehensive Plan, community needs analysis such 
as provided by the United Way, local Urban League, the HBCU and other 
sound and reliable sources appropriate for the HBCU program. You also 
may address needs in terms of fulfilling court orders or consent 
decrees, settlements, conciliation agreements, and voluntary compliance 
agreements.
    To the extent possible, the data you use should be specific to the 
area where your proposed activities will be carried out. You should 
document needs as they apply to the area where the activities will be 
targeted, rather than the entire locality or State, unless the target 
area is the entire locality or State.

Rating Factor 3: Soundness of Approach (50 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan, the commitment of your institution to sustain the 
proposed activities, and your actions regarding Affirmatively 
Furthering Fair Housing.

(1) Quality of the Work Plan (35 Points)
    (a) Work Plan Impact (15 Points) Describe how your proposed 
activities will:


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    (i) Expand the role of the HBCU in its community;
    (ii) Alleviate and/or fulfill the needs identified in Factor 2;
    (iii) Relate to and not duplicate other activities in the target 
area. Duplicative efforts will be acceptable, if you are able to 
demonstrate that there is a population in need that is not being 
served;
    (iv) Involve and empower the citizens of the target area; and
    (v) Be disseminated to a wide variety of audiences, both academic 
and community-based, using a wide variety of media, including print and 
Internet technology.

    (b) Specific Services and/or Activities. (15 Points) Your work plan 
must incorporate all proposed activities. HUD will consider the 
feasibility of success of your program, the measurable objectives, and 
how timely your products will be delivered.
    Describe each proposed activity, and the tasks required to 
implement and complete the activity. If relocation is to be a part of 
your work activities, you should discuss your plan for temporary or 
permanent relocation of occupants of units affected, including storage 
or moving of household goods, stipends and/or incentives.
    Also, for each activity, describe:
    (i) How it meets a CDBG national objective;
    (ii) The sequence, duration, and the products to be delivered in 6 
month intervals, up to 24 months. You should indicate which staff 
member, described in your response to Factor 1, will be responsible and 
accountable for the deliverables; and
    (iii) Measurable objectives to be accomplished e.g. the number of: 
persons to be trained and employed; houses to be built (pursuant to 24 
CFR 570.207) or rehabilitated; minority owned businesses to be started, 
etc.
    (c) HUD Priorities. (5 Points) The extent to which your proposed 
application will further and support the policy priorities of HUD 
including:
    (i) Promoting healthy homes;
    (ii) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare-to-work programs;
    (iii) Enhancing on-going efforts to eliminate drugs and crime from 
neighborhoods through program policy efforts such as ``One Strike and 
You Are Out'' or the ``Officer Next Door'' initiative;
    (iv) Providing educational, job training, and homeownership 
opportunities through such initiatives as Neighborhood Networks and 
Twenty/20 Education Communities (TEC) (formerly known as the Campus of 
Learners (COL)), and linking programs to Americorps activities; and
    (v) The Partnership for Advancing Technology in the Housing (PATH) 
Initiative.
    The Healthy Homes initiative implements a series of activities to 
protect children from home hazards such as lead-based paint, radon, 
fires and accidents around the home.
    The Neighborhood Networks (NN) initiative enhances the self-
sufficiency, employability, and economic self-reliance of low-income 
families and the elderly living in HUD-insured and HUD-assisted 
properties by providing such residents with on-site access to computer 
and training resources.
    The Twenty/20 Education Communities (TEC) (formerly known as the 
Campus of Learners (COL)) initiative is designed to transform public 
housing into safe and livable communities where families undertake 
training in new telecommunications and computer technology and partake 
in educational opportunities and job training initiatives.
    The Partnership for Advancing Technology in the Housing (PATH) 
Initiative is a voluntary public/private partnership that seeks to 
speed the creation and widespread use of advanced technologies in order 
to radically improve the quality, durability, energy efficiency, and 
environmental performance and affordability of housing. For more 
information, you can go to the PATH website at www.pathnet.org.
    (2) Institutionalization of Project Activities (10 Points) The 
extent to which your project will result in the kinds of activities 
that will be sustained by the HBCU by becoming part of the mission of 
the HBCU. HUD will look at your monetary commitment to continuing to 
work in the target area or other similar areas and to your longer term 
commitment of hard dollars to similar work.
    (3) Affirmatively Furthering Fair Housing (5 Points) The extent to 
which you propose to undertake activities designed to affirmatively 
further fair housing, for example:
    (a) Working with other entities in the community to overcome 
impediments to fair housing, such as discrimination in the sale or 
rental of housing or in advertising, provision of brokerage services, 
or lending;
    (b) Promoting fair housing through the expansion of homeownership 
opportunities and improved quality of services for minorities, families 
with children, and persons with disabilities; or
    (c) Providing mobility counseling.
    In evaluating this factor, HUD will consider the extent to which 
your budget is consistent with the Work Plan and the dollars indicated 
on the Standard Form (SF) 424. Your budget submission must include:
    (i) A budget summary covering the Federal and non-Federal share of 
the costs proposed by cost category (Appendix D). You should pay 
particular attention to accurately estimating costs, determining the 
necessity for and reasonableness of costs; and correctly computing all 
budget items and totals. Indirect costs must be substantiated and 
approved by the cognizant Federal agency or you must provide an 
indirect cost rate plan. The indirect cost rate should be indicated in 
your budget;
    (ii) A budget justification, which should be a narrative statement 
indicating how you arrived at your costs. When possible, you should use 
quotes from vendors or historical data. You must support all direct 
labor and salaries with mandated city/state pay scales or other 
documentation; and
    (iii) A budget-by-activity (Appendix D) which includes a listing of 
tasks to be completed for each activity needed to implement the 
program, the overall costs for each activity, and the cost for each 
funding source.
    You must submit at least two reasonable appraisals/estimates 
supplied by qualified entities other than the HBCU if you are proposing 
to do any of the following: acquisition of real property; clearance and 
demolition; rehabilitation of residential, commercial and/or industrial 
structures; and/or acquisition, construction, or installation of public 
facilities and improvements. You may obtain guidance for securing these 
estimates from the CPD Director in the HUD field office or the local 
government.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure resources which can be 
combined with HUD program funds to implement the proposed activities.
    In evaluating this factor, HUD will consider the extent to which 
you have secured firm commitments for additional resources to increase 
the effectiveness of your proposed activities. Resources may include 
funding or in-kind contributions, such as services or equipment, 
allocated solely for the purpose(s) of the award you are seeking. A 
higher number of points will be awarded for a cash match than in-kind 
goods or services of the same value. The maximum number of rating 
points you can receive for

[[Page 9436]]

leveraging is ten (10). If you do not have evidence of a firm 
commitment you will receive zero points for this factor. Use the format 
in Appendix D, to respond to this factor.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations, participate or promote 
participation in your community's Consolidated Planning process, and 
are working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community. For 
specific information about your locality's planning process, contact 
the local or State Community Development Agency or the local HUD Field 
Office.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate you have:
    (1) (4 points) Coordinated your proposed activities with those of 
other groups or organizations before submission in order to best 
complement, support and coordinate all known activities, and if funded, 
the specific steps you will take to share information on solutions and 
outcomes with others. You should describe any written agreements, 
memoranda of understanding in place, or that will be in place after 
award.
    (2) (3 points) Taken or will take specific steps to become active 
in the community's Consolidated Planning process (including the 
Analysis of Impediments to Fair Housing Choice) established to identify 
and address a need/problem that is related to your proposed activities.
    (3) (3 points) Taken or will take specific steps to develop 
linkages to coordinate comprehensive solutions through meetings, 
information networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally funded activities, including 
those proposed or on-going in the community.

VI. Application Submission Requirements

    (A) Forms, Certifications and Assurances. Your application must 
contain the items listed in this Section VI. These items include the 
standard forms, certifications, and assurances listed in the General 
Section of the SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found in Appendix D to this program section of the 
SuperNOFA.
    The standard forms applicable to the HBCU application are as 
follows:

(1) Standard Form SF-424, Application for Federal Assistance.
(2) Standard Form SF-424B, Assurances for Non-Construction Programs.
(3) Form HUD-HUD-50070, Certification for a Drug-Free Workplace.
(4) Form HUD-50071, Certification of Payments to Influence Federal 
Transactions. If you did do any lobbying then you must also complete 
the Certification and Disclosure Form Regarding Lobbying (SF-LLL).
(5) Form HUD-2880, Applicant/Recipient Disclosure Update Report.
(6) Form HUD-2992, Certification Regarding Debarment and Suspension. 
This certification is required by 24 CFR 24.510. (The provisions of 24 
CFR part 24 apply to the employment, engagement of services, awarding 
of contracts, subgrants, or funding of any recipients, or contractors 
or subcontractors, during any period of debarment, suspension, or 
placement in ineligibility status, and a certification is required.)
(7) Form HUD-2991, Certification of Consistency with the Consolidated 
Plan; and
(8) Form HUD-2990, Certification of Consistency with the EZ/EC 
Strategic Plan. EZ/EC bonus points will only be awarded when the HBCU 
is located within the geographic boundaries of a HUD or Department of 
Agriculture EZ/EC. If applicable, you will need to indicate on this 
form if the college or university is located within the geographic 
boundaries of the EZ/EC.

    (B) Transmittal Letter. A transmittal letter must accompany your 
application. Your cover letter must be signed by the Chief Executive 
Officer (usually the President or Provost) of your institution. If the 
Chief Executive Officer has delegated this responsibility to another 
official, that person may sign, but a copy of the delegation must also 
be included.
    (C) Letter Certifying Local Approval. This letter certifies that 
the jurisdiction in which your activities will take place approve the 
implementation of your activities.
    (D) Application Checklist (Appendix D).
    (E) Abstract/Executive Summary (one page limit) describing the 
goals and activities of your project.
    (F) Narrative Statement Responding To The Factors For Award (25 
page limit, including tables and maps, but not including firm 
commitment letters, the performance narrative and progress reports). 
The narrative should be numbered in accordance with each factor and 
subfactor.
    Please note that all certification forms must be signed by the 
authorized certifying official.
    Also, HUD will not consider appendices to an application. You must 
submit your documentation, including firm commitment letters, the 
performance narrative and progress reports, with your responses to the 
pertinent factors in order to receive points for it.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    Selection for award does not constitute approval of any proposed 
sites. Following selection for award, HUD will perform an environmental 
review of activities proposed for assistance under this program part, 
in accordance with 24 CFR part 50. The results of the environmental 
review may require that your proposed activities be modified or that 
your proposed sites be rejected. You are particularly cautioned not to 
undertake or commit funds for acquisition or development of proposed 
properties prior to HUD approval of specific properties or areas. Your 
application constitutes an assurance that your institution will assist 
HUD to comply with part 50; will supply HUD with all available and 
relevant information to perform an environmental review for each 
proposed property; will carry out mitigating measures required by HUD 
or select an alternate property; and will not acquire, rehabilitate, 
convert, lease, repair or construct property and not commit or expend 
HUD or local funds for these program activities with respect to any 
eligible property, until HUD approval of the property is received. In 
supplying HUD with environmental information, you should use the same 
guidance as provided in the HUD Handbook entitled ``Field Environmental 
Review Processing for HUD Colonias Initiative Grants,'' issued January 
27, 1998.

[[Page 9437]]

IX. Authority

    This program is authorized under section 107(b)(3) of the Housing 
and Community Development Act of 1974 (42 U.S.C. 5307(b)(3)), which was 
added by section 105 of the Department of Housing and Urban Development 
Reform Act of 1989 (Pub.L. 101-235, approved December 15, 1989). The 
HBCU Program is governed by regulations contained in 24 CFR 570.400 and 
570.404, and in 24 CFR part 570, subparts A, C, J, K, and O.

Appendices to the HBCU NOFA

A Field Office Community Planning and Development; Directors With 
Historically Black Colleges And Universities; Located Within Their 
Jurisdiction
B Historically Black Colleges and Universities Previously; Unfunded By 
HUD During Fiscal Years 1991-1999
C Historically Black Colleges and Universities Previously; Funded By 
HUD During Fiscal Years 1991-1999
D HBCU Application Forms

Appendix A--Community Planning and Development (CPD) Directors with 
Historically Black Colleges and Universities Located within their 
Jurisdiction

Harold Cole, Beacon Ridge Tower, Beacon Parkway West, Suite 300, 
Birmingham, AL 35209-3144 205-290-7630
Anne Golnik, TCBY Tower, 425 West Capitol Avenue, Suite 900, Little 
Rock, AR 72201-3488, 501-324-6375
John Perry, Richard B. Russell Federal Building, 49 Marietta Street-
Five Points Plaza, Atlanta, GA 30303-2806, 404-331-5139
Lana Vacha, 200 North High Street, Columbus, OH 43215-2499, 614-469-
6743
David Long, 500 West Main Street, Suite 400, Oklahoma City, OK 
73102, 405-553-7571
Joyce Gaskins, the Wanamaker Building, 100 Penn Square East, 
Philadelphia, PA 19107-3380, 215-656-0624
Ben Cook, 601 West Broadway, PO Box 1044, Louisville, KY 40201-1044, 
502-582-6141
Gregory Hamilton, Hale Boggs Federal Building, 501 Magazine Street, 
9th Floor, New Orleans, LA 70130-3099, 504-589-7212
Joseph O'Connor, City Crescent Building, 10 South Howard Street, 5th 
Floor, Baltimore, MD 21201-2505, 410-962-2520
Emerson Sherrod, Acting, Patrick V. McNamara Federal Building, 47 
Michigan Avenue, Detroit, MI 48226-2592, 313-226-7908
Linda Tynes, Acting, Doctor A. H. McCoy Federal Building, 100 West 
Capitol Street, Room 910 Jackson, MS 39269-1096, 601-965-4765
Ann Wiedl, Robert A. Young Federal Building, 1222 Spruce Street, 
Third Floor, St. Louis, MO 63103-2836, 314-539-6524
Charles T. Ferebee, Koger Building, 2306 West Meadowview Rd, 
Greensboro, NC 27407-3707, 336-547-4005
James Nichol, Southern Bell Tower, 301 West Bay Street, Suite 2200, 
Jacksonville, FL 32202-5121, 904-232-1777
Louis E. Bradley, Strom Thurmond Federal Building, 1835 Assembly 
Street, Columbia, SC 29201-2480, 803-765-5564
Virginia Peck, John J. Duncan Federal Building, 710 Locust Street 
SW, Third Floor, Knoxville, TN 37902-2526, 423-545-4391
Katie Worsham, 801 Cherry Street, Fort Worth, TX 76102, 817-978-5933
John T. Maldonado, Washington Square, 800 Dolorosa Street, San 
Antonio, TX 78207-4563, 210-475-6820
Joseph K. Aversano, The 3600 Centre, 3600 West Broad Street, 
Richmond, VA 23230-4920, 804-278-4539
Ronald J. Herbert, 820 First Street NE, Suite 450, Washington, DC 
20002-4205, 202-275-0994
Lynn Daniels, 339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-
2512, 412-644-2999
Jack Johnson, 909 SE First Avenue, Room 500, Miami, FL 33131-3028, 
305-536-4431
Carmen R. Cabrera, New San Juan Office Building, 159 Carlos E. 
Chardon Avenue, San Juan, PR 00918-0903, 787-766-5576

Appendix B--Historically Black Colleges and Universities, Previously 
Unfunded By HUD During Fiscal Years 1991-1999

Alabama
    Concordia College
    Fredd State Technical College
    Lawson State Community College
    Miles College
    Selma University
    J.F. Drake Technical College
    Trenholm State Technical College
Arkansas
    Shorter College
Delaware
    Delaware State University
Florida
    Edward Waters College
    Florida Memorial College
Georgia
    Morehouse School of Medicine
    Paine College
Louisiana
    Dillard University
    Southern University at Shreveport/Bossier City
Maryland
    University Of Maryland Eastern Shore
Michigan
    Lewis College of Business
Mississippi
    Hinds Community College
    Mary Holmes College
North Carolina
    Barber-Scotia College
    Livingstone College
Ohio
    Wilberforce University
Pennsylvania
    Cheyney University of Pennsylvania
South Carolina
    Allen University
    Clinton Junior College
    Denmark Technical College
    Morris College
Tennessee
    Knoxville College
    Lane College
    Meharry Medical College
    Tennessee State University
Texas
    Jarvis Christian College
    Southwestern Christian College
Virginia
    Virginia Union University
West Virginia
    Bluefield State College
U.S. Virgin Islands
    University of the Virgin Islands

Appendix C--Historically Black Colleges and Universities Previously 
Funded by HUD During Fiscal Years 1991-1999

Alabama
    Alabama A&M University
    Alabama State University
    Bishop State Community College
    Gadsden State Community College
    Oakwood College
    Stillman College
    Talladega College
    Tuskegee University
Arkansa
    Arkansas Baptist College
    Philander Smith College
    University of Arkansas at Pine Bluff
District of Columbia
    Howard University
    University of the District of Columbia
Florida
    Bethune-Cookman College
    Florida A&M University
Georgia
    Albany State University
    Clark Atlanta University
    Fort Valley State University
    Interdenominational Theological Center
    Morehouse College
    Morris Brown College
    Savannah State University
    Spelman College
Kentucky
    Kentucky State University
Louisiana
    Grambling State University
    Southern University A&M College System at Baton Rouge
    Southern University at New Orleans
    Xavier University of New Orleans
Maryland
    Bowie State University
    Coppin State College
    Morgan State University
Mississippi
    Alcorn State University
    Coahoma Community College
    Jackson State University
    Mississippi Valley State University
    Rust College
    Tougaloo College
Missouri
    Harris-Stowe State College
    Lincoln University
North Carolina
    Bennett College
    Elizabeth City State University
    Fayetteville State University
    Johnson C. Smith University
    North Carolina A&T State University
    North Carolina Central University

[[Page 9438]]

    St. Augustine's College
    Shaw University
    Winston-Salem State University
Ohio
    Central State University
Oklahoma
    Langston University
Pennsylvania
    Lincoln University
South Carolina
    Benedict College
    Claflin College
    South Carolina State University
    Voorhees College
Tennessee
    Fisk University
    Lemoyne-Owen College
Texas
    Huston-Tillotson College
    Paul Quinn College
    Prairie View A&M University
    Saint Philip's College
    Texas Southern University
    Texas College
    Wiley College
Virginia
    Hampton University
    Norfolk State University
    Saint Paul's College
    Virginia State University
West Virginia
    West Virginia State University

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APPENDIX D

    The non-standard forms, which follow, are required for your HBCU 
application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
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FUNDING AVAILABILITY FOR THE HISPANIC-SERVING INSTITUTIONS 
ASSISTING COMMUNITIES PROGRAM (HSIAC)

Program Overview

    Purpose of the Program. To assist Hispanic-serving institutions of 
higher education (HSIs) expand their role and effectiveness in 
addressing community development needs in their localities, consistent 
with the purposes of Title I of the Housing and Community Development 
Act of 1974, as amended.
    Available Funds. Approximately $6.5 million.
    Eligible Applicants: Only nonprofit Hispanic-serving institutions 
of higher education that meet the definition of an HSI established in 
Title V of the 1998 Amendments to the Higher Education Act of 1965 
(Pub.L. 105-244; enacted October 7, 1998).
    Application Deadline. May 10, 2000.
    Match. None.

ADDITIONAL INFORMATION

    If you are interested in applying for funds under the Hispanic-
serving Institutions Assisting Communities Program (HSIAC), please 
review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application is due on or 
before 12:00 midnight, Eastern time, on May 10, 2000 at HUD 
Headquarters.
    See the General Section of this SuperNOFA for specific procedures 
covering the form of the application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of an original signed application and two copies of the 
application. Submit your completed application to the following 
address:
    Processing and Control Branch, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room 7251, Washington, DC, 20410. When submitting your 
application, please refer to HSIAC and include your name, mailing 
address (including zip code) and telephone number (including area 
code).
    HUD will accept only one application per HSI campus for this 
program. If your institution submits more than one application, per 
campus, HUD will ask you to identify which application you want 
evaluated. Only one application may be evaluated. If you do not respond 
within the stipulated cure period (see Section V of the General Section 
of this SuperNOFA), all of your applications will be disqualified. You 
should take this policy into account and take steps to ensure that 
multiple applications are not submitted.
    For Application Kits. For an application kit and any supplemental 
material, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment, please call the 
Center's TTY number at 1-800-HUD-2209. When requesting an application 
kit, you should refer to HSIAC and provide your name and address 
(including zip code) and telephone number (including area code). You 
may also access the application on the Internet through the HUD web 
site at www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Jane Karadbil of HUD's Office of University Partnerships at 202-708-
1537, extension 5918. If you have a hearing or speech impairment, you 
may access this number via TTY by calling the Federal Information Relay 
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil 
via email at Jane__R.__[email protected].
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $6.5 million in FY 2000 funds is being made available 
under this SuperNOFA for HSIAC. Of this amount, approximately $50,000 
is being set aside to correct a funding error for one of the FY 1999 
grantees.
    The maximum grant period is 24 months. The performance period will 
commence on the effective date of the grant agreement.
    The maximum amount to be requested and awarded is $400,000. Since 
the Statement of Work and other facets of the technical review are 
assessed in the context of the proposed budget and grant request, and 
in the interest of fairness to all applicants, if you submit an 
application requesting more than $400,000 in HUD funds, the application 
will be ruled ineligible. HUD reserves the right to make awards for 
less than the maximum amount or less than the amount requested in your 
application.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The purpose of HSIAC is to assist HSIs 
expand their role and effectiveness in addressing community development 
needs in their localities, including neighborhood revitalization, 
housing, and economic development.
    (1) For the purposes of this program, the term ``locality'' 
includes any city, county, township, parish, village, or other general 
political subdivision of a State, Puerto Rico, or the U.S. Virgin 
Islands within which your HSI is located.
    (2) A ``target area'' is the locality or the area within the 
locality in which your institution will implement its proposed HUD 
grant.
    (B) Eligible Applicants. Only if your institution is a nonprofit 
institution of higher education and meets the statutory definition of 
an HSI in Title V of the 1998 Amendments to the Higher Education Act of 
1965 (Pub. L. 105-244) are you eligible to apply. In order for you to 
meet this definition, at least 25 percent of the full-time 
undergraduate students enrolled in your institution must be Hispanic 
and not less than 50 percent of these Hispanic students must be low-
income individuals. You are not required to be on the list of eligible 
institutions prepared by the U.S. Department of Education. However, if 
you are not, you will be required to certify in the application that 
you meet the statutory definition. If you are one of several campuses 
of the same institution, you may apply separately from the other 
campuses as long as your campus has a separate administrative structure 
and budget from the other campuses. In addition, in order to fund as 
many different HSIs as possible, you can only apply if you did not 
receive an HSIAC grant in FY 1999.
    (C) Eligible Activities. (1) General. Each activity you propose for 
funding must meet both a Community Development Block Grant Program 
(CDBG) national objective and the CDBG eligibility requirements. A 
discussion of the national objectives can be found at 24 CFR part 
570.208. There are three national objectives:
    (a) Benefit to low- and moderate-income persons;
    (b) Aid in the prevention or elimination of slums or blight; or
    (c) Meet other community development needs having a particular 
urgency because existing conditions pose a serious and immediate threat 
to the health and welfare of the community, and other financial 
resources are not available to meet such needs.

[[Page 9458]]

    (You must ensure that of your aggregate grant expenditures under 
paragraphs (a), (b), and (c) above, at least 51% are for activities 
benefiting low- and moderate-income persons.)
    You can find the regulations governing activities eligible under 
the CDBG program at 24 CFR part 570, subpart C, particularly 
Secs. 570.201 through 570.206. Ineligible activities are listed at 
Sec. 570.207. The CDBG publication entitled ``Everything You Wanted to 
Know About CDBG'' discusses the regulations. You can obtain a copy from 
the SuperNOFA Information Center. If you propose an activity which 
otherwise is eligible, it may not be funded if State or local law 
requires that it be carried out by a governmental entity.
    In addition, you may not propose the construction or rehabilitation 
of your institution's facilities unless you can demonstrate that such 
activities would meet the purpose of this program to expand the role 
and effectiveness of an HSI in its locality. HUD will scrutinize 
proposed activities for eligibility. As examples of eligible and 
ineligible on-campus activities, rehabilitating a library for use by 
your students would not be an eligible activity, but rehabilitating it 
to convert it to a micro-business enterprise center for the community 
would be; or as another example, just undertaking your normal 
activities (e.g., offering English as a Second Language classes) would 
not be considered eligible activities because they would not expand 
your role and effectiveness in community development activities. You 
should call Jane Karadbil at the above number if you have any questions 
about the eligibility of any activities you may propose. You may also 
look at the Office of University Partnerships website at www.oup.org 
for summaries of last year's winners.
    (2) Examples of Eligible Activities. Examples of activities that 
generally can be carried out with these funds, under one the three 
national objectives, include, but are not limited to:
    (a) Acquisition of real property;
    (b) Clearance and demolition;
    (c) Rehabilitation of residential structures to increase housing 
opportunities for low- and moderate-income persons and rehabilitation 
of commercial or industrial buildings to correct code violations or for 
certain other purposes, e.g., making accessibility and visitability 
modifications to housing;
    (d) Direct homeownership assistance to low- and moderate-income 
persons, as provided in section 105(a)(25) of the Housing and Community 
Development Act of 1974;
    (e) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets;
    (f) Relocation payments and other assistance for temporarily and 
permanently relocated individuals, families, businesses, and non-profit 
organizations where the assistance is:
    (1) Required under the provision of 24 CFR 570.606 (b) or (c); or
    (2) Determined by your institution to be appropriate under the 
provisions of 24 CFR 570.606(d).
    (g) Lead-based paint hazard reduction, pursuant to the CDBG 
regulations;
    (h) Special economic development activities described at 24 CFR 
570.203, including activities designed to promote training and 
employment opportunities;
    (i) Assistance to facilitate economic development by providing 
technical assistance or financial assistance for the establishment, 
stabilization, and expansion of microenterprises, including minority 
enterprises.
    (j) Assistance to community-based development organizations (CBDO) 
to carry out a CDBG neighborhood revitalization, community economic 
development, or energy conservation project, in accordance with 24 CFR 
570.204. This could include activities in support of a HUD approved 
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved 
State CDBG Community Revitalization Strategy (CRS);
    (k) Establishment of a Community Development Corporation (CDC) at 
the institution to undertake eligible activities. If you are proposing 
a Community Development Corporation (CDC) component, it may qualify for 
CBDO activities;
    (l) Up to 15 percent of the grant for eligible public services 
activities including:
    (i) Work study programs that meet the program requirements of the 
Hispanic-serving Institutions Work Study program, which can be found at 
24 CFR 570.416;
    (ii) Outreach and other program activities as described in the 
Community Outreach Partnership Centers Program section of the 
SuperNOFA;
    (iii) Educational activities including English as a Second Language 
(ESL) classes, adult basic education classes, GED preparation and 
testing, and curriculum development of courses that will lead to a 
certificate or degree in community planning and development;
    (iv) Job and career counseling, assessment, training, and other 
activities designed to promote employment opportunities, not related to 
special economic development activities;
    (v) Capacity building for community organizations;
    (vi) Social and medical services for youths, adults, senior 
citizens, and the homeless;
    (vii) Fair housing services designed to further the fair housing 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
familial status and/or disability aware of the range of housing 
opportunities available to them;
    (viii) Day care services and costs for the children of students 
attending your institution;
    (ix) Continuum of care services for the homeless;
    (x) Public access telecommunications centers including Twenty/20 
Education Communities (formerly known as Campus of Learners) and 
Neighborhood Networks;
    (xi) Activities to use HUD's Partnership for Advancing Technology 
in Housing (PATH) technology;
    (xii) Services to assist low-income students to attend college, as 
part of the U.S. Department of Education's Gaining Awareness and 
Readiness for Undergraduate Program (GEAR UP). (For more information, 
call 1-800-USA-LEARN or visit the U.S. Department of Education's 
website at www.ed.gov).
    (m) Up to 20% of your grant for program administration costs 
related to the planning and execution of community development 
activities assisted in whole or in part with grant funds. Pre-award 
planning costs may not be paid out of grant funds.
    (D) Other Requirements. (1) Leveraging. Although a match is not 
required to qualify for funding, if you claim leveraging from any 
source, including your own institution, you must provide letters or 
other documentation evidencing the extent and firmness of commitments 
of leveraging from other Federal (e.g., Americorps Programs), State, 
local, and/or private sources (including the applicant's own 
resources). These letters or documents must be dated no earlier than 
the date of this published SuperNOFA. Potential sources of leveraging 
assistance include:

Your own institution (for both direct and indirect costs);
Federal, State and local governments;
Housing authorities
Local or national nonprofit organizations

[[Page 9459]]

Banks and private businesses; foundations; and
Faith-based communities.

    (2) Employment of Local Area Residents (Section 3). Please see 
Section II(E) of the General Section of this SuperNOFA. The 
requirements are applicable to certain activities that may be funded 
under this program section of the SuperNOFA.
    (3) Labor Standards. If you are awarded a grant, you must comply 
with the labor standards as found at 24 CFR 570.603.
    (4) OMB Circulars. Your grant will be governed by the provisions of 
24 CFR part 84 (Grants and Agreements with Institutions of Higher 
Education, Hospitals and other Nonprofit Organizations), A-21 (Cost 
Principles for Education Institutions, and A-133 (Audits of States, 
Local Governments, and Non-Profit Organizations. The application kit 
contains a detailed explanation of what these costs are. You can access 
the OMB circulars at the White House website at http://whitehouse.gov/
wh/eop/omb/html/circulars.

IV. Application Selection Process

    HUD will conduct two types of review: a threshold review to 
determine applicant eligibility; and a technical review to rate the 
application based on the rating factors in this section.
    (A) Threshold Factors for Funding Consideration. Under this 
threshold review, your application can only be rated if it is both in 
compliance with the requirements of the General Section of the 
SuperNOFA and the following additional standards are met:
    (1) You must be an eligible HSI;
    (2) Your application requests a Federal grant of $400,000 or less 
over the two-year grant period;
    (3) There is only one application from your institution or a campus 
of your institution;
    (4) At least one of the activities in your application is eligible.
    (B) Factors for Award Used to Evaluate and Rate Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are provided below. The maximum number of points for this 
program is 102. This includes two EZ/EC bonus points, as described in 
the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. In rating this factor, HUD will 
consider the extent to which your application demonstrates the 
knowledge and experience of the overall project director and staff, 
including the day-to-day program manager, consultants, and contractors 
in planning and managing the kinds of programs for which funding is 
being requested. If this experience is found within the HSI, you will 
receive higher points on this factor than if you have secured this 
experience from consultants, contractors, and other staff outside your 
institution. In addition, if you demonstrate that the previous 
experience is for the project team from the institution proposed for 
this project, you will receive higher points than if the experiences 
are for people not proposed to work on this project. Experience will be 
judged in terms of recent, relevant, and successful experience of your 
staff to undertake activities in:
    (a) Outreach activities in specific communities to solve or 
ameliorate significant housing and community development issues;
    (b) Undertaking specific successful community development projects 
with community-based organizations; and
    (c) Providing proven leadership in solving community problems which 
have a direct bearing on the proposed activity.

Rating Factor 2: Need/Extent of the Problem (15 points)

    This factor addresses the extent to which there is a need for 
funding the proposed program activities and an indication of the 
importance of meeting the need in the target area. In responding to 
this factor, you will be evaluated on the extent to which you document 
the level of need for the proposed activities and the importance of 
meeting the need.
    You should use statistics and analyses contained in one or more 
data sources that are sound and reliable. To the extent that your 
targeted community's Five (5) Year Consolidated Plan and Analysis of 
Impediments to Fair Housing Choice (AI) identify the level of the 
problem and the urgency in meeting the need, you should include 
references to these documents in your response to this factor.
    If your proposed activities are not covered under the scope of the 
Consolidated Plan and AI, you should indicate such, and use other sound 
data sources to identify the level of need and the urgency in meeting 
the need. Types of other sources include Census reports, HUD Continuum 
of Care gaps analysis, law enforcement agency crime reports, Public 
Housing Authorities' Comprehensive Plans, community needs analyses such 
as provided by the United Way, your institution, etc., and other sound 
and reliable sources appropriate for HSIAC. You may also address needs 
in terms of fulfilling court orders or consent decrees, settlements, 
conciliation agreements, and voluntary compliance agreements.
    To the extent possible, the data you use should be specific to the 
area where the proposed activities will be carried out. You should 
document needs as they apply to the area where the activities will be 
targeted, rather than the entire locality or State, unless the target 
area is the entire locality or State.

Rating Factor 3: Soundness of Approach (50 points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan, the commitment of your institution to sustain the 
proposed activities, and your actions regarding affirmatively 
furthering fair housing.
    (1) Quality of the Work Plan (35 Points). (a) Work Plan Impact (12 
Points). Specifically, HUD will consider the extent to which your 
proposed activities will:

(i) Expand the role of your institution in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target area;
(iv) Involve and empower the citizens of the target area in all stages 
of the proposed project; and
(v) Be disseminated to a wide variety of audiences, both academic and 
community-based, using a wide variety of media, including print and 
Internet technology.

    (b) Specific Services and/or Activities (13 Points). HUD will 
consider the feasibility of success of your program, the measurable 
objectives, and how timely your products will be delivered. 
Specifically, HUD will examine the extent to which:
    (i) The project you propose can be completed within the two year 
grant period; and
    (ii) The objectives are measurable (e.g., the number of loans made, 
the number of jobs created), result in measurable improvement to the 
community (e.g., fifteen more homeowners, twenty more jobs in a 
specific field), and how well you demonstrate that these objectives 
will be achieved by your proposed management plan and team and will 
result directly from your activities.
    (c) Involvement of the Faculty and Students (5 points). The extent 
to which

[[Page 9460]]

your application proposes to use the funds that could be spent under 
the public service cap (i.e., 15 percent of the grant) for outreach and 
applied research activities related to the proposed activities that 
involve the students and faculty. HUD's goal is to encourage the kinds 
of activities that are eligible under the COPC program to be 
undertaken, within the public services cap constraint, in HSIAC.
    (d) HUD Priorities (5 points). The extent to which your application 
will further and support at least one of the following priorities of 
HUD:
    (1) Promoting healthy homes;
    (2) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare-to-work programs;
    (3) Enhancing ongoing efforts to eliminate drugs and crime from 
neighborhoods through program policy efforts such as ``One Strike and 
You Are Out'' or the ``Officer Next Door'' initiative;
    (4) Providing educational, job training, and homeownership 
opportunities through such initiatives as GEAR UP, Neighborhood 
Networks, Twenty/20 Education Communities, and linking programs to 
Americorps; or
    (5) HUD's Partnership for Advancing Technology in Housing (PATH) 
initiative.
    The Healthy Homes initiative implements a series of activities to 
protect children from home hazards such as lead-based paint, radon, 
fires, and accidents around the home.
    The GEAR UP initiative promotes partnerships between colleges and 
middle or junior high schools in low-income communities, to help teach 
students how they can go to college by informing them about college 
options, academic requirements, costs, and financial aid, and by 
providing support services, including tutoring, counseling, and 
mentoring.
    The Neighborhood Networks initiative enhances the self-sufficiency, 
employability, and economic self-reliance of low-income families and 
the elderly living in HUD-insured and HUD-assisted properties by 
providing them with on-site access to computer and training resources.
    The Twenty/20 Education Community initiative (formerly known as 
Campus of Learners) is designed to transform public housing into safe 
and livable communities where families undertake training in new 
telecommunications and computer technology and partake in educational 
opportunities and job training initiatives.
    The Partnership for Advancing Technology in Housing (PATH) 
initiative is a voluntary public/private partnership that seeks to 
speed the creation and widespread use of advanced technologies in order 
to radically improve the quality, durability, energy efficiency, and 
environmental performance and affordability of housing. For more 
information, you can go to the PATH web site at www.pathnet.org.
    (2) Institutionalization of Project Activities (10 points). The 
extent to which your project will result in the kinds of proposed 
activities being sustained by becoming part of the mission of your 
institution. In reviewing this subfactor, HUD will consider the extent 
to which program activities relate to your institution's mission; are 
part of a climate that rewards faculty work on these kinds of 
activities through promotion and tenure; benefits students because they 
are part of a service learning program at your institution; and are 
reflected in the curriculum. HUD will look at your monetary and non-
monetary commitments to faculty and staff continuing work in the target 
area or other similar areas and to your longer term commitment (five 
years after the start of the grant) of hard dollars to similar work.
    (3) Affirmatively Furthering Fair Housing (5 points). The extent to 
which you propose to undertake activities designed to affirmatively 
further fair housing, for example:
    (a) Working with other entities in the community to overcome 
impediments to fair housing, such as discrimination in the sale or 
rental of housing or in advertising, provision of brokerage services or 
lending;
    (b) Promoting fair housing choice through the expansion of 
homeownership opportunities and improved quality of services for 
minorities, families with children, and persons with disabilities; or
    (c) Providing housing mobility counseling services.

Rating Factor 4: Leveraging Resources (10 points)

    This factor addresses your ability to secure community resources, 
which can be combined with HUD program funds to achieve program 
objectives.
    In evaluating this factor, HUD will consider the extent to which 
you have established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
activities. Resources may include funding or in-kind contributions, 
such as services or equipment. Resources may be provided by 
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities. You may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area.
    You may count overhead and other institutional costs (e.g., 
salaries) that are waived as leveraging. However, higher points will be 
awarded if you secure leveraging resources from sources outside your 
institution.
    You must provide letters or other documentation showing the extent 
and firmness of commitments of leveraged funds (including your own 
resources) in order for these resources to count in determining points 
under this factor. Any resource for which there is no commitment letter 
will not be counted, nor will the resource be counted without the 
proposed level of commitment being quantified. If your application does 
not include evidence of leveraging, it will receive zero (0) points for 
this Factor.

Rating Factor 5: Comprehensiveness and Coordination (10 points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations, participate or promote 
participation in a community's Consolidated Planning process, and are 
working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community. For 
specific information about your locality's process, contact the local 
or State Community Development Agency or the local HUD field office. If 
you propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address and will only 
be rated on subfactors (1) and (3). If that is the case, the points for 
this factor will be evenly divided between these two subfactors.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate that you have:
    (1) (4 points) Coordinated your proposed activities with those of 
other groups or organizations prior to submission in order to best 
complement, support, and coordinate all known activities and, if 
funded, the specific steps you will take to share information on 
solutions with others. Any written agreements, memoranda of 
understanding in place, or that will be in place after award, should be 
described.
    (2) (3 points) Taken or will take specific steps to become active 
in the community's Consolidated Planning process (including the 
Analysis of Impediments to Fair Housing Choice) established to identify 
and address a

[[Page 9461]]

need/problem that is related to the activities you propose.
    (3) (3 points) Taken or will take specific steps to develop 
linkages to coordinate comprehensive solutions through meetings, 
information networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally-funded activities, including 
those proposed or ongoing in the community.
    (C) Selections. In order to be funded, you must receive a minimum 
score of 70 points. HUD will fund applications in rank order, until it 
has awarded all available funds. If two or more applications have the 
same number of points, the application with the most points for Factor 
3, Soundness of Approach, shall be selected. If there is still a tie, 
the application with the most points for Factor 4, Leveraging, shall be 
selected.
    HUD will not fund specific proposed activities that do not meet 
eligibility requirements (see 24 CFR part 570, subpart C) or do not 
meet a national objective in accordance with 24 CFR 570.208.
    HUD reserves the right to make selections out of rank order to 
provide for geographic distribution of funded HSIACs. If HUD decides to 
use this option, it will do so only if two adjacent HUD regions do not 
yield at least one fundable HSIAC on the basis of rank order. If this 
occurs, HUD will fund the highest ranking applicant within the two 
regions as long as the minimum score of 70 points is achieved.
    After all application selections have been made, HUD may require 
that you participate in negotiations to determine the specific terms of 
the Statement of Work and the grant budget. In cases where HUD cannot 
successfully complete negotiations, or you fail to provide HUD with 
requested information, an award will not be made. In such instances, 
HUD may elect to offer an award to the next highest ranking applicant, 
and proceed with negotiations with that applicant.

V. Application Submission Requirements

    You should include an original and two copies of the items listed 
below. In order to be able to recycle paper, please do not submit 
applications in bound form; binder clips or loose leaf binders are 
acceptable. Also, please do not use colored paper. Please note the page 
limits for some of the items listed below and do not exceed them.
    Your application must contain the items listed in this section. 
These items include the standard forms, certifications, and assurances 
listed in the General Section of the SuperNOFA that are applicable to 
this funding (collectively referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found as Appendix A to this program section of the 
SuperNOFA. The items are as follows:
    (A) SF-424, Application for Federal Assistance.
    (B) HUD-424M, Federal Assistance Funding Matrix.
    (C) Application Checklist. 
    (D) Transmittal Letter, signed by the Chief Executive Officer of 
your institution or his or her designee. If a designee signs, your 
application must include the official designation of signatory 
authority.
    (E) Abstract/Executive Summary (one page limit) describing the 
goals and activities of the project.
    (F) Budget. The budget presentation should be consistent with the 
Statement of Work and include:
    (1) A budget by activity, using Form HUD-30004 included in the 
application kit and in the program area section of the SuperNOFA. This 
form separates the Federal and non-Federal costs of each program 
activity. Particular attention should be paid to accurately estimating 
costs; determining the necessity for and reasonableness of costs; and 
correctly computing all budget items and totals.
    (2) A narrative statement of how you arrived at your costs, for any 
line item over $5,000. Indirect costs must be substantiated and the 
rate must have been approved by the cognizant Federal agency. If you 
are proposing to undertake rehabilitation of residential, commercial, 
or industrial structures or acquisition, construction, or installation 
of public facilities and improvements, you must submit reasonable costs 
supplied by a qualified entity other than your institution. Guidance 
for securing these estimates can be obtained from the CPD Director in 
your HUD field office or from your local government.
    (3) A statement of compliance with the 20 percent limitation on 
``Planning and Administration'' costs.
    (G) Statement of Work (25 page limit; this page limit is separate 
from the 25 pages for the Narrative Statement addressing the rating 
factors described above) The Statement of Work incorporates all 
activities to be funded in your application and details how your 
proposed work will be accomplished. (Please note that although 
submitting pages in excess of the page limit will not disqualify your 
application, HUD will not consider the information on any excess pages, 
which may result in a lower score or failure to meet a threshold.) For 
each proposed activity, your Statement of Work must:
    (1) Arrange the presentation of major related activities (e.g., 
rehabilitation of a child care center, provision of tutoring services), 
summarize each activity, identify the primary persons (as described in 
addressing Rating Factor (1) involved in carrying out the activity and 
accountable for the deliverables, and delineate the major tasks 
involved in carrying it out. You should also describe how each activity 
meets a CDBG national objective.
    (2) Indicate the sequence in which tasks are to be performed, 
noting areas of work that must be performed simultaneously. The 
sequence, duration, and the products to be delivered should be 
presented in six month intervals, up to 24 months.
    (3) Identify the specific numbers of quantifiable intermediate and 
end products and objectives (e.g., the number of houses to be 
rehabilitated, the number of people to be trained, the number of 
minority businesses started, etc.) you aim to deliver by the end of the 
grant period as a result of the work performed.
    (H) Narrative Statement Addressing the Factors for Award. (25 page 
limit, including tables, and maps, but not including any letters of 
commitment) You should number the narrative in accordance with each 
factor and subfactor. Please do not repeat material in the Statement of 
Work. (Please note that although submitting pages in excess of the page 
limit will not disqualify your application, HUD will not consider the 
information on any excess pages, which may result in a lower score or 
failure to meet a threshold.)
    In addressing Factor 4, for each leveraging source, cash or in 
kind, you must submit a letter, dated no earlier than the date of this 
SuperNOFA, from the provider on the provider's letterhead that 
addresses the following:
     The dollar amount or dollar value of the in-kind goods 
and/or services committed. For each leveraging source, the dollar 
amount in the commitment letter must be consistent with the dollar 
amount you indicated in the Budget;
     How the leveraging amount is to be used;
     The date the leveraging amount will be made available and 
a statement that

[[Page 9462]]

it will be for the duration of the grant period;
     Any terms and conditions affecting the commitment, other 
than receipt of a HUD HSIAC Grant; and
     The signature of the appropriate executive officer 
authorized to commit the funds and/or goods and/or services. (See the 
application kit and the program area section of the SuperNOFA for a 
sample commitment letter.)
    (I) Certifications. (1) SF-424B, Assurances for Non-Construction 
Programs;
    (2) HUD-50071, Certification of Payments to Influence Certain 
Federal Transactions;
    (3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
    (4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
    (5) HUD-50070, Certification of Drug-Free Workplace;
    (6) HUD-2992, Certification Regarding Debarment and Suspension;
    (7) HUD-2991, Certification of Consistency with the Consolidated 
Plan; and
    (8) HUD-2990, Certification of Consistency with the EZ/EC Strategic 
Plan (if applicable);
    (J) Acknowledgement of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (K) Client Comment and Suggestions (HUD-2994). If you wish to offer 
comments on the HSIAC NOFA of this SuperNOFA or the SuperNOFA process, 
please complete this form. This form is optional.
    You may not submit appendices or general support letters or 
resumes. If you submit letters of leveraging commitment, they must be 
included in your response to Factor 4. If you submit other 
documentation, it must be included with the pertinent factor responses 
(taking note of the page limit).

VI. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VII. Environmental Requirements

    Selection for award does not constitute approval of any proposed 
sites. Following selection for award, HUD will perform an environmental 
review of activities proposed for assistance under this program, in 
accordance with 24 CFR part 50. The results of the environmental review 
may require that your proposed activities be modified or that your 
proposed sites be rejected. You are particularly cautioned not to 
undertake or commit funds for acquisition or development of proposed 
properties prior to HUD approval of specific properties or areas. Your 
application constitutes an assurance that your institution assist HUD 
to comply with part 50; will supply HUD with all available and relevant 
information to perform an environmental review for each proposed 
property; will carry out mitigating measures required by HUD or select 
alternate property; and will not acquire, rehabilitate, convert, lease, 
repair, or construct property and not commit HUD or expend local funds 
for these program activities with respect to any eligible property 
until HUD approval of the property is required. In supplying HUD with 
environmental information, you should use the same guidance as provided 
in the HUD Handbook entitles ``Field Environmental Review Processing 
for HUD Colonias Initiative Grants'' issued January 27, 1998.

VIII. Authority

    This program was approved by Congress under the section 107 of the 
CDBG appropriation for fiscal year 2000, as part of the FY 2000 HUD 
Appropriations Act. HSIAC is being implemented through this program 
section of the SuperNOFA and the policies governing its operation are 
contained herein.
BILLING CODE 4210-32-P

[[Page 9463]]

APPENDIX A

    The non-standard forms, which follow, are required for your HSIAC 
application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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[GRAPHIC] [TIFF OMITTED] TN24FE00.160


  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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FUNDING AVAILABILITY FOR THE ALASKA NATIVE/NATIVE HAWAIIAN 
INSTITUTIONS ASSISTING COMMUNITIES PROGRAM (AN/NHIAC)

Program Overview

    Purpose of the Program. To assist Alaska Native/Native Hawaiian 
institutions of higher education (AN/NHIs) expand their role and 
effectiveness in addressing community development needs in their 
localities, consistent with the purposes of Title I of the Housing and 
Community Development Act of 1974, as amended.
    Available Funds. Approximately $2 million, to be divided evenly 
between Alaska Native institutions of higher education (ANIs) and 
Native Hawaiian institutions of higher education (NHIs).
    Eligible Applicants: Only nonprofit Alaska Native and Native 
Hawaiian institutions of higher education that meet the definitions of 
Alaska Native and Native Hawaiian institutions of higher education 
established in Title III, Part A, Section 317 of the Higher Education 
Act of 1965, as amended by the Higher Education Amendments of 1998 
(Pub.L. 105-244; enacted October 7, 1998).
    Application Deadline. May 10, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funds under the Alaska 
Native/Native Hawaiian Institutions Assisting Communities (AN/NHIAC) 
Program, please review carefully the General Section of this SuperNOFA 
and the following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application is due on or 
before 12:00 midnight, Eastern time, on May 10, 2000, at HUD 
Headquarters.
    See the General Section of this SuperNOFA for specific procedures 
covering the form of the application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of an original signed application and two copies. Submit your 
completed application to the following address: Processing and Control 
Branch, Office of Community Planning and Development, Department of 
Housing and Urban Development, 451 Seventh Street, SW, Room 7251, 
Washington, DC, 20410. When submitting your application, please refer 
to AN/NHIAC and include your name, mailing address (including zip code) 
and telephone number (including area code).
    For ANIs, HUD will only accept one application per campus. For 
NHIs, HUD will only accept one application per institution. If your 
institution submits more than one application per campus (for ANIs) or 
more than one application per institution (for NHIs), HUD will ask you 
to identify which application you want evaluated. Only one application 
may be evaluated. If you do not respond within the stipulated cure 
period (see Section V of the General Section of this SuperNOFA), all of 
your applications will be disqualified. You should take this policy 
into account and take steps to ensure that multiple applications are 
not submitted.
    For Application Kits. For an application kit and any supplemental 
material, you should call the SuperNOFA Information Center at 1-800-
HUD-8929. If you have a hearing or speech impairment, please call the 
Center's TTY number at 1-800-HUD-2209. When requesting an application 
kit, you should refer to AN/NHIAC Program and provide your name and 
address (including zip code) and telephone number (including area 
code). You may also access the application on the Internet through the 
HUD web site at www.hud.gov.
    For Further Information and Technical Assistance. You may call Jane 
Karadbil of HUD's Office of University Partnerships at 202-708-1537, 
extension 5918. If you have a hearing or speech impairment, you may 
access this number via TTY by calling the Federal Information Relay 
Service toll-free at 1-800-877-8339. You may also write to Ms. Karadbil 
via email at Jane____ R.____[email protected].
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $2 million in FY 2000 funds is being made available 
under this SuperNOFA for AN/NHIAC. Of this amount, $1 million is being 
made available for Alaska Native institutions (ANIs) of higher 
education and $1 million is being made available for Native Hawaiian 
institutions of higher education (NHIs). The performance period of 24 
months will commence on the effective date of the grant agreement. The 
maximum amount which can be requested and awarded to a particular 
Alaska Native institutions of higher education is $333,333. The maximum 
amount which can be requested and awarded for a particular Native 
Hawaiian institution of higher education is $1 million with each 
application composed of no more than three separate projects, each in a 
different neighborhood. Each separate project can be for no more than 
$333,333.
    Since the Statement of Work and other facets of the technical 
review are assessed in the context of the proposed budget and grant 
request, and in the interest of fairness to all applicants, if you are 
an ANI and submit an application requesting more than $333,333 in HUD 
funds, it will be ruled ineligible. If you are an NHI and you submit an 
application for more than $1 million, it will be ruled ineligible. If 
you are an NHI and you submit an application in which you request more 
than $333,333 for any one project, that particular project will be 
ruled ineligible. HUD reserves the right to make awards for less than 
the maximum amount or less than the amount requested in your 
application.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The purpose of AN/NHIAC is to assist AN/
NHIs expand their role and effectiveness in addressing community 
development needs in their localities, including neighborhood 
revitalization, housing, and economic development.
    (1) For the purposes of this program, the term ``locality'' 
includes any city, county, township, parish, village, or other general 
political subdivision of a State within which your AN/NHI is located.
    (2) A ``target area'' is the locality or the area within the 
locality in which your institution will implement its proposed HUD 
grant.
    (B) Eligible Applicants. Only if your institution is a nonprofit 
institution of higher education and meets the statutory definition of 
either an Alaska Native institution of higher education or a Native 
Hawaiian institution of higher education, as contained in Title III, 
Part A, Section 317 of the Higher Education Act of 1965, as amended by 
the Higher Education Amendments of 1998 (Pub. L. 105-244) are you 
eligible to apply. If you are an Alaska Native institution of higher 
education, in order for you to meet this definition, at least 20 
percent of your undergraduate headcount enrollment must be Alaska 
Native students. If you are a Native Hawaiian institution of higher 
education, in order to meet this definition at least 10

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percent of your undergraduate headcount enrollment must be Native 
Hawaiian students. You are not required to be on a list of eligible AN/
NHIs prepared by the U.S. Department of Education. However, if you are 
not, you will be required to certify in the application that you meet 
the statutory definition.
    If you are an ANI and your institution has multiple campuses, each 
one is eligible to apply separately, as long as it meets the above 
enrollment test. You may undertake as many projects and activities as 
you want, as long as you do not exceed the $333,333 cap for an 
application. If you are an NHI, you are permitted to submit only one 
application, no matter how many separate campuses you have, as long as 
your institution meets the above enrollment test. You may undertake up 
to three separate projects, each in a different neighborhood, with each 
project requesting no more than $333,333. In your application you must 
describe how each project is separate and distinct; how your proposed 
activities relate to that project; and that each project will not rely 
on any part of another project for its successful completion. A project 
can include one or more of the eligible activities listed below. For 
example, if you propose a homeownership project, you might rehabilitate 
housing in a neighborhood, demolish some structures to create spaces 
for lawns, and provide a loan pool for purchasers of this housing. All 
these activities could still be viewed as one project. You might also 
undertake a job training program for welfare-to-work families by 
rehabilitating a warehouse and offering the job training there. These 
activities could also be viewed as one project. But if you proposed to 
create a homeownership program and a job training program, these 
activities would be viewed as two separate projects. Your institution 
could undertake both, but they would have to be in two different 
neighborhoods.
    (C) Eligible Activities. (1) General. Each activity you propose for 
funding must meet both a Community Development Block Grant Program 
(CDBG) national objective and the CDBG eligibility requirements. A 
discussion of the national objectives can be found at 24 CFR part 
570.208. There are three national objectives:

(a) Benefit to low- and moderate-income persons;
(b) Aid in the prevention or elimination of slums or blight; or
(c) Meet other community development needs having a particular urgency 
because existing conditions pose a serious and immediate threat to the 
health and welfare of the community, and other financial resources are 
not available to meet such needs.

(You must ensure that of your aggregate grant expenditures under 
paragraphs (a), (b), and (c) above at least 51% are for activities 
benefiting low-and moderate-income persons.)

    You can find the regulations governing activities eligible under 
the CDBG program at 24 CFR part 570, subpart C, particularly 
Secs. 570.201 through 570.206. Ineligible activities are listed at 
Sec. 570.207. The CDBG publication entitled ``Everything You Wanted to 
Know About CDBG'' discusses the regulations. You can obtain a copy from 
the SuperNOFA Information Center. If you propose an activity which 
otherwise is eligible, it may not be funded if State or local law 
requires that it be carried out by a governmental entity.
    In addition, you may not propose the construction or rehabilitation 
of your institution's facilities unless you can demonstrate that such 
activities would meet the purpose of this program to expand the role 
and effectiveness of an AN/NHI in its locality. HUD will scrutinize 
proposed activities for eligibility. As examples of eligible and 
ineligible on-campus activities, rehabilitating a library for use by 
your students would not be an eligible activity, but rehabilitating it 
to convert it to a micro-business enterprise center for the community 
would be; or as another example, just undertaking your normal 
activities (e.g., offering English as a Second Language classes) would 
not be considered eligible activities because they would not expand 
your role and effectiveness in community development activities. You 
should call Jane Karadbil at the above number if you have any questions 
about the eligibility of any activities you may propose. You may also 
look at the Office of University Partnerships website at www.oup.org 
for summaries of last year's winners under the Hispanic-serving 
Institutions Assisting Communities program, a program very similar to 
this one.
    (2) Examples of Eligible Activities. Examples of activities that 
generally can be carried out with these funds, under one of the three 
national objectives, include, but are not limited to:
    (a) Acquisition of real property;
    (b) Clearance and demolition;
    (c) Rehabilitation of residential structures to increase housing 
opportunities for low- and moderate-income persons and rehabilitation 
of commercial or industrial buildings to correct code violations or for 
certain other purposes, e.g., making accessibility and visitability 
modifications to housing;
    (d) Direct homeownership assistance to low- and moderate-income 
persons, as provided in section 105(a)(25) of the Housing and Community 
Development Act of 1974;
    (e) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets;
    (f) Relocation payments and other assistance for temporarily and 
permanently relocated individuals, families, businesses, and non-profit 
organizations where the assistance is (1) required under the provision 
of 24 CFR 570.606(b) or (c); or (2) determined by your institution to 
be appropriate under the provisions of 24 CFR 570.606(d).
    (g) Lead-based paint hazard reduction, pursuant to the CDBG 
regulations;
    (h) Special economic development activities described at 24 CFR 
570.203, including activities designed to promote training and 
employment opportunities;
    (i) Assistance to facilitate economic development by providing 
technical assistance or financial assistance for the establishment, 
stabilization, and expansion of microenterprises, including minority 
enterprises.
    (j) Assistance to community-based development organizations (CBDO) 
to carry out a CDBG neighborhood revitalization, community economic 
development, or energy conservation project, in accordance with 24 CFR 
570.204. This could include activities in support of a HUD approved 
local CDBG Neighborhood Revitalization Strategy (NRS) or HUD approved 
State CDBG Community Revitalization Strategy (CRS);
    (k) Establishment of a Community Development Corporation (CDC) at 
the institution to undertake eligible activities. If you are proposing 
a Community Development Corporation (CDC) component, it may qualify for 
CBDO activities;
    (l) Up to 15 percent of the grant for eligible public services 
activities including:
    (i) Work study programs that meet the program requirements of the 
Hispanic-serving Institutions Work Study program, which can be found at 
24 CFR 570.416;
    (ii) Outreach and other program activities as described in the 
Community Outreach Partnership Centers Program section of the 
SuperNOFA;
    (iii) Educational activities including English as a Second Language 
(ESL)

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classes, adult basic education classes, GED preparation and testing, 
and curriculum development of courses that will lead to a certificate 
or degree in community planning and development;
    (iv) Job and career counseling assessment, training, and other 
activities designed to promote employment opportunities, not related to 
special economic development activities;
    (v) Capacity building for community organizations;
    (vi) Social and medical services for youths, adults, senior 
citizens, and the homeless;
    (vii) Fair housing services designed to further the fair housing 
objectives of the Fair Housing Act (42 U.S.C. 3601-20) by making all 
persons, without regard to race, color, religion, sex, national origin, 
familial status and/or disability aware of the range of housing 
opportunities available to them;
    (viii) Day care services and costs for the children of students 
attending your institution;
    (ix) Continuum of care services for the homeless;
    (x) Public access telecommunications centers including Twenty/20 
Education Communities (formerly known as Campus of Learners) and 
Neighborhood Networks;
    (xi) Activities to use HUD's Partnership for Advancing Technology 
in Housing (PATH) technology;
    (xii) Services to assist low-income students to attend college, as 
part of the U.S. Department of Education's Gaining Awareness and 
Readiness for Undergraduate Program (GEAR UP). (For more information, 
call 1-800-USA-LEARN or visit the U.S. Department of Education's 
website at www.ed.gov).
    (m) Up to 20% of your grant for program administration costs 
related to the planning and execution of community development 
activities assisted in whole or in part with grant funds. Pre-award 
planning costs may not be paid out of grant funds.
    (D) Other Requirements. (1) Leveraging. Although a match is not 
required to qualify for funding, if you claim leveraging from any 
source, including your own institution, you must provide letters or 
other documentation evidencing the extent and firmness of commitments 
of leveraging from other Federal (e.g., Americorps Programs), State, 
local, and/or private sources (including the applicant's own 
resources). These letters or documents must be dated no earlier than 
the date of this published SuperNOFA. Potential sources of leveraging 
assistance include: your own institution (for both direct and indirect 
costs); State and local governments; housing authorities; local or 
national nonprofit organizations; banks and private businesses; 
foundations; and faith-based communities.
    (2) Employment of local area residents (Section 3). Please see 
Section II(E) of the General Section of this SuperNOFA. The 
requirements are applicable to certain activities that may be funded 
under this program section of the SuperNOFA.
    (3) Labor Standards. If you are awarded a grant, you must comply 
with the labor standards as found at 24 CFR 570.603.
    (4) OMB Circulars. Your grant will be governed by the provisions of 
24 CFR part 84 (Grants and Agreements with Institutions of Higher 
Education, Hospitals and other Nonprofit Organizations), A-21 (Cost 
Principles for Education Institutions, and A-133 (Audits of States, 
Local Governments, and Non-Profit Organizations. The application kit 
contains a detailed explanation of what these costs are. You can access 
the OMB circulars at the White House website at http://whitehouse.gov/WH/EOP/OMB/html/circulars.

IV. Application Selection Process

    HUD will conduct two types of review: a threshold review to 
determine applicant eligibility; and a technical review to rate the 
application based on the rating factors in this section.
    (A) Threshold Factors for Funding Consideration. Under this 
threshold review, your application can only be considered for rating 
and ranking if it is in compliance with both the requirements of the 
General Section of the SuperNOFA and the following additional standards 
are met:
    (1) You must be an eligible Alaska Native or Native Hawaiian 
institution of higher education;
    (2) If you are an ANI, you request a Federal grant of $333,333 or 
less over the two-year grant period; or
    (3) If you are an NHI, you request a Federal grant of $1 million or 
less over the two year grant period composed of no more than three 
separate projects, each in a different neighborhood, and each of no 
more than $333,333.
    (4) If you are an ANI, there is only one application from your 
institution or a campus of your institution. If you are an NHI, there 
is only one application from your institution, no matter how many 
campuses there are.
    (5) At least one of the activities in your application is eligible.
    (B) Factors for Award Used to Evaluate and Rate Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are provided below. The maximum number of points for this 
program is 102. This includes two EZ/EC bonus points, as described in 
the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. In rating this factor, HUD will 
consider the extent to which your application demonstrates the 
knowledge and experience of the overall project director and staff, 
including the day-to-day program manager, consultants, and contractors 
in planning and managing the kinds of programs for which funding is 
being requested. If this experience is found within the AN/NHI, you 
will receive higher points on this factor than if you have secured this 
experience from consultants, contractors, and other staff outside your 
institution. In addition, if you demonstrate that the previous 
experience is for the project team from the institution proposed for 
this project, you will receive higher points than if the experiences 
are for people not proposed to work on this project. Experience will be 
judged in terms of recent, relevant, and successful experience of your 
staff to undertake activities in:
    (a) Outreach activities in specific communities to solve or 
ameliorate significant housing and community development issues;
    (b) Undertaking specific successful community development projects 
with community-based organizations; and
    (c) Providing proven leadership in solving community problems which 
have a direct bearing on the proposed activity.

Rating Factor 2: Need/Extent of the Problem (15 points)

    This factor addresses the extent to which there is a need for 
funding the proposed program activities and an indication of the 
importance of meeting the need in the target area. In responding to 
this factor, you will be evaluated on the extent to which you document 
the level of need for the proposed activities and the importance of 
meeting the need.
    You should use statistics and analyses contained in one or more 
data sources that are sound and reliable. To the extent that your 
targeted community's Five (5) Year Consolidated Plan and Analysis of 
Impediments to Fair

[[Page 9474]]

Housing Choice (AI) identify the level of the problem and the urgency 
in meeting the need, you should include references to these documents 
in your response to this factor.
    If your proposed activities are not covered under the scope of the 
Consolidated Plan and AI, you should indicate such, and use other sound 
data sources to identify the level of need and the urgency in meeting 
the need. Types of other sources include Census reports, HUD Continuum 
of Care gaps analysis, law enforcement agency crime reports, Public 
Housing Authorities' Comprehensive Plans, community needs analyses such 
as provided by the United Way, your institution, etc., and other sound 
and reliable sources appropriate for AN/NHIAC. You may also address 
needs in terms of fulfilling court orders or consent decrees, 
settlements, conciliation agreements, and voluntary compliance 
agreements.
    To the extent possible, the data you use should be specific to the 
area where the proposed activities will be carried out. You should 
document needs as they apply to the area where the activities will be 
targeted, rather than the entire locality or State, unless the target 
area is the entire locality or State.

Rating Factor 3: Soundness of Approach (50 points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan, the commitment of your institution to sustain the 
proposed activities, and your actions regarding affirmatively 
furthering fair housing.
    (1) Quality of the Work Plan (35 Points). (a) Work Plan Impact (12 
Points). Specifically, HUD will consider the extent to which your 
proposed activities will:

(i) Expand the role of your institution in its community;
(ii) Alleviate and/or fulfill the needs identified in Factor 2;
(iii) Relate to and not duplicate other activities in the target area.
(iv) Involve and empower the citizens of the target area in all stages 
of the proposed project; and
(v) Be disseminated to a wide variety of audiences, both academic and 
community-based, using a wide variety of media, including print and 
Internet technology.

    (b) Specific Services and/or Activities (13 Points). HUD will 
consider the feasibility of success of your program, the measurable 
objectives, and how timely your products will be delivered. 
Specifically, HUD will examine the extent to which:
    (i) The project you propose can be completed within the two year 
grant period; and
    (ii) The objectives are measurable (e.g., the number of loans made, 
the number of jobs created), result in measurable improvement to the 
community (e.g., fifteen more homeowners, twenty more jobs in a 
specific field), and how well you demonstrate that these objectives 
will be achieved by your proposed management plan and team and will 
result directly from your activities.
    (c) Involvement of the Faculty and Students (5 points). The extent 
to which your application proposes to use the funds that could be spent 
under the public service cap (i.e., 15 percent of the grant) for 
outreach and applied research activities related to the proposed 
activities that involve the students and faculty. HUD's goal is to 
encourage the kinds of activities that are eligible under the COPC 
program to be undertaken, within the public services cap constraint, in 
AN/NHIAC.
    (d) HUD Priorities (5 points). The extent to which your application 
will further and support at least one of the following priorities of 
HUD:
    (1) Promoting healthy homes;
    (2) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare-to-work programs;
    (3) Enhancing ongoing efforts to eliminate drugs and crime from 
neighborhoods through program policy efforts such as ``One Strike and 
You Are Out'' or the ``Officer Next Door'' initiative;
    (4) Providing educational, job training, and homeownership 
opportunities through such initiatives as GEAR UP, Neighborhood 
Networks, Twenty/20 Education Communities, and linking programs to 
Americorps; or
    (5) HUD's Partnership for Advancing Technology in Housing (PATH) 
initiative.
    The Healthy Homes initiative implements a series of initiatives to 
protect children from home hazards such as lead-based paint, radon, 
fires, and accidents around the home.
    The GEAR UP initiative promotes partnerships between colleges and 
middle or junior high schools in low-income communities, to help teach 
students how they can go to college by informing them about college 
options, academic requirements, costs, and financial aid, and by 
providing support services, including tutoring, counseling, and 
mentoring.
    The Neighborhood Networks initiative enhances the self-sufficiency, 
employability, and economic self-reliance of low-income families and 
the elderly living in HUD-insured and HUD-assisted properties by 
providing them with on-site access to computer and training resources.
    The Twenty/20 Education Communities initiative (formerly known as 
Campus of Learners) is designed to transform public housing into safe 
and livable communities where families undertake training in new 
telecommunications and computer technology and partake in educational 
opportunities and job training initiatives.
    The Partnership for Advancing Technology in Housing (PATH) 
initiative is a voluntary public/private partnership that seeks to 
speed the creation and widespread use of advanced technologies in order 
to radically improve the quality, durability, energy efficiency, and 
environmental performance and affordability of housing. For more 
information, you can go to the PATH web site at www.pathnet.org.
    (6) Institutionalization of Project Activities (10 points). The 
extent to which your project will result in the kinds of proposed 
activities being sustained by becoming part of the mission of your 
institution. In reviewing this subfactor, HUD will consider the extent 
to which program activities relate to your institution's mission; are 
part of a climate that rewards faculty work on these kinds of 
activities through promotion and tenure; benefits students because they 
are part of a service learning program at your institution; and are 
reflected in the curriculum. HUD will look at your monetary and non-
monetary commitments to faculty and staff continuing work in the target 
area or other similar areas and to your longer term commitment (five 
years after the start of the grant) of hard dollars to similar work.
    (3) Affirmatively Furthering Fair Housing (5 points). The extent to 
which you propose to undertake activities designed to affirmatively 
further fair housing, for example:
    (a) Working with other entities in the community to overcome 
impediments to fair housing, such as discrimination in the sale or 
rental of housing or in advertising, provision of brokerage services or 
lending:
    (b) Promoting fair housing choice through the expansion of 
homeownership opportunities and improved quality of services for 
minorities, families with children, and persons with disabilities; or
    (c) Providing housing mobility counseling services.

[[Page 9475]]

Rating Factor 4: Leveraging Resources (10 points)

    This factor addresses your ability to secure community resources, 
which can be combined with HUD program funds to achieve program 
objectives.
    In evaluating this factor, HUD will consider the extent to which 
you have established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
activities. Resources may include funding or in-kind contributions, 
such as services or equipment. Resources may be provided by 
governmental entities, public or private nonprofit organizations, for-
profit private organizations, or other entities. You may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area.
    You may count overhead and other institutional costs (e.g., 
salaries) that are waived as leveraging. However, higher points will be 
awarded if you secure leveraging resources from sources outside the 
institution.
    You must provide letters or other documentation showing the extent 
and firmness of commitments of leveraged funds (including your own 
resources) in order for these resources to count in determining points 
under this factor. Any resource for which there is no commitment letter 
will not be counted, nor will the resource be counted without the 
proposed level of commitment being quantified. If your application does 
not include evidence of leveraging, it will receive zero (0) points for 
this Factor.

Rating Factor 5: Comprehensiveness and Coordination (10 points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations, participate or promote 
participation in a community's Consolidated Planning process, and are 
working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community. For 
specific information about your locality's process, contact the local 
or State Community Development Agency or the local HUD field office. If 
you propose to work in a Community Development Block Grant (CDBG) non-
entitlement jurisdiction, you will only need to address and will only 
be rated on subfactors (1) and (3). If that is the case, the points for 
this factor will be evenly divided between these two subfactors.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate that you have:
    (1) (4 points) Coordinated your proposed activities with those of 
other groups or organizations prior to submission in order to best 
complement, support, and coordinate all known activities and, if 
funded, the specific steps you will take to share information on 
solutions with others. Any written agreements, memoranda of 
understanding in place, or that will be in place after award, should be 
described.
    (2) (3 points) Taken or will take specific steps to become active 
in the community's Consolidated Planning process (including the 
Analysis of Impediments to Fair Housing Choice) established to identify 
and address a need/problem that is related to the activities you 
propose.
    (3) (3 points) Taken or will take specific steps to develop 
linkages to coordinate comprehensive solutions through meetings, 
information networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other Federal, State or locally-funded activities, including 
those proposed or ongoing in the community.
    (C) Selections. For ANI applications, each application will be 
reviewed and rated based on these selection criteria. For NHI 
applicants, each project in an application will be reviewed and rated 
separately. If you are an ANI, you must receive a score of at least 70 
points on your application in order to be eligible for funding. If you 
are an NHI, you must receive a score of at least 70 points for a 
project in order for that project to be eligible for funding. HUD will 
fund applications (for ANIs) or projects (for NHIs) in rank order, 
until it has awarded all available funds. HUD will rank and select 
applications from Alaska Native institutions and Native Hawaiian 
institutions separately. If, within either of these two categories, two 
or more applications (for ANIs) or projects (for NHIs) have the same 
number of points, the application (for ANIs) or project (for NHIs) with 
the most points for Factor 3, Soundness of Approach, shall be selected. 
If there is still a tie, the application (for ANIs) or project (for 
NHIs) with the most points for Factor 4, Leveraging, shall be selected. 
If all the funds in one category are not awarded, they cannot be 
transferred to the other category.
    HUD will not fund specific proposed activities that do not meet 
eligibility requirements (see 24 CFR part 570, subpart C), or do not 
meet a national objective in accordance with 24 CFR 570.208.
    After all application selections have been made, HUD may require 
that you participate in negotiations to determine the specific terms of 
the Statement of Work and the grant budget. In cases where HUD cannot 
successfully complete negotiations, or you fail to provide HUD with 
requested information, an award will not be made. In such instances, 
HUD may elect to offer an award to the next highest ranking applicant, 
and proceed with negotiations with that applicant.

V. Application Submission Requirements

    You should include an original and two copies of the items listed 
below. In order to be able to recycle paper, please do not submit 
applications in bound form; binder clips or loose leaf binders are 
acceptable. Also, please do not use colored paper. Please note the page 
limits for some of the items listed below and do not exceed them.
    Your application must contain the items listed in this section. 
These items include the standard forms, certifications, and assurances 
listed in the General Section of the SuperNOFA that are applicable to 
this funding (collectively referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found as Appendix A to this program section of the 
SuperNOFA. The items are as follows:
    (A) SF-424, Application for Federal Assistance.
    (B) HUD-424M, Federal Assistance Funding Matrix.
    (C) Application Checklist.
    (D) Transmittal Letter, signed by the Chief Executive Officer of 
your institution or his or her designee. If a designee signs, your 
application must include the official designation of signatory 
authority. If you are an NHI, this letter should cover your entire 
application, no matter how many projects are proposed.
    (E) Abstract/Executive Summary (one page limit for ANIs and two 
pages for NHIs) describing the goals and activities of the project. If 
you are an NHI, the abstract should cover your entire application, no 
matter how many projects are proposed.
    (F) Budget. The budget presentation should be consistent with the 
Statement of Work and include:
    (1) A budget by activity, using Form HUD-30005 included in the 
application kit and in the program area section of

[[Page 9476]]

the SuperNOFA. This form separates the Federal and non-Federal costs of 
each program activity. Particular attention should be paid to 
accurately estimating costs; determining the necessity for and 
reasonableness of costs; and correctly computing all budget items and 
totals. The budget form is arranged by activities not projects. You 
should complete one budget form for each project that you will 
undertake.
    (2) A narrative statement of how you arrived at your costs, for any 
line item over $5,000. Indirect costs must be substantiated and the 
rate must have been approved by the cognizant Federal agency. If you 
are proposing to undertake rehabilitation of residential, commercial, 
or industrial structures or acquisition, construction, or installation 
of public facilities and improvements, you must submit reasonable costs 
supplied by a qualified entity other than your institution. Guidance 
for securing these estimates can be obtained from the CPD Director in 
your HUD field office or from your local government.
    (3) A statement of compliance with the 20 percent limitation on 
``Planning and Administration'' costs.
    (G) Statement of Work (25 page limit if you are an ANI, this page 
limit covers all proposed activities in your application, if you are an 
NHI, there is 25 page limit per separate project, with each project 
responding to all of the Statement of Work Requirements). The Statement 
of Work incorporates all activities to be funded in your application 
and details how your proposed work will be accomplished. (Please note 
that although submitting pages in excess of the page limit will not 
disqualify your application, HUD will not consider the information on 
any excess pages, which may result in a lower score or failure to meet 
a threshold.) For each proposed activity, your Statement of Work must:
    (1) Arrange the presentation of major related activities (e.g., 
rehabilitation of a child care center, provision of tutoring services), 
summarize each activity, identify the primary persons (as described in 
addressing Rating Factor 1) involved in carrying out the activity and 
accountable for the deliverables, and delineate the major tasks 
involved in carrying it out. You should also describe how each activity 
meets a CDBG national objective.
    (2) Indicate the sequence in which tasks are to be performed, 
noting areas of work that must be performed simultaneously. The 
sequence, duration, and the products to be delivered should be 
presented in six month intervals, up to 24 months.
    (3) Identify the specific numbers of quantifiable intermediate and 
end products and objectives (e.g., the number of houses of be 
rehabilitated, the number of people to be trained, the number of 
minority businesses started, etc.) you aim to deliver by the end of the 
grant period as a result of the work performed.
    (H) Narrative Statement Addressing the Factors for Award (25 page 
limit including tables, and maps, but not including any letters of 
commitment--if you are an ANI, this page limit covers all proposed 
activities in your application; if you are an NHI, there is a 25 page 
limit per separate project, with each project responding to all of the 
Narrative Statement Addressing the Factors for Award Requirements). You 
should number the narrative in accordance with each factor and 
subfactor. Please do not repeat material in the Statement of Work. 
(Please note that although submitting pages in excess of the page limit 
will not disqualify your application, HUD will not consider the 
information on any excess pages, which may result in a lower score or 
failure to meet a threshold.)
    In addressing Factor 4, for each leveraging source, cash or in 
kind, you must submit a letter, dated no earlier than the date of this 
SuperNOFA, from the provider on the provider's letterhead that 
addresses the following:
     The dollar amount or dollar value of the in-kind goods 
and/or services committed. For each leveraging source, the dollar 
amount in the commitment letter must be consistent with the dollar 
amount you indicated in the Budget;
     How the leveraging amount is to be used;
     The date the leveraging amount will be made available and 
a statement that it will be for the duration of the grant period;
     Any terms and conditions affecting the commitment, other 
than receipt of a HUD AN/NHIAC Grant; and
     The signature of the appropriate executive officer 
authorized to commit the funds and/or goods and/or services. (See the 
application kit and the program area section of the SuperNOFA for a 
sample commitment letter.) If you are an NHI, you should separate your 
leveraging sources by project and include the appropriate letters in 
the Narrative Statement for that project.
    (I) Certifications. (1) SF-424B, Assurances for Non-Construction 
Programs.
    (2) HUD-50071, Certification of Payments to Influence Certain 
Federal Transactions;
    (3) SF-LLL, Disclosure of Lobbying Activities (if applicable);
    (4) HUD-2880, Applicant/Recipient Disclosure/Update Form;
    (5) HUD-50070, Certification of Drug-Free Workplace;
    (6) HUD-2992, Certification Regarding Debarment and Suspension;
    (7) HUD-2991, Certification of Consistency with the Consolidated 
Plan; and
    (8) HUD-2990, Certification of Consistency with the EZ/EC Strategic 
Plan (if applicable);
    (J) Acknowledgement of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (K) Client Comments and Suggestion Form (HUD-2994). If you wish to 
offer comments on the AN/NHIAC NOFA of this SuperNOFA or the SuperNOFA 
process, please complete this form. This form is optional.
    You may not submit appendices or general support letters or 
resumes. If you submit letters of leveraging commitment, they must be 
included in your response to Factor 4. If you submit other 
documentation, it must be included with the pertinent factor responses 
(taking note of the page limit).

VI. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VII. Environmental Requirements

    Selection for award does not constitute approval of any proposed 
sites. Following selection for award, HUD will perform an environmental 
review of activities proposed for assistance under this program, in 
accordance with 24 CFR part 50. The results of the environmental review 
may require that your proposed activities be modified or that your 
proposed sites be rejected. You are particularly cautioned not to 
undertake or commit funds for acquisition or development of proposed 
properties prior to HUD approval of specific properties or areas. Your 
application constitutes an assurance that your institution assist HUD 
to comply with part 50; will supply HUD with all available and relevant 
information to perform an environmental review for each proposed 
property; will carry out mitigating measures required by HUD or select 
alternate property; and will not acquire, rehabilitate, convert, lease, 
repair, or construct property and not commit HUD or expend local funds 
for these program activities with respect to any eligible property 
until HUD approval of the property is required. In supplying HUD

[[Page 9477]]

with environmental information, you should use the same guidance as 
provided in the HUD Handbook entitles ``Field Environmental Review 
Processing for HUD Colonias Initiative Grants'' issued January 27, 
1998.

VIII. Authority

    This program was approved by Congress under the section 107 of the 
CDBG appropriation for fiscal year 2000, as part of the FY 2000 HUD 
Appropriations Act. AN/NHIAC is being implemented through this program 
section of the SuperNOFA and the policies governing its operation are 
contained herein.
BILLING CODE 4210-32-P

[[Page 9478]]

APPENDIX A

    The non-standard forms, which follow, are required for your AN/
NHIAC application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9487]]



FUNDING AVAILABILITY FOR THE FAIR HOUSING INITIATIVES PROGRAM 
(FHIP)

Program Overview

    Purpose of the Program. To increase compliance with the Fair 
Housing Act (the FHAct) and with substantially equivalent State and 
local fair housing laws.
    Available Funds. Approximately $18,000,000 is allocated as follows:

A. Private Enforcement Initiative (PEI) $9,700,000.
B. Education and Outreach Initiative (EOI) $6,500,000.
C. Fair Housing Organizations Initiative (FHOI) $1,800,000.
    Eligible Applicants. Eligible applicants are described in detail 
under each of the funded Initiatives/Components set forth below. 
Depending upon the Initiative/Component, applicants may include:
    Qualified Fair Housing Organizations (QFHOs); Fair Housing 
Organizations (FHOs); public or private non-profit organizations or 
institutions and other public or private entities that are working to 
prevent or eliminate discriminatory housing practices; State and local 
governments; and Fair Housing Assistance Program (FHAP) agencies (as 
defined in Section IV(A)(16) of this program section).
    Application Deadline. May 16, 2000.
    Match: None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. You must submit completed applications for 
all Initiatives/Components on or before 12:00 midnight, Eastern time, 
on May 16, 2000, at HUD Headquarters, at the address shown below.
    See the General Section of this SuperNOFA for specific procedures 
governing the method of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your original application 
consists of an original signed application and five copies. Submit your 
completed application (one original and five copies) to: FHIP SuperNOFA 
2000 [Specify the Initiative/Component to which you apply], FHIP/FHAP 
Support Division, Fair Housing and Equal Opportunity, U.S. Department 
of Housing and Urban Development, 451 Seventh Street, SW, Room 5224, 
Washington, DC 20410.
    When you submit your application, please provide the following 
information on the front of the mailing envelope: your organization's 
name, name of contact person, mailing address (including zip code), 
telephone number (including area code), and fax number.
    For Application Kits. For an application kit and supplemental 
information, please call the HUD SuperNOFA Information Clearinghouse at 
1-800-HUD-8929. If you have a hearing or speech impairment, you may 
call the Center's TTY at 1-800-HUD-2209. When requesting an application 
kit, please refer to FHIP SuperNOFA 2000, and provide your name, 
address (including zip code), and telephone number (including area 
code). Application kits also will be available on the Internet at: 
http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Lauretta A. Dixon, Director, FHIP-FHAP Support Division, Office of 
Programs at 202-708-0800 (which is not a toll-free number). Persons 
with hearing or speech impairments may contact the FHIP-FHAP Division 
by calling 1-800-290-1617 (this is a toll free number).
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at the web 
address listed above.

II. Amount Allocated

    In Fiscal Year 2000, $24,000,000 was appropriated for the Fair 
Housing Initiatives Program. Approximately $18,000,000 is being made 
available on a competitive basis to eligible organizations responding 
to this SuperNOFA. The remaining approximately $6,000,000 has been 
designated for the National Housing Discrimination Audit 2000.
    The amount available for each Initiative/Component and the award 
cap (the maximum amount of funds that can be awarded for each grant) 
are allocated as follows:
    (A) Private Enforcement Initiative (PEI). Approximately $9,700,000 
is allocated as follows:
    (1) General Component (GC). $7,950,000; award cap: $300,000 for 
single projects, $600,000 for partnership projects; project duration 
24-36 months.
    (2) Fair Housing Partnership Component (FHPC). $1,750,000; award 
cap: $150,000 for local/community based projects and $250,000 for State 
and Regional based projects; project duration 24 months.
    (B) Education and Outreach Initiative (EOI). Approximately 
$6,500,000 is allocated for 18-24 month projects as follows:
    (1) Regional/Local/Community-Based Program. Approximately 
$4,500,000 is allocated for 18-24 month projects.
    (a) General Component (GC). $2,000,000; award cap: $300,000; 
project duration 24 months.
    (b) Disability Component (DC). $750,000; award cap: $150,000; 
project duration 18 months.
    (c) Fair Housing Partnership Component (FHPC). $1,750,000; award 
cap: $150,000 for Local/Community based projects; $250,000 for State/
Regional based projects; project duration 24 months.
    (2) National Program. Approximately $2,000,000 is allocated for 24 
month projects.
    (a) Model Codes Partnership Component (MCPC). A single award of 
$1,000,000.
    (b) Community Tensions Component (CT). A single award of 
$1,000,000.
    (C) Fair Housing Organizations Initiative (FHOI). Approximately, 
$1,800,000 is allocated for the following Components:
    (1) Establishing New Organizations Component (ENOC). $1,200,000; 
award cap: $400,000; project duration 24-36 months.
    (2) Continued Development Component (CDC). $600,000; award cap: 
$200,000; project duration 24 months. Under this Component, your award 
may not exceed 50 percent of your organization's annual operating 
budget, as defined in Section IV(A)(16) in this program section of the 
SuperNOFA.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The Fair Housing Initiatives Program 
(FHIP) assists projects and activities that increase compliance with 
the Fair Housing Act and substantially equivalent State and local fair 
housing laws. In June of 1997, the President launched his ``One America 
for the 21st Century'' initiative and made fighting discrimination and 
racial and ethnic violence an Administration priority. The President 
directed HUD to increase its enforcement actions. The activities funded 
under this SuperNOFA are expected to contribute to this increase.
    Immigrant populations (especially ethnic minorities who are not 
English speaking) are increasingly responsible for new household 
formations in the United States, and they often face

[[Page 9488]]

formidable barriers because of discriminatory housing practices. 
Congress recognized that where we live, perhaps more than any other 
factor, shapes our life prospects and who we become as individuals. It 
is especially important that fair housing efforts be directed to the 
education and enforcement needs of these immigrant populations and the 
specific types of discrimination they may encounter. Points will be 
awarded to applications under the General Components of EOI and PEI 
that devote all or a portion of their activities and budget to address 
the fair housing needs of these immigrant populations and other 
underserved populations. Applicants under the Community Tensions 
Component of the EOI-National Program and the Fair Housing Partnership 
Components of EOI and PEI will not be eligible unless they devote at 
least sixty (60) percent of their activities and budget to the fair 
housing needs of immigrant (especially ethnic minorities who are not 
English speaking) and other undeserved populations.
    (B) New Program Focus--Fair Housing Partnerships. HUD has long 
recognized the importance of private fair housing groups partnering 
with Fair Housing Assistance Program (FHAP) agencies to vigorously 
enforce the Fair Housing Act and substantially equivalent state and 
local fair housing laws. HUD has set aside $7 Million to promote 
collaborative enforcement efforts between these two groups. The funds 
are equally divided between FHAP and FHIP, i.e., $3.5 million to each 
program. The $3.5 million FHIP set-aside is evenly allocated 
($1,750,000) to the Fair Housing Partnership Components of the Private 
Enforcement and Education and Outreach Initiatives. As indicated by 
these program requirement highlights, HUD is determined to remove any 
obstacles which might discourage these joint enforcement efforts. The 
program highlights are:
    (1) Project Emphasis. The project(s) must focus on the enforcement 
and education needs of immigrant (especially ethnic minorities who are 
not English speaking) and other underserved populations.
    (2) Eligibility. You are eligible only if you partner with an 
eligible FHAP agency. The list of eligible FHAP agencies may be 
obtained from your Hub Office and will be posted on the HUD web at 
``www.hud.gov.''
    (3) FHAP Agencies. FHAP agencies wishing to participate in this 
partnership must do so under the Fair Housing Assistance Program, not 
under the EOI-Fair Housing Partnership Component of this SuperNOFA.
    FHAP agencies, however, may apply for funding of non-partnership 
activities under all other EOI Components. Your application is 
ineligible unless you devote at least sixty (60) percent of your 
activities and budget to the fair housing needs of immigrant 
(especially ethnic minorities who are not English speaking) and other 
underserved populations, as defined in Section IV(A)(16) in this 
program section of the SuperNOFA.
    (4) How To Apply. You must respond to Rating Factor 3: Soundness of 
Approach, outlining your activities and the funds you are requesting 
for your partnership participation; and provide, as an attachment to 
Rating Factor 3, the total budget and a description of the overall 
partnership, including the duties and responsibilities of each partner.
    (5) Interdependent Applications. This is a collaborative effort 
between FHIPs and FHAPs. Your eligible FHAP partner will not be funded 
unless your application is selected. Furthermore, if two members of the 
partnership submit applications under the Fair Housing Partnership 
Components of EOI and PEI both applications must be rated of sufficient 
quality for funding and their overall ranking will be based on the 
average of their combined scores (see discussion in Section V), i.e., 
the applications are interdependent.
    (6) Project Duration and Award Caps. These are 24 months projects. 
The award caps for each partner are from $150,000 to $250,000 depending 
on whether the project focus is local/community-based, or state/
regional. Thus, a regional project which, in addition to the FHAP, has 
two partnering FHIP organizations, one which has applied under EOI-FHPC 
and the other under PEI-FHPC, could qualify for a maximum of $750,000 
for the project, i.e., $250,000 to each partner.
    (7) Exemptions. HUD has added these Components to those exempted 
from the single award and funding/geographic diversity provisions.
    (8) Single Award Limitation. Generally, applicants are limited to a 
single award; by adding the Fair Housing Partnership Components to the 
excepted category, you may receive up to three awards (see discussion 
in Section IV (A)(3) of this program section of the SuperNOFA).
    (9) Funding and/or Geographic Diversity Provisions. Under these 
provisions the Selecting Official, within limited circumstances, may 
select applications out of rank order. These provisions will not apply 
to selections under the Fair Housing Partnership Components, i.e., 
applications will be selected in rank order only.
    (C) Private Enforcement Initiative (PEI). (1) Initiative 
Description. This Initiative assists private fair housing enforcement 
organizations in the investigation and enforcement of alleged 
violations of the Fair Housing Act and substantially equivalent State 
and local fair housing laws. Your activities under this Initiative are 
expected to contribute to increasing the number of HUD's enforcement 
actions.
    (a) Eligible Applicants. Eligible applicants are FHOs with at least 
one year of experience in complaint intake, complaint investigation, 
testing for fair housing violations, and meritorious claims (see, 24 
CFR 125.401, (b)); and QFHOs (see, 24 CFR 125.103).
    (b) Eligible Activities include:
    (i) Complaint intake of allegations of housing discrimination, 
testing, evaluating testing results, or providing other investigative 
and complaint support for administrative and judicial enforcement of 
fair housing laws;
    (ii) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (iii) Mediation or other voluntary resolution of allegations of 
fair housing discrimination after a complaint has been filed; and
    (iv) Costs and expenses of litigating fair housing cases, including 
expert witness fees.
    (2) PEI-General Component (PEI-GC). Component Description. This 
Component supports investigation and enforcement activities which 
determine compliance with accessibility requirements; discover and 
remedy discrimination in the public and private real estate markets; 
propose and undertake activities to detect and remedy more subtle and 
sophisticated forms of discriminatory practices; and reduce steering 
and other practices perpetuating segregation.
    (a) Eligible Applicants. Eligible applicants are QFHOs and FHOs as 
described in Section III(C)(1)(a) above. You are not eligible if you 
are currently receiving PEI-General Component funding awarded to you 
under a previous NOFA, and, your grant agreement expires after June 30, 
2001. However, you may apply for funding under any other FHIP 
Initiative/Component.
    Your application will be considered either as a single or 
partnership project (see, Section IV(C)(1) of this program section for 
more details). If you are submitting a partnership application, all

[[Page 9489]]

members of your partnership must meet the eligibility requirements of 
this Component, and a separate Statement of Eligibility for each must 
be included in your application as an attachment to Rating Factor 1: 
Capacity of Applicant and Relevant Organizational Experience. A letter 
of firm commitment must be included stating that the partner(s) agrees 
to the proposed Statement of Work and will participate in the project, 
if selected for award. If you fail to include this letter of firm 
commitment with your application, but you have stipulated the 
activities and tasks to be undertaken by each partner in your Statement 
of Work, the failure to provide the letter will be treated as a 
technical deficiency corrected as noted in Section V of the General 
Section of this SuperNOFA.
    (b) Eligible Activities. Eligible activities are described in 
Section III(C)(1)(b) above. Points will be awarded in Factor 3: 
Soundness of Approach, based upon the percentage of your activities and 
your budget devoted to the fair housing enforcement needs of immigrant 
(especially ethnic minorities who are not English speaking) and other 
underserved populations (as defined in Section IV(A)(16) of this 
program section of the SuperNOFA).
    (3) Fair Housing Partnership Component (PEI-FHPC). Component 
Description. This Component promotes collaborative fair housing 
enforcement projects that propose strategic planning between public 
fair housing enforcement agencies eligible under the Fair Housing 
Assistance Program (FHAP) and organizations eligible under this 
Initiative. The strategic plan will draw upon the resources, strengths, 
and expertise of the FHIP and FHAP partners to promote more effective 
fair housing enforcement. Funded activities will address all protected 
classes and include all covered real estate practices.
    (a) Eligible Applicants. Eligible applicants are QFHOs and FHOs as 
described in Section III(C)(1)(a) above that propose collaborative 
strategic fair housing enforcement plans with an eligible FHAP 
agency(ies). You should contact your local Hub Office to identify 
eligible FHAP agencies with which you may partner. A list of Hub 
Offices is provided in the FHIP Appendix B at the end of the Program 
Section of this SuperNOFA, and the list of eligible FHAP agencies will 
be posted on the HUD web at ``www.hud.gov.'' A letter of firm 
commitment must be included stating that the partner(s) agrees to the 
proposed Statement of Work and will participate in the project, if 
selected for award. If you fail to include this letter of firm 
commitment with your application but your Statement of Work identifies 
the activities and tasks to be conducted by each partner, then your 
failure to provide the letter will be considered a technical deficiency 
and may be corrected as noted in Section V of the General Section of 
this SuperNOFA.
    (b) Eligible Activities. Eligible activities are the same as 
described in Section III(C)(1)(b) above. Your application is ineligible 
unless you devote at least sixty (60) percent of your activities and 
budget to the fair housing of needs of immigrant (especially ethnic 
minorities who are not English speaking) and other underserved 
populations (as defined in Section IV(A)(16) in this program section). 
Points will be awarded in Rating Factor 3: Soundness of Approach based 
upon the percentage of your activities and your budget devoted to these 
immigrant and other underserved populations.
    (c) Funding Outreach Activities. If you are partnering with an 
organization which requests funding for EOI activities under the EOI-
FHPC, your budget, and the budget of any other partner(s) carrying out 
activities under this Component, may designate no requested funds for 
education and outreach to promote awareness of the partnership. The 
partner requesting funds under the EOI-FHPC will conduct all education 
and outreach activities on behalf of the partnership. However, if you 
are not partnering with an organization which requests funding for EOI 
activities under the EOI-FHPC, your budget may designate up to 20 
percent of requested funds for education and outreach to promote 
awareness of the partnership.
    (D) Education and Outreach Initiative (EOI). (1) Initiative 
Description. This Initiative assists projects that inform and educate 
the public about their rights and obligations under the Fair Housing 
Act and substantially equivalent State and local fair housing laws. One 
of the tasks you are required to complete is the development of a 
complaint referral process so that activities funded under all 
Components of this Initiative will result in an increased number of 
referrals to HUD of credible, legitimate fair housing claims and other 
information regarding discriminatory practices.
    (a) Eligible Applicants. Eligible applicants are QFHOs; FHOs; 
public and private non-profit organizations or institutions and other 
public or private entities that are formulating or carrying out 
programs to prevent or eliminate discriminatory housing practices; 
State or local governments; and FHAP agencies. If you are a traditional 
civil rights organization, you are encouraged to apply under this 
Initiative. The reference to ``entities that are formulating programs 
to prevent or eliminate discriminatory housing practices'' means 
entities which will be established to carry out programs to prevent or 
eliminate discriminatory housing practices as a result of receiving a 
FHIP award.
    (b) Eligible Activities. Unless otherwise noted, the following 
activities are eligible for all Components under this Initiative: 
conducting educational symposia; distributing existing fair housing 
materials throughout your project area; providing outreach and 
information on fair housing through printed and electronic media; and 
providing outreach to persons with disabilities and/or their support 
organizations and service housing providers, and the general public 
regarding the rights of persons with disabilities under the Fair 
Housing Act. If you are submitting an application under the Regional/
Local/Community-Based Program, you must use existing, locally available 
materials, i.e., you may not develop new fair housing materials except 
as a supplement to existing materials and/or in languages other than 
English or Braille.
    (2) Regional/Local/Community-Based Program. General Component (EOI-
GC). Component Description. This Component supports education and 
outreach activities designed to inform the public about their rights 
and obligations under the Fair Housing Act and substantially equivalent 
State and local fair housing laws.
    (a) Eligible Applicants. Eligible applicants are the same as 
described in Section III(D)(1)(a), above.
    (b) Eligible Activities. Eligible activities are the same as 
described in Section III(D)(1)(b), above. Also eligible under this 
Component are activities that seek to reduce racial and other housing 
segregation or are intended to improve racial/ethnic minorities' access 
to and retention of homeownership by addressing multiple barriers to 
fair housing choice, e.g., mortgage lending discrimination and/or 
abusive and predatory mortgage lending practices, which may result in 
the ultimate loss of homes for racial/ethnic minorities. Points will be 
awarded in Rating Factor 3: Soundness of Approach based upon the 
percentage of your activities and your budget devoted to immigrant 
(especially ethnic minorities who are not English speaking) and other 
underserved populations.
    (3) Disability Component (EOI-DC). Component Description. This 
Component supports education and

[[Page 9490]]

outreach activities designed to address the fair housing needs of 
persons with disabilities so that they, housing providers, and the 
public better understand the rights and obligations under the Fair 
Housing Act and more fully appreciate the forms of housing 
discrimination which persons with disabilities may encounter.
    (a) Eligible Applicants. Eligible applicants are the same as 
described in Section III(D)(1)(a), above.
    (b) Eligible Activities. Eligible activities are the same as 
described in Section III(D)(1)(b), above.
    (4) Fair Housing Partnership Component (EOI-FHPC). Component 
Description. This Component promotes collaborative education and 
outreach projects of strategic planning between public fair housing 
enforcement agencies (eligible for funding under the Fair Housing 
Assistance Program (FHAP)) and organizations eligible under this 
Initiative. Therefore, your strategic plan should draw upon the 
resources, strengths, and expertise of the FHIP and FHAP partners to 
promote more effective fair housing education and outreach. Funded 
activities will address all protected classes and include all covered 
real estate practices.
    (a) Eligible Applicants. Eligible applicants are those listed in 
Section III(D)(1)(a), above, except for FHAP agencies, which are not 
eligible for funding under this component. An applicant under this 
component must propose collaborative strategic fair housing education 
and outreach plans with an eligible FHAP agency(ies). The funding for 
FHAP agencies wishing to participate in this partnership is under the 
Fair Housing Assistance Program rather than FHIP.
    You should contact your local Hub Office to identify eligible FHAP 
agencies with which you may partner. A list of Hub Offices is provided 
in the FHIP Appendix B at the end of this program section of this 
SuperNOFA and the list of eligible FHAP agencies will appear on the HUD 
web at ``www.hud.gov.'' A letter of firm commitment must be included 
stating that each partner(s) agrees to the proposed Statement of Work 
and will participate in the project, if selected for award. If you fail 
to include this letter of firm commitment with your application but 
your Statement of Work identifies the activities and tasks to be 
conducted by each partner, then your failure to provide this letter 
will be considered a technically deficiency and may be corrected as 
noted in Section V of the General Section of this SuperNOFA.
    (b) Eligible Activities. Eligible activities are the same as 
described in Section III(D)(1)(b), above. Your application will be 
ineligible unless you devote at least sixty (60) percent of your 
activities and budget to immigrant (especially ethnic minorities who 
are not English speaking) and other underserved populations (as defined 
in Section IV(A)(16) of this program section).
    (c) Funding Outreach Activities. If your partnership also includes 
a QFHO or an FHO that is requesting funding under the PEI-FHPC, your 
organization is required to conduct all education and outreach 
activities to promote the partnership. Funds requested by your PEI-FHPC 
partner will be used as described in Section III(C)(3)(c), above.
    (5) National Program. Model Codes Partnership Component (EOI-MCPC). 
Component Description. This Component promotes collaborative activities 
involving disability rights advocacy groups, housing industry 
organizations, and other agencies and institutions capable of 
facilitating and encouraging adoption of building codes at the State 
and local levels that are consistent with the accessibility 
requirements of the Fair Housing Act, its implementing regulations, and 
the Fair Housing Accessibility Guidelines.
    (a) Eligible Applicants. Eligible applicants are the same as 
described in Section III(D)(1)(a) above, with demonstrated technical 
expertise in the design and construction requirements of the Fair 
Housing Amendments Act of 1988, the applicable implementing 
regulations, the Fair Housing Accessibility Guidelines, the ANSI A117.1 
technical standards, and State and local building codes. You may 
establish your ``demonstrated technical expertise'' in many ways; for 
example, you have taken a course/attended a seminar on the 
accessibility provisions of the Fair Housing Act and have applied that 
training to your work as, for example, a building inspector, architect, 
housing provider, or developer in a jurisdiction with a building code 
that incorporates these provisions, or your work experience has made 
you knowledgeable about design and construction requirements of the 
Fair Housing Act/Accessibility Guidelines, the ANSI A117.1 technical 
standards, and State and local building codes. Course(s) descriptions, 
specific examples of work experiences and years of experience must be 
highlighted when establishing technical expertise. Only applications 
filed by a minimum of two entities, at least one of which is a 
disability rights advocacy group or organization, will be considered, 
and the roles of each partner must be clearly delineated. Your 
application must identify additional sub-recipients and consultants/
contractors who will work on this project. A letter of firm commitment 
must be included stating that the partner(s) agrees to the proposed 
Statement of Work and will participate in the project, if selected for 
award. If you fail to include this letter of firm commitment with your 
application but your Statement of Work identifies the activities and 
tasks to be conducted by each partner, then your failure to provide the 
letter will be considered a technical deficiency and may be corrected 
as noted in Section V of the General Section of this SuperNOFA.
    (b) Eligible Activities. (i) Where State and local governmental 
entities have adopted one of the four model building codes reviewed by 
the HUD Model Codes Working Group (Working Group), your application 
should describe how you will:

-- Assist those State and local governmental entities in modifying 
their building codes by adopting language to make the building codes 
consistent with the accessibility requirements of the Fair Housing Act; 
and
--Educate State and local building code officials on the requirements;

(ii) Where State and local governmental entities with building codes 
have not adopted one of the model building codes, your application 
should describe how your activities will:

-- Review those building codes for consistency with the accessibility 
requirements of the Fair Housing Act, its Amendments, the Act's 
implementing regulations, and the Fair Housing Accessibility 
Guidelines;
--Work with State and local building code organizations, members of the 
building industry, advocacy organizations, fair housing organizations 
and other experts on accessibility laws, codes and standards to make 
the building codes consistent with the Fair Housing Act's accessibility 
requirements;
--Assist in adopting the modified building codes; and
--Educate State and local building code officials on the requirements;

    (iii) Where communities do not have building codes, your 
application must show how you will:

--Develop and implement a strategy for ensuring that the building 
industry is made aware of and understands the Fair Housing Act's 
accessibility requirements;

[[Page 9491]]

--Develop a list of ``Best Practices'' for ensuring that the building 
industry is made aware of and understands the Fair Housing Act's 
accessibility requirements; and
--Review State and local governmental building codes that are modified 
to make them consistent with the Fair Housing Act's accessibility 
requirements to ensure that the modifications are consistent with the 
Fair Housing Act, the Act's implementing regulations and the Fair 
Housing Accessibility Guidelines.

    (6) Community Tensions Component (EOI-CT). Component Description. 
This Component will assist a 24-month project that proposes to prevent 
the emergence of community tensions that may occur when persons 
protected under the Fair Housing Act, exercise their right to equal 
housing opportunity and move into communities where persons similarly 
protected under the Act have not previously lived or have been 
underrepresented; and intervene when community tensions emerge and 
create volatile situations which harm, or threaten to harm, those 
exercising their rights to equal housing opportunities.
    (a) Eligible Applicants. Eligible applicants are the same as 
described in Section III(D)(1)(a), above.
    (b) Eligible Activities. Eligible Activities are the same as 
described in Section III(D)(1)(b), above. You must develop more than 
one plan which communities can use to prevent and resolve community 
tensions when protected classes exercise their fair housing choices. 
HUD expects your plans will vary depending upon the size and the 
cultural, racial and ethnic diversity of communities.
    (E) Fair Housing Organizations Initiative (FHOI). (1) Initiative 
Description. This Initiative assists in creating new fair housing 
enforcement organizations and in building the enforcement capacity of 
existing fair housing organizations.
    (2) Establishing New Organizations Component (FHOI-ENOC). Component 
Description. The objective of this Component is to establish new fair 
housing enforcement organizations in underserved areas (as defined in 
Section IV(A)(16) of this program section).
    (a) Eligible Applicants. Only QFHOs are eligible to apply under 
this Component.
    (b) Eligible Activities. You must propose to establish a new fair 
housing organization in an underserved area. HUD has identified two 
groups whose fair housing needs have been underserved--persons who 
reside in rural areas (as defined in Section IV(A)(16)) and immigrant 
groups that are non-English speaking--and has targeted for funding 
priority applications which address the needs of those two groups. HUD 
hopes to establish three new organizations and, pursuant to this 
priority determination, two of the three awards will go to applicants 
addressing the needs of these groups (i.e., one rural; and one non-
English speaking immigrant group). You must provide proof that the 
project area is underserved. In addition, you must submit data and 
studies that indicate the presence of housing discrimination, 
segregation and/or other indices of discrimination in the project area 
based upon race, color, religion, sex, national origin, familial status 
or disability.
    (3) Continued Development Component (FHOI-CDC). Component 
Description. This Component provides support to build the enforcement 
capacity of newly established fair housing enforcement organizations 
created under past FHOI-ENOC awards.
    (a) Eligible Applicants. QFHOs and FHOs created as new 
organizations under the FHOI-ENOC with grant agreements that expire by 
June 30, 2001 or before. A list of all organizations created under ENOC 
is provided in the FHIP Appendix A at the end of this program section 
of this SuperNOFA; you must list the expiration date of your ENOC grant 
agreement.
    (b) Eligible Activities. Your proposed activities must build your 
enforcement capacity by undertaking all or some of the following 
activities:
    (i) Complaint intake of allegations of housing discrimination; 
testing, evaluating testing results or providing other investigative 
and complaint support for administrative and judicial enforcement of 
fair housing laws;
    (ii) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (iii) Mediation or other voluntary resolution of allegations of 
fair housing discrimination after a complaint has been filed; and
    (iv) Costs and expenses of litigating fair housing cases, including 
expert witness fees.

IV. Program Requirements

    (A) Requirements For All Initiatives/Components. In addition to the 
requirements listed in Section II of the General Section of this 
SuperNOFA, you must also meet the following requirements:
    (1) Performance Measures and Products. Your application must 
demonstrate how your project activities will support HUD goals, 
identify performance measures/outcomes in support of those goals, and 
identify current (baseline) conditions and target level of the 
performance measure that you plan to achieve. Your application also 
must contain a strategy for achieving project products, with related 
timelines and milestones. If selected for funding for one or more 
Components, your final performance measures and products will be 
negotiated between you and HUD as part of your executed grant 
agreement.
    (2) Reports and Meetings on Performance Measures and Products. In 
your final grant report, you must describe the status of performance 
measures in a spreadsheet format or other manner specified by the 
Department. You are required to report quarterly on the status of 
project products against your approved milestones and timelines and 
meet at least semi-annually with HUD to ensure that project activities 
satisfy grant requirements.
    (3) Single Award Limitation/Preference Must Be Stated. (a) Except 
as provided in paragraph (b) of this section, you may apply for funding 
under all Components for which you are an eligible applicant, but you 
may receive only one award. If you apply for funding under more than 
one Component, you must clearly state your priority for selection and 
indicate your preference in the Transmittal Letter and on the Cover 
Page of your application. If you are selected for funding in more than 
one Component, the selecting official may honor your preference if it 
is in the best interest of the program. Failure to submit your 
preference at the time of application, will be treated as a technical 
deficiency, which may be corrected as noted in Section V of the General 
Section of this SuperNOFA.
    (b) The requirements of paragraph (a) of this section do not apply 
to the Components listed in this paragraph. You may receive up to 3 
awards, i.e., in addition to the single award for which you are 
eligible under paragraph (a) of this section, if you are an eligible 
applicant for the following Components, you may also apply for, and are 
eligible to receive an FHOI-Establishing New Organizations Component 
(ENOC) award, and/or either one EOI-National Program award or one Fair 
Housing Partnership award.
    (4) Independence of Awards. Although there is no limitation on the 
number of applications that you may submit, applications must be 
independent and capable of being implemented without reliance on the 
selection of other applications

[[Page 9492]]

submitted by you or other applicants. This requirement does not apply 
to the Fair Housing Partnership Components of EOI and PEI which are 
interdependent, and it does not preclude you from submitting an 
application that includes other organizations as sub-recipients.
    (5) Project Starting Period. For planning purposes, assume a start 
date no later than September 30, 2000.
    (6) Page Limitation. The narrative response for each of the five 
rating factors for award is limited to ten pages per factor (this does 
not include forms or documents that are required under each factor). 
The pages should be numbered consecutively. Narrative pages exceeding 
the ten page limit will not be evaluated. Furthermore, unrequested 
items, such as brochures and news articles, will not be considered. You 
should respond fully to each factor. Failure to provide narrative 
responses to all factors will result in your application not receiving 
points for the information omitted, which may significantly affect your 
application score.
    (7) Training. Your proposed budget must include a training set-
aside of $3,000 for 18-month projects and $6,000 for 24-36 month 
projects. HUD will permit recipients to use these funds to attend both 
HUD-sponsored and HUD-approved training.
    (8) Payment Contingent on Completion. Payments, including multi-
year award increments, are contingent on the satisfactory completion of 
your project activities and products as called for in your grant or 
cooperative agreement.
    (9) Accessibility Requirements. All activities and materials funded 
by this Program must be accessible to persons with disabilities (24 CFR 
8.4, 8.6, and 8.54).
    (10) Copyright Materials. You may copyright any work that is 
eligible for copyright protection; however, HUD reserves the right to 
reproduce, publish, or otherwise use your work for Federal purposes, 
and to authorize others to do so as outlined in 24 CFR 84.36.
    (11) Complaints Against Awardees. To assure high quality 
performance of all grants or cooperative agreements resulting from 
awards made under this NOFA, HUD is implementing a process to consider 
complaints from the public regarding FHIP-funded activities. If after 
notice and consideration of relevant information, HUD concludes that 
there has been inappropriate conduct, such as a violation of FHIP 
program requirements, grant, or cooperative agreement terms or 
conditions or any other applicable statute, regulation or other 
requirement, HUD will take appropriate action in accordance with 24 CFR 
84.62. Such action may include: written reprimand; consideration of 
past performance in ranking future FHIP applications; reimbursement of 
funding it has received under the grant; or temporary or permanent 
denial of participation in the FHIP program in accordance with 24 CFR 
part 24.
    (12) Avoiding Double Payments. If you are awarded funds under this 
SuperNOFA, you (and any sub-recipient) may not charge or claim credit 
for the activities performed under this project to any other Federal 
project.
    (13) Requirements for All Partnerships. If you are submitting a 
partnership application, you must meet the following requirements:
    (a) You must clearly designate the organization submitting the 
application as the single organization with responsibility for 
administering the grant and overseeing project activities.
    (b) All members of your partnership, including sub-recipient 
organizations, must be identified in your application with the duties 
and responsibilities fully described for each.
    (c) A letter of firm commitment must be submitted as discussed in 
paragraph 14(d). below.
    (14) Ineligible Applications. For applications under all 
Initiatives/Components:
    (a) General Section Requirements and Procedures. If you fail to 
meet the requirements set forth in Section II of the General Section of 
this SuperNOFA, your application will be deemed technically deficient 
and correctable as noted in Section V of the General Section of this 
SuperNOFA.
    (b) Award Caps. If you request funding in excess of the maximum 
allowed under the Component for which you are applying, your 
application will be ineligible.
    (c) Research Activities. Projects aimed solely at research which do 
not result in the increase of enforcement actions, including but not 
limited to surveys and questionnaires, are not eligible for funding.

For Applications That Propose Partnership Activities (Fair Housing 
Partnership Components of EOI and PEI, Model Codes Partnership 
Component of EOI-National Program, Partnership Projects of the PEI 
General Component)

    (d) All Partnership Components. You must include in your 
partnership application a letter of firm commitment from all project 
partners, stating that the partner(s) agrees to the proposed Statement 
of Work and will participate in the project, if selected for award. The 
letter of firm commitment must be signed by an official of each 
partnering organization who is authorized to make commitments on behalf 
of his/her organization. If you fail to submit this documentation with 
your application, but you have stipulated the activities and tasks to 
be undertaken by each partner in your Statement of Work, the failure to 
provide the letter will be treated as a technical deficiency corrected 
as noted in Section V of the General Section of this SuperNOFA.
    (e) Model Codes Partnership Component. You are eligible only if you 
are or partner with a disability rights advocacy group or organization. 
If you fail to meet these requirements, your application will be 
ineligible.
    For applications submitted under PEI and FHOI:
    (f) Non-Profit Status. If you are applying under the PEI and FHOI 
Initiatives, you must submit documentation with your application that 
you are a section 501(c)(3) tax-exempt organization as determined by 
the Internal Revenue Service. Failure to submit this documentation with 
your application will be treated as a technical deficiency, which may 
be corrected as noted in Section V of the General Section of this 
SuperNOFA.
    For applications submitted under PEI-General Component:
    (g) Current Recipient of Funds. You are not eligible under this 
component if you are currently receiving PEI-General Component funding 
awarded to you under a previous NOFA, and your grant agreement expires 
after June 30, 2001.
    For applications submitted under FHOI-CDC:
    (h) Newly Established Fair Housing Enforcement Organizations. You 
are not eligible under this Component if you are a QFHO or FHO created 
as a new organization under the FHOI-ENOC and your grant agreement 
expires after June 30, 2001.
    For applications submitted under the community tensions component 
of the EOI-National Program and the Fair Housing Partnership Components 
of EOI and PEI:
    (i) You are ineligible unless you devote at least sixty (60) 
percent of your activities and budget to the fair housing needs of 
immigrant (especially ethnic minorities who are not English speaking) 
and other underserved populations.
    (15) Ineligible Activities. (a) Fair Housing and Free Speech. None 
of the amounts made available under this SuperNOFA may be used to 
investigate or prosecute under the Fair Housing Act any otherwise 
lawful activity engaged in

[[Page 9493]]

by one or more persons, including the filing or maintaining of a non-
frivolous legal action, that is engaged in solely for the purpose of 
achieving or preventing action by a government official or entity, or a 
court of competent jurisdiction.
    (b) Suits Against the United States. No recipient of assistance 
under this program may use any funds provided by HUD for the payment of 
expenses in connection with litigation against the United States (24 
CFR 125.104(f)).
    (c) Litigation Funds. No recipient of assistance under this program 
may use any funds provided by HUD for purposes of settling claims, 
satisfying judgments or fulfilling court orders in any litigation 
action involving either the Department or housing providers funded by 
the Department.
    (16) Program Definitions. The definitions that apply to this FHIP 
section of the SuperNOFA are as follows:
    Broad-based projects are not limited to a single fair housing 
issue, instead they cover multiple issues related to housing 
discrimination covered under the Fair Housing Act, such as: rental, 
sales and financing of housing.
    Enforcement actions includes charges issued under the Fair Housing 
Act, settlements with relief equivalent to, or greater than, what HUD 
would seek had a charge been issued; settlements with relief for a 
broad class of victims; referrals to the Department of Justice (DOJ), 
where it has legal authority to take further action: zoning and land 
use cases (42 U.S.C. 3614(b)); pattern and practice cases (42 U.S.C. 
3614(a)); requests for prompt judicial action; (42 U.S.C. 3610(e)); and 
allegations of criminal violations of the Fair Housing Act (42 U.S.C. 
3631).
    Enforcement proposals are potential complaints under the Fair 
Housing Act that are timely, jurisdictional, and well developed, which 
could reasonably be expected to become enforcement actions if an 
impartial investigation finds evidence supporting the allegations and 
the cases proceeded to a resolution with HUD involvement.
    Fair Housing Assistance Program (FHAP) Agencies means State and 
local agencies that administer laws substantially equivalent to the 
Fair Housing Act, as described in 24 CFR part 115.
    Fair Housing Enforcement Organization (FHO) means an organization 
engaged in fair housing activities as defined in 24 CFR 125.103.
    Full service projects must include more than one type of the 
following enforcement related activities in your project application: 
interviewing potential victims of discrimination; analyzing housing-
related issues; in-taking complaints; testing; evaluating testing 
results; conducting preliminary investigations; conducting mediation; 
enforcing meritorious claims through litigation or referral to 
administrative enforcement agencies; and disseminating information 
about fair housing laws.
    Meritorious Claims means enforcement activities by an organization 
as defined in 24 CFR 125.103.
    Operating Budget means your organization's total planned budget 
expenditures from all sources, including the value of in-kind and 
monetary contributions, in the period for which funding is requested.
    Qualified Fair Housing Enforcement Organization (QFHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    Regional/Local/Community-Based Activities are defined at 24 CFR 
125.301.
    Rural Areas (as defined by other HUD programs, e.g., the Rural 
Housing and Economic Development Program of Community Planning and 
Development (CPD)) may be defined in one of five ways:
    (i) A place having fewer than 2,500 inhabitants (within or outside 
of metropolitan areas).
    (ii) A county with no urban population (i.e., city) or 20,000 
inhabitants or more. Territory, persons and housing units in the rural 
portions of ``extended cities.''
    (iii) The U.S. census bureau identifies the rural portions of 
extended cities in the United States.
    (iv) Open country which is not part of or associated with an urban 
area. The United States Department of Agriculture (USDA) determines 
what constitutes ``open country.''
    (v) Any place with a population not in excess of 20,000 and is not 
located in a Metropolitan Statistical Area.
    Traditional Civil Rights Organizations means non-profit 
organizations or institutions and/or private entities with a history 
and primary mission of securing Federal civil rights protection for 
groups and individuals protected under the Fair Housing Act and 
substantially equivalent State or local laws and which are engaged in 
programs to prevent or eliminate discriminatory housing practices.
    Underserved areas means jurisdictions where no public or private 
fair housing enforcement organizations exist or which are not 
sufficiently served by one or more public or private enforcement fair 
housing organizations, and contain large concentrations of persons 
protected under the Fair Housing Act.
    Underserved populations means individuals who fall within one or 
more of the categories protected under the Fair Housing Act who are 
also: (1) Of a immigrant population (especially ethnic minorities who 
are not English speaking), (2) in rural populations, (3) among the 
homeless, and (4) among persons with disabilities that can be 
historically documented to have been subject to discriminatory 
practices not having been the focus of Federal, State or local fair 
housing enforcement efforts.
    (B) Requirements For Private Enforcement Initiative and Fair 
Housing Organizations Initiative.
    (1) Broad-Based and Full Service Projects. If you are applying 
under either of these Initiatives, your activities must be broad-based 
and full service enforcement projects, as defined above, that address 
discrimination against persons protected by the Fair Housing Act. 
Furthermore, your activities must contribute in measurable ways to 
HUD's commitment to increase its enforcement actions.
    (2) Mandatory Referrals. You are required to refer to HUD all cases 
arising from FHIP-funded enforcement activities. In all FHIP-funded 
cases where you find a basis for filing a complaint on behalf of a bona 
fide complainant other than your organization, you must file the 
complaint with HUD unless the complainant refuses, in writing, to do 
so. In addition to filing with HUD, a bona fide complainant may file in 
Federal or State Court.
    (3) Outreach Expenses. For all Components of PEI and FHOI except 
for PEI-FHPC (see, Section III(C)(3)(c)), your budget may designate up 
to 10 percent of requested funds for education and outreach to promote 
awareness of services available, if the education activities are 
necessary for the successful implementation of your project.
    (4) Tester Requirements. Testers in your FHIP-funded testing 
activities must not have prior felony convictions or convictions of 
crimes involving fraud or perjury. All testers must receive training 
acceptable to HUD or be experienced in testing procedures and 
techniques. Testers and the organizations conducting tests, and the 
employees and agents of these organizations may not:
    (a) Have an economic interest in the outcome of the test; however, 
testers retain their right to recover damages as provided by law;
    (b) Be a relative related by adoption, blood, or marriage of any 
party in a case;

[[Page 9494]]

    (c) Have had any employment or other affiliation, within the past 
year with the person or organization to be tested; or
    (d) Be a licensed competitor of the person or organization to be 
tested in the listing, rental, sale, or financing of real estate.
    (5) Testing Experience. When proposing testing other than rental or 
accessibility testing, you must document, to HUD's satisfaction, that 
at minimum you have conducted successful rental testing. Documentation 
of your experience must include, a general description of: when and 
where tests occurred, the entities tested, and the overall results of 
the tests, including complaints filed and settlements or remedies 
secured. The description and the required documentation should be 
included as part of your response to Rating Factor 1: Capacity of the 
Applicant and Relevant Organizational Staff. You must include copies of 
testing methodologies and training materials used. The testing 
methodology and procedures will remain confidential for enforcement 
purposes.
    (6) Review and Approval of Testing Methodology. If your Statement 
of Work proposes testing, other than rental testing, HUD reserves the 
right to require as a product to be reviewed and approved by HUD prior 
to your carrying out the testing activities:
    (a) The testing methodology to be used, and
    (b) The training to be provided to testers. Your testing 
methodology and procedures will remain confidential for enforcement 
purposes.
    (7) Conflict of Interest and Use of Settlement Funds 
Certifications.
    (a) You must certify that you will not solicit funds from or seek 
to provide fair housing educational or other services or products for 
compensation either directly or indirectly to any person or 
organization that has been the subject of FHIP-funded testing by you 
during the 12 month period following the test. This does not preclude 
settlement based on investigative findings. HUD reserves the right to 
negotiate with awardees additional provisions addressing potential 
conflicts of interest.
    (b) When you receive funds as the result of enforcement activities 
funded in whole or in part by the FHIP program, including testing, you 
shall reimburse the United States for the FHIP-funded activities. To 
accomplish this, you shall reimburse the United States for the FHIP-
funded activities in accordance with procedures set forth in your grant 
or cooperative agreement.
    (8) Reports. You must provide reports in a format (which may be 
computer generated), at a frequency and with contents specified by HUD. 
Your report must include: the number and basis of claims/complaints 
filed with HUD or in Federal/State court and the number and terms of 
settlements or other outcomes achieved. You do not have to produce the 
terms of settlements ordered by a court or other tribunal to be kept 
confidential.
    (9) Enforcement Log. You are required to record information about 
the funded project in a case tracking log (or Fair Housing Enforcement 
Log) to be supplied by HUD. Such information must include: the number 
of complaints of possible discrimination you have received; the 
protected basis of these complaints; the issue, test type, and number 
of tests utilized in the investigation of each allegation; the 
respondent type and testing results; the time for case processing, 
including administrative or judicial proceedings; the cost of testing 
activities and case processing; to whom the case was referred; and the 
resolution and type of relief sought and received. You must agree to 
make this log available to HUD. This log will be considered 
confidential for enforcement purposes.
    (10) Information Requirements. Your application must include a 
description of the enforcement proposals to be referred to HUD to 
increase enforcement actions. Therefore, you must state what 
information you intend to collect and analyze, the type of complaints 
you anticipate referring to HUD for enforcement purposes, and a method 
for referring such complaints. Your application should explain how you 
plan to structure tests, train investigators, conduct investigations, 
etc. This description should make clear the safeguards to be used to 
ensure that complaints referred to HUD for enforcement action are fully 
jurisdictional under the Act and supported by credible and legitimate 
evidence that the Act has been violated. All this information should be 
provided in response to Factor 3: Soundness of Approach.
    (C) Additional Requirements For Private Enforcement Initiative.
    (1) PEI-General. If you apply for this Component as a single or 
partnership project, the amount awarded will vary as noted in Section 
II, Amount Allocated, in this program section of the SuperNOFA. A 
higher award cap may be requested for partnership projects. In addition 
to meeting the requirements for all partnerships (see Section 
IV(A)(13)):
    (a) All partners must meet the eligibility requirements of this 
Initiative (see Section III(C)(1)(a) and (b)), and submit separate 
Statements of Eligibility with this application as an attachment to 
Rating Factor 1: Capacity of Applicant and Relevant and Organizational 
Experience, and
    (b) Your Statement of Eligibility must make clear you are 
submitting a PEI-GC partnership application.
    (D) Additional Requirements for Education and Outreach Initiative 
National Program and Regional/Local/Community-Based Program.
    (1) All projects must address housing discrimination based on race, 
color, religion, sex, disability, familial status, or national origin.
    (2) Your application must contain a description of how your 
activities or your final products can be used by other agencies and 
organizations. If modifications are necessary for use by others, 
describe the modifications.
    (3) You must describe in Factor 3: Soundness of Approach, your 
referral process for filing complaints with HUD. HUD expects this 
complaint referral process will result in an increased number of 
referrals to HUD of credible, legitimate fair housing claims and other 
information regarding discriminatory practices.
    (E) Additional Requirements For Fair Housing Organizations 
Initiative: Establishing New Organizations Component ENOC. As discussed 
in Section III(E)(2)(b), HUD has targeted certain jurisdictions for 
funding priority. You must propose to establish a new fair housing 
enforcement organization in an underserved area. Even if you are 
proposing to create an organization in one of these funding priority 
areas, you must provide proof that the project area is underserved. In 
addition, you must submit data and studies that indicate the presence 
of housing discrimination, segregation and/or other indices of 
discrimination in the project area based upon race, color, religion, 
sex, national origin, familial status or disability.
    (F) Additional Requirements for Fair Housing Partnerships 
Initiatives.
    (1) The project(s) must focus on the enforcement and education 
needs of immigrant (especially ethnic minorities who are not English 
speaking) and other underserved populations.
    (2) You are eligible only if you partner with an eligible FHAP 
agency. The list of eligible FHAP agencies may be obtained from your 
Hub Office and will be posted on the HUD web at ``www.hud.gov.'' FHAP 
agencies wishing to participate in this partnership must do so under 
the Fair Housing Assistance Program, not under the EOI-Fair Housing 
Partnership Component of this SuperNOFA, however, they may apply for 
funding of

[[Page 9495]]

non-partnership activities under all other EOI Components.
    (3) Your application is ineligible unless you devote at least sixty 
(60) percent of your activities and budget to the fair housing needs of 
immigrant (especially ethnic minorities who are not English speaking) 
and other underserved populations, as defined in Section IV(A)(16).
    (4) You must respond to Rating Factor 3: Soundness of Approach, 
outlining your activities and the funds you are requesting for your 
partnership participation, and provide, as an attachment to Rating 
Factor 3, the total budget and a description of the overall 
partnership, including the duties and responsibilities of each partner.
    (5) This is a collaborative effort between FHIPs and FHAPs. Your 
eligible FHAP partner will not be funded unless your application is 
selected. Furthermore, if two members of the partnership submit 
applications under the Fair Housing Partnership Components of EOI and 
PEI, both applications must be rated at or above the cutoff point and 
then their overall ranking will be based on the average of their 
combined scores (see discussion in Section V), i.e., the applications 
are interdependent.
    (6) These are 24 months projects. The award caps for each partner 
are from $150,000 to $250,000 depending on whether the project focus is 
local/community-based, or state/regional. Thus, a regional project 
which, in addition to the FHAP, has two partnering FHIP organizations, 
one which has applied under EOI-FHPC and the other under PEI-FHPC, 
could qualify for a maximum of $750,000 for the project, i.e., $250,000 
to each partner.
    (7) HUD has added these Components to those exempted from the 
single award and funding/geographic diversity provisions.
    (a) Single award limitation. Generally, applicants are limited to a 
single award; by adding the Fair Housing Partnership Components to the 
excepted category, you may receive up to three awards (see discussion 
in Section IV(A)(3)).
    (b) Funding and/or geographic diversity provisions. Under these 
provisions the Selecting Official, under limited circumstances, may 
select applications out of rank order. These provisions will not apply 
to selections under the Fair Housing Partnership Components, i.e., 
applications will be selected in rank order only.

V. Application Selection Process

    (A) Rating and Ranking. Your application for funding will be 
evaluated competitively against all other applications submitted under 
one of the following Components:

(1) Private Enforcement Initiative (PEI):
    (a) General Component
    (b) Fair Housing Partnership Component
(2) Education and Outreach Initiative (EOI):
    (a) Regional/Local/Community-Based Program:
    (i) General Component
    (ii) Disability Component
    (iii) Fair Housing Partnership Component
    (b) National Program:
    (i) Model Codes Partnership Component
    (ii) Community Tensions Component
(3) Fair Housing Organizations Initiative (FHOI):
    (a) Establishing New Organizations Component
    (b) Continued Development Component
    You will be awarded points and assigned a score based on the 
Factors for Award. After eligible applications are evaluated against 
the Factors for Award and assigned a score, they will be ranked in 
order by score. A minimum score of sixty 60 points will be considered a 
cutoff point and an application with a score of 60 points or more will 
be considered of sufficient quality. An application receiving less than 
sixty (60) points will be considered of insufficient quality for 
funding.
    (B) Ranking of Fair Housing Partnership Component Applications. 
When applications have been submitted under the Fair Housing 
Partnership Components of both PEI and EOI, each application will be 
rated separately, but because both the applications are interdependent, 
the ranking will be as follows:
    (1) Both applications must be rated at or above the cutoff point; 
and then
    (2) The ranking will be based upon the combined average score of 
the two applications. For example, if the PEI-FHPC receives a rating of 
61 points and the EOI-FHPC receives a rating of 73 points the 
partnership ranking will be 67 points (61 + 73 = 134 divided by 2 = 
67); if the PEI-FHPC receives a rating of 89 points and the EOI-FHPC 
receives a rating of 59, the Partnership will not be eligible for award 
since both applications are not at or above the cutoff point of 60 
points.
    (3) Tie Breaking. When there is a tie in the overall score, the 
applicant with the higher score under Rating Factor 3: Soundness of 
Approach will be ranked higher. If the applicants receive the same 
scores for Rating Factor 3, the applicant with a higher score under 
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience will be ranked higher. If these scores are identical, then 
the applicant with the request for lower FHIP funding will be ranked 
higher.
    (C) Selections. (1) General. Except as noted in paragraph (2) 
Achieving Diversity of Awards, below, proposals of sufficient quality 
to be funded will be funded in rank order until all available funds 
have been obligated or until no applications of sufficient quality 
remain. The diversity provisions described below do not apply to the 
Fair Housing Partnership Components of PEI and EOI.
    (2) Achieving Diversity of Awards. The selecting official shall 
have discretion to skip over applicants in funding a Component in 
accordance with the funding diversity or geographic diversity procedure 
or both procedures. If the selecting official decides to use any of 
these procedures, the selecting official shall apply that procedure 
equally to all applications of sufficient quality. If the selecting 
official opts to use both procedures, he/she will use the funding 
diversity procedure first, and then apply the geographic diversity 
procedure. These procedures are applied Component-by-Component. No 
shifting of remaining funds from a Component will occur until all 
applications of sufficient quality in that Component are awarded funds.
    (a) Funding Diversity. The selecting official may skip over 
applicants to provide broader representation among funded entities. For 
any Component in which the selecting official decides to use this 
procedure, the selecting official will skip over applicants who have 
received two FHIP SuperNOFA grants in the past five years in favor of 
lower ranked applications of sufficient quality to be funded who have 
not received two FHIP SuperNOFA grants in the past five years. Prior 
receipt of an ENOC award will not be included in determining whether an 
applicant received two grants in the past five years. Skipped over 
applications of sufficient quality will be placed at the bottom of the 
ranking list of applications of sufficient quality for the Component, 
but will be placed in rank order among skipped over applications. Once 
applications of sufficient quality to be funded are reordered to 
reflect the funding diversity procedure, the selecting official shall 
proceed in one of two ways:
    (i) The selecting official may apply the geographic diversity 
procedure to all applications of sufficient quality, or

[[Page 9496]]

    (ii) The selecting official may not apply geographic diversity and 
award funds to applicants based on their rank order except that skipped 
over applications are funded in rank order after all other applications 
of sufficient quality are funded, until funds are exhausted or there 
are no more applications of sufficient quality to be funded.
    (b) Geographic Diversity. To provide for broader geographic 
representation among funded projects, the selecting official will have 
the discretion to skip over an application where there is more than one 
application located in the same State. If the selecting official 
decides to use this procedure in a Component, he/she will select from 
the applications of sufficient quality to be funded, the highest ranked 
application. Skipped over applications of sufficient quality will go to 
the bottom of the ranking list of applications of sufficient quality to 
be funded for the Component, but will be placed in rank order among 
skipped over applications, whether skipped over for funding or 
geographic diversity. If additional funds remain in the Component after 
funding the highest ranked application in each of the jurisdictions 
listed above, the selecting official shall proceed in one of two ways:
    (i) The selecting official may decide to apply geographic diversity 
to the skipped over applications, to the extent that additional funds 
remain. If, after applying geographic diversity a second time, 
additional funds still remain, the remaining funds will be awarded 
based on the rank order of any remaining applications of sufficient 
quality to be funded, irrespective of jurisdiction.
    (ii) If the selecting official opts not to apply geographic 
diversity a second time, then remaining funds shall be awarded to 
skipped over applications based on their rank order until funds are 
exhausted.
    (D) Priority for Shifting Remaining Funds. If after all 
applications of sufficient quality have been selected in an Initiative/
Component, and funds remain available, the selecting official or 
designee will have the discretion to shift these remaining funds in 
rank order within and between Initiatives/Components as follows:
    (1) First, within Initiatives:
    (a) For PEI and EOI, funds remaining from any Component will be 
shifted to the General Component;
    (b) For FHOI, funds remaining from ENOC will be shifted to CDC.
    (2) Second, between Initiatives: if after shifting funds, as noted 
above, funds remain, such funds will be shifted to the PEI-Multi-Year 
General Component.
    (E) Factors for Award Used to Evaluate and Rate All Applications 
except the National Program of the Education and Outreach Initiative. 
The factors for rating and ranking applicants and the maximum points 
for each factor are provided below. The maximum number of points to be 
awarded any application is 102, which includes two EZ/EC bonus points, 
as described in the General Section of the SuperNOFA.

Rating Factor 1: Capacity of Applicant and Relevant Organizational 
Experience (20 Points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement your 
proposed activities in a timely manner. Unless otherwise specified, the 
rating of your organization and staff for technical merit or threshold 
compliance will include all partners and/or sub-recipients identified 
in your application. In rating this factor HUD will consider the extent 
to which your application demonstrates:
    (1) (10 points) Specific Description of Staff for Proposed 
Activities.
    (a) The experience and background of your proposed project director 
and staff, including the day-to-day program manager, Board of 
Directors, consultants and contractors, and their knowledge and 
experience in planning and managing projects for which you are 
requesting funding. If your past activities have resulted in successful 
enforcement proposals being referred to HUD, clearly describe these 
actions and the outcome of such referrals.
    (b) Your readiness and ability to begin your proposed work project 
immediately with sufficient personnel and/or whether you will be able 
to recruit quickly, qualified experts or professionals to deliver the 
proposed activities in a timely and effective fashion. To demonstrate 
there is or will be sufficient personnel, you must submit the proposed 
number of staff years for the employees and experts you plan to assign 
to the projects for which you are requesting funding, the titles and 
relevant professional background and experience, and the roles each is 
to perform. You must identify the key personnel in your Statement of 
Work, as discussed in Rating Factor 3: Soundness of Approach.
    (c) The diversity of your organization and staff and what they 
bring to the project in terms of race, ethnicity, and disability should 
also be discussed.
    (2) (10 points for either (a) or (b)) Specific Description of 
Experience Relevant to the Proposed Activities.
    (a) If you have received HUD funding in the past, the Department 
will consider your past grant experience in terms of your ability to 
attain demonstrated measurable progress in the implementation of your 
most recent activities where performance has been assessed as measured 
by expenditures and progress in meeting project milestones and in the 
achievements accomplished. HUD will also consider any evidence it has 
in its files of your failure to comply with grant award provisions; or
    (b) If you have not received HUD funding in the past, the 
Department will review any documentation of your experience in managing 
projects and carrying out management responsibilities for projects 
similar in scope or nature to the work activities proposed and the 
achievements to be accomplished. Therefore, if you have managed large, 
complex, interdisciplinary projects, or work similar in scope or 
complexity to your proposed project, you must include that information 
in your response.

Rating Factor 2: Need/Distress/Extent of the Problem (25 Points)

    This factor addresses the extent to which there is a need to fund 
your proposed activities and an indication for the urgency of meeting 
the need in your project area. In rating this factor, HUD will consider 
the extent to which you demonstrate:
    (15 points) Documentation of Need. The level of need for the 
proposed activities in your project area, including, where appropriate, 
the needs of immigrant and other underserved populations, and the 
urgency in meeting the need as indicated by statistics and analyses 
contained in a data source(s) that are sound and reliable.
    You should analyze and document the level of need in the specific 
area where your proposed activities will be carried out. Attention must 
be paid to documenting need where activities will be targeted, rather 
than the entire locality, State, or region. However, if your project 
area is an entire locality, State, or region, then documenting need at 
that level is required. Your application may reference the extent to 
which your community's Consolidated Plan (CP) and Analysis of 
Impediments to Fair Housing Choice (AI), which is a Component of the 
CP, identify the level of the problem and urgency of need. In addition, 
your application should document the extent to which project activities 
will affirmatively further fair housing (AFFH), by describing how 
proposed activities will lead to overcoming impediments to fair housing

[[Page 9497]]

choice identified in the jurisdiction's AI, which is a Component of the 
jurisdiction's CP, or other planning document that addresses fair 
housing issues.
    Additional examples of how you may document need may be obtained 
from Chapter 5 of the ``Fair Housing Planning Guide, Vol. 1,'' which 
also includes use of HUD reports and analyses, relevant economic and/or 
demographic data including indices of segregation in areas by race or 
national origin, government or foundation reports and studies, news 
articles, and other information that relate to your proposed 
activities. The Fair Housing Planning Guide may be found on the HUD web 
at ``www.hud.gov.''
    (2) (10 points) Description of Proposed Activities and Methods. HUD 
will determine your rating based on the extent to which your activities 
are linked to the need(s) described. The extent to which your 
application provides a basis for how you determined the activities and 
tasks that you propose to undertake to address the needs you have 
identified in your response to paragraph 1 in this factor. How your 
activities will augment or improve upon on-going efforts by government 
agencies, community-based organizations, faith-based institutions, for-
profit firms, and other entities to address such needs in the 
community(ies) to be served and why additional funds are being 
requested.

Rating Factor 3: Soundness of Approach (35 Points)

    This factor addresses the strategy, quality, and cost-effectiveness 
of your project as set forth in your Statement of Work (SOW) and 
budget. Your rating for this factor is based upon how clearly you 
establish a relationship between your proposed activities, community 
needs and the purpose of the project funding. HUD has pledged to 
substantially increase its enforcement actions, and all projects funded 
under this SuperNOFA shall contribute to the accomplishment of this 
goal. Your application must provide a basis for your specific 
activities relating to enforcement proposal referrals to HUD that are 
described in your Statement of Work. Your final performance measures 
for enforcement proposal referrals will be negotiated between you and 
HUD as part of the executed grant or cooperative agreement.
    Points will be awarded differently under paragraph (1) Proposed 
Activities, for applications submitted under the General Components of 
PEI and EOI than for those submitted under all other components (EOI-
Disability, and Fair Housing Partnership Components; PEI-Fair Housing 
Partnership Component; and FHOI-Establishing New Organizations and 
Continued Development Components).
    For all Components, except the General Components of PEI and EOI, 
your application will be rated as follows for paragraph (1) of this 
Rating Factor:
    (1) (15 points) Description of Activities. Specifically, your 
description should explain how the activities performed during the 
period of performance of the grant will result in cases being referred 
to HUD. Your application must provide a basis for your specific 
activities relating to enforcement proposal referrals to HUD that are 
described in your Statement of Work. Your final performance measures 
for enforcement proposal referrals will be negotiated between you and 
HUD as part of the executed grant or cooperative agreement. In 
responding to this factor, describe the methods used or to be developed 
to identify and refer enforcement proposals to HUD.
    Examples of enforcement proposals include:
    (i) Evidence of violations of the Fair Housing Act, including prima 
facie evidence, with or without related testing evidence that may 
result in the filing of complaints;
    (ii) Results of testing or audits demonstrating potential housing 
discrimination;
    (iii) Well-developed analysis of data including Home Mortgage 
Disclosure Act (HMDA), and/or Community Reinvestment Act (CRA) 
analyses, Census data, current studies of residential segregation, or 
other similar documentation supporting allegations of discrimination; 
and
    (iv) Referrals of claims to HUD on behalf of individuals or groups 
other than your organization.
    For the General Components of PEI and EOI, your application will be 
rated as follows for paragraph (1) of this Rating Factor:
    (1) Description of Activities (15 Points).
    (a) (10 points) Description of Proposed Activities. Specifically, 
your description should explain how the activities performed during the 
period of performance of the grant will result in cases being referred 
to HUD. Your application must provide a basis for your specific 
activities relating to enforcement proposal referrals to HUD that are 
described in your Statement of Work. Your final performance measures 
for enforcement proposal referrals will be negotiated between you and 
HUD as part of the executed grant or cooperative agreement. In 
responding to this factor, describe the methods used or to be developed 
to identify and refer enforcement proposals to HUD. Examples of 
enforcement proposals include:
    (i) Evidence of violations of the Fair Housing Act, including prima 
facie evidence, with or without related testing evidence that may 
result in the filing of complaints;
    (ii) Results of testing or audits demonstrating potential housing 
discrimination;
    (iii) Well-developed analysis of data including Home Mortgage 
Disclosure Act (HMDA), and/or Community Reinvestment Act (CRA) 
analyses, Census data, current studies of residential segregation, or 
other similar documentation supporting allegations of discrimination; 
and
    (iv) Referrals of claims to HUD on behalf of individuals or groups 
other than your organization.
    (b) (5 points) Percent of Activities/Budget devoted to the fair 
housing needs of immigrant and other underserved populations. The 
points will be awarded as follows:
    (i) 0 points: when no percentage of your activities and budget are 
devoted to the needs of these populations;
    (ii) 1 point: when 20% of your activities and budget are devoted to 
the needs of these populations;
    (iii) 2 points: when 50% of your activities and budget are devoted 
to the needs of these populations;
    (iv) 3 points: when 60% of your activities and budget are devoted 
to the needs of these populations;
    (v) 4 points: when 80% of your activities and budget are devoted to 
the needs of these populations; and
    (v) 5 points: when 100% of your activities and budget are devoted 
to the needs of these populations.
    For all Components, including the General Components of PEI and 
EOI, the remaining paragraphs (2 and 3) of this Rating Factor and all 
other Rating Factors are evaluated as follows:
    (2) (10 points) Statement of Work. Submit a proposed Statement of 
Work that:
    (a) Describes in broad terms the design and objectives of your 
project, including the geographic area to be served; individuals 
protected under the Fair Housing Act to be served; end product(s); 
program improvements to be achieved; total number of staff needed to 
complete all proposed activities and key personnel by years of 
experience, name and function. You must also describe how project 
objectives of the component for which you are seeking funding will be 
met [e.g., enforcement efforts (PEI); education and outreach

[[Page 9498]]

(EOI); creating or building the capacity of a fair housing enforcement 
organization (FHOI)]; and
    (b) Outline in chronological order your administrative and program 
activities and tasks to be performed and the duration of the project. 
Your outline should identify all activities and tasks to be performed 
and by whom, i.e., you or a sub-recipient or contractor/consultant; 
products that will be provided to HUD and when; and technically 
competent methodologies you will use to carry out these activities and 
tasks.
    (3) (10 points) Budget and Financial Controls. HUD also will assess 
the soundness of your approach by evaluating the following:
    (a) The quality, thoroughness and reasonableness of the cost 
estimates provided. As part of your response, you should provide a 
summary budget that identifies costs by category in accordance with the 
following:
    (i) Direct Labor by position or individual, indicating the 
estimated hours per position, the rate per hour, estimated cost per 
staff position and the total estimated direct labor costs;
    (ii) Fringe Benefits by staff position, identifying the rate, the 
salary base the rate was computed on, estimated cost per position, and 
the total estimated fringe benefit cost;
    (iii) Material Costs indicating the item, unit cost per item, the 
number of items to be purchased, estimated cost per item, and the total 
estimated material costs;
    (iv) Transportation Costs, as applicable. Where use of a local 
private vehicle is proposed, costs should indicate the proposed number 
of miles, rate per mile of travel identified by item, and estimated 
total private vehicle costs. Where air transportation is proposed, 
costs should identify the destination(s), number of trips per 
destination, estimated air fare and total estimated air transportation 
costs. If other transportation costs are listed, you should identify 
the other method of transportation selected, the number of trips to be 
made and destination(s), the estimated cost, and the total estimated 
costs for any other transportation costs;
    (v) Per diem, as applicable. You should identify per diem or 
subsistence costs per travel day and the number of travel days, the 
estimated costs for per diem/subsistence and the total estimated 
transportation costs. You should use the Federal Travel Regulation for 
per diem rate for cities listed under ``Transportation Costs'' in your 
cost estimate;
    (vi) Equipment charges, if any. Equipment charges should identify 
the type of equipment, quantity, unit costs and total estimated 
equipment costs;
    (vii) Consultant Costs, if applicable. Indicate the type, estimated 
number of consultant days, rate per day, total estimated consultant 
costs per consultant and total estimated costs for all consultants;
    (viii) Subcontract Costs, if applicable. Indicate each proposed 
individual subcontract and amount. Each proposed subcontract should 
include a separate budget that identifies proposed costs by cost 
categories. In addition, your project budget should include any costs 
related to subcontract(s) with FHAP agencies and traditional civil 
rights organizations that account for activities related to the sub-
recipient's role in the project. Your application should include a 
separate detailed budget for each subcontract. If you have selected 
sub-recipients or are submitting a joint application with one partner 
serving as the lead applicant, you must provide the actual subcontract 
costs;
    (ix) Other Direct Costs listed by item, quantity, unit cost, total 
for each item listed, and total direct costs for the award; and
    (x) Indirect Costs should identify the type, approved indirect cost 
rate, base to which the rate applies and total indirect costs.
    (b) If you do not have an indirect cost rate and/or you are a 
single funded organization (funded 100% from one source), you must be 
able to document direct allocations in all cost categories;
    (c) The extent to which your project is cost effective in achieving 
the anticipated results of your proposed activities, as well as in 
achieving significant community impact; and
    (d) The extent to which you demonstrate your ability to handle 
financial resources with adequate financial control procedures and 
accounting procedures. HUD will consider items such as findings 
identified in your most recent audits, internal consistency in the 
application of numeric quantities, accuracy of mathematical 
calculations and other available information on financial management 
capability.

Rating Factor 4: Leveraging Resources (10 Points)

    The extent to which local groups will contribute additional 
resources to increase the effectiveness of the proposed activities. In 
evaluating this factor, HUD will consider:
    (1) (5 points) Extent To Which You Have Secured Other Resources. 
The resources made available to your project by others. Resources from 
others may include funding or in-kind contributions, such as, work 
space, services and/or equipment, allocated to the purpose(s) of your 
project. Such resources may be provided by governmental entities, 
public or private non-profit organizations, for-profit private 
organizations, or other entities willing to work with you. You may also 
wish to work with other FHIP-funded recipients in your project area.
    (2) (5 points) Evidence of Firm Commitment of Leveraging. This 
factor addresses the extent to which you are able to demonstrate 
leveraging. You must establish your leveraging by providing 
documentation (e.g., letters) from those organizations or individuals 
who have agreed to participate and who you have identified in your 
application. Each letter of support must:

(a) Identify the organization and/or individual,
(b) Describe the proposed level of commitment,
(c) Outline the responsibilities as they relate to your application, 
and
(d) Be signed by an official of the organization legally able to make 
commitments on behalf of the organization. If you are submitting a 
partnership proposal under the Fair Housing Partnership Components of 
PEI and EOI or the General Component of PEI, you must submit a letter 
of firm commitment stating that the partner(s) agrees to the proposed 
SOW and will participate in the project, if selected for award as 
required by Section IV(A)(13) of this program section. If you fail to 
include this letter of firm commitment with your application, but you 
have stipulated the activities and tasks to be undertaken by each 
partner in your Statement of Work, the failure to provide the letter 
will be treated as a technical deficiency corrected as noted in Section 
V of the General Section of this SuperNOFA.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinate your 
activities with other organizations in the project area, participate or 
promote participation in the project area's Consolidated Planning 
process (including Analysis of Impediments to Fair Housing Choice), and 
create linkages with other activities in the community. In other words, 
to what extent are you working with others to address community needs 
in your project area? In evaluating this factor, HUD will consider the 
extent to which you demonstrate:

[[Page 9499]]

    (1) How your project activities will reach your targeted audience. 
This includes a discussion of how:
    (a) Your methods or approaches will ensure that project activities 
and materials are made available to local groups and organizations; and
    (b) The project may enhance the activities or work in tandem with 
such groups or organizations in your project area. At a minimum, your 
application should discuss procedures you will use to promote awareness 
of the services provided by your project.
    (2) How your project activities will make communities and 
organizations in your project area aware of opportunities for linking 
activities with:
    (a) Other proposed or on-going HUD-funded project activities;
    (b) Other proposed or on-going State, Federal, local or privately 
funded activities which, taken as a whole, support and sustain a 
comprehensive system to address the purpose of these projects; and
    (c) Other activities being undertaken to address barriers to 
housing choice identified in the Consolidated Plan's Analysis of 
Impediments to Fair Housing Choice.
    (F) Factors for Award Used to Evaluate and Rate Applications for 
the National Education and Outreach Initiative Program. The factors for 
rating and ranking applicants and the maximum points for each factor 
are provided below. The maximum number of points to be awarded any 
application is 100.

Rating Factor 1: Capacity of Applicant and Relevant Organizational 
Experience (20 Points)

    Unless otherwise specified, the rating of your organization and 
staff for technical merit or threshold compliance will include any 
partners, sub-recipients, and consultant/contractors who are identified 
in your application. This factor addresses the extent to which you have 
the organizational resources necessary to implement your proposed 
activities in a successful and timely manner and your ability to:

(1) For the Model Codes Partnership Component:
    (a) Analyze data;
    (b) Interact with local elected officials, housing industry 
persons, and disability advocates for the purpose of consensus 
building;
    (c) Construct appropriate language or building code changes (when 
appropriate);
    (d) Educate the public and others on accessibility requirements;
    (e) Operate in environments that may not be receptive to 
accessibility requirements;
    (f) Demonstrate a thorough knowledge of accessibility requirements 
and the nuances therein; and
    (g) Demonstrate ability to work with diverse and sometimes opposing 
advocacy groups;
(2) For Community Tensions Component:
    (a) Develop preventive community tension strategies;
    (b) Recognize replicable community tension ``Best Practices;''
    (c) Intervene in situations affected by community tensions;
    (d) Demonstrate a positive record of intervention in community 
tensions.
    It is anticipated that the measures for preventing and resolving 
community tensions will address not only the immediate or anticipated 
problem but the underlying issues of community tensions. In rating this 
factor, HUD will consider the extent to which your application 
demonstrates:
    (1) (5 points) General Description of Applicant Organization and 
Relevant Experience.
    (a) The eligibility and qualifications of your organization and its 
governing board; the type of organization (e.g., public, private, non-
profit, for profit); your general areas of activity or line of 
business; and the diversity in terms of race, ethnicity, and experience 
with disabilities which your organization's governing board brings to 
its work;
    (b) Your management of large, complex, interdisciplinary projects;
    (c) Awards to and major accomplishments of your organization. HUD 
may also consider any documented evidence, such as performance reviews, 
newspaper articles, or monitoring findings, that may reflect positively 
or negatively upon your ability and the proposed staff's ability to 
perform the work.
    (2) (10 points) Specific Description of Staff for Proposed 
Activities.
    (a) Whether you have sufficient personnel or will be able to 
recruit quickly, qualified experts or professionals to deliver your 
proposed activities in a timely and effective fashion, including your 
readiness and ability to begin immediately your proposed project;
    (b) The overall knowledge and experience of your proposed project 
director and staff, including the day-to-day project manager, sub-
recipients, and consultants in planning and managing your proposed 
project. To demonstrate that you have sufficient personnel, you must 
specify the proposed number of staff hours for the employees and 
experts allocated to your project, their titles, duties, and 
responsibilities, and their relevant professional background and 
experience; and
    (c) The diversity in terms of race, ethnicity, and experience with 
disabilities which your staff and experts bring to your proposed 
project
    (d) Your organizational infrastructure of affiliate chapters, 
branch members or other outreach arms that can be utilized to provide 
national coverage if available; if unavailable, your ability to call 
upon other groups or organizations to provide national coverage;
    Note that at least two years of recent and relevant experience is 
recommended for:
    (i) Model Codes Partnership Component--accessibility law, building 
codes and standards to make building codes accessible to the Fair 
Housing Act's accessibility requirements, and knowledge of the 
International Building Code 2000, the Uniform Building Code, the BOCA 
National Building Code, the Standard Building Code, or the American 
National Standards Institute's A117.1 accessibility standard;
    (ii) Community Tensions Component--familiarity with the kinds of 
community tensions that arise in ethnically and culturally diverse 
underserved communities; experience working with ethnically and 
culturally diverse groups of local, regional, and national 
organizations and with community representatives on preventing and 
intervening in community tensions.
    (3) (5 points) Specific Description of Experience Relevant to the 
Proposed Activities. You must show your past experience in conducting 
education and outreach activities so that industry and advocacy 
organizations and other members of the public:
    (a) For Model Codes Partnership Component--more fully appreciate 
the barriers to accessibility which may be experienced by person with 
disabilities and which may violate the Fair Housing Act;
    (b) For Community Tensions Component--understand the factors that 
may reduce community tensions.
    You must describe your ability to understand fair housing 
enforcement-related issues/policies/practices which influence 
discriminatory housing practices. When responding to this rating 
factor, you should describe your past experience in developing and 
implementing innovative strategies and their results. The rating of 
this factor for technical merit will include a review of the 
background, skills, and experience of any partners and sub-recipients 
identified as participants in your project.

[[Page 9500]]

    If you have received HUD funding in the past, HUD will consider 
your ability to achieve demonstrated measurable progress in the 
implementation of your most recent activities. Your performance will be 
measured by expenditures and progress in meeting project milestones and 
achievements accomplished. HUD will also consider any evidence in its 
files of your failure to comply with grant award provisions.
    If you have not received funding in the past from HUD, HUD will 
consider your experience in managing projects similar in nature and of 
a national scope to the work activities proposed. Therefore, if you 
have managed large, complex, interdisciplinary projects or have 
performed work similar in nature and national scope to the proposed 
project, you should include that information.

Rating Factor 2: Need/Distress/Extent of the Problem (25 Points)

    This factor addresses the extent to which you document and address 
the national need for educating the public about their fair housing 
rights and obligations under the Fair Housing Act. You should state 
which activities and methods you intend to address, and how your 
application offers the most effective approach for dealing with that 
national need. In responding to this factor, you will be evaluated on 
the following:
    (1) (15 points) Documentation of Need. The extent to which you 
describe and document the national need you intend to address, and 
demonstrate a grasp of the elements of the problem and its 
persuasiveness at the national level: for the Model Codes Partnership 
Component, the obstacles to adoption of Working Group modification and 
for the Community Tensions Component, the underlying issues which make 
the existence of community tensions a long-term problem for immigrant 
and other underserved populations. In addition, for both Components 
your description of this national need will be considered in evaluating 
your understanding of the problem and your ability to address it; and
    (2) (10 points) How the Proposed Activities Meet the Need. The 
extent to which the proposed activities will address the need described 
in response to sub-factor (1), above.

Rating Factor 3: Soundness of Approach (35 Points)

    This factor addresses the strategy, quality and cost-effectiveness 
of your proposed Statement of Work and budget. In evaluating this 
factor, HUD will consider the extent to which you and any partners:
    (1) (15 Points) Description of Proposed Activities. Conduct your 
proposed activities in a manner (e.g., languages, formats, locations, 
distribution, use of minority and disability rights media) to reach and 
benefit all members of the public, and for the Community Tensions 
Component, especially immigrant and other underserved populations; and 
proposed activities will yield long-term results that can be readily 
disseminated to other organizations and State and local governments. 
You must explain how your activities will promote compliance with the 
Fair Housing Act and will develop a complaint referral process so that 
activities funded under these Components will result in an increased 
number of referrals to HUD of creditable, legitimate fair housing 
claims and other information regarding discriminatory practices.
    (2) (10 Points) Statement of Work. You must submit a Statement of 
Work which:
    (a) Clearly describes the specific activities and tasks to be 
performed by your organization and any partners; the sequence in which 
the tasks are to be performed, noting areas of work which must be 
performed simultaneously; estimated completion dates; and program 
products to be completed within the grant period, including specific 
numbers of quantifiable end products and program improvements you 
intend to deliver by the close of the award agreement period as a 
result of the work performed;
    (b) Illustrates your national approach to the project and 
specifically how the project goals will be achieved at the national 
level; and
    (c) Describes the immediate benefits of your application and how 
you will measure the benefits. You must describe the methods you will 
use to determine the effectiveness of your proposed activities and 
benefits achieved to receive points.
    (3) (10 Points) Budget and Financial Controls. HUD also will assess 
the soundness of your approach by evaluating the quality, thoroughness 
and reasonableness of the proposed cost estimates. As part of your 
response, you should provide a summary budget that identifies costs by 
category in accordance with the following:
    (a) Direct Labor by position or individual, indicating the 
estimated hours per position, the rate per hour, estimated cost per 
staff position and the total estimated direct labor costs;
    (b) Fringe Benefits by staff position, identifying the rate, the 
salary base on which the rate was computed, estimated cost per 
position, and the total estimated fringe benefit cost;
    (c) Material Costs indicating the item, unit cost per item, the 
number of items to be purchased, estimated cost per item, and the total 
estimated material costs;
    (d) Transportation Costs, as applicable. Where use of a local 
private vehicle is proposed, costs should indicate the proposed number 
of miles, rate per mile of travel identified by item, and estimated 
total private vehicle costs. Where air transportation is proposed, 
costs should identify the destination(s), number of trips and 
passengers per destination, estimated air fare and total estimated air 
transportation costs. If other transportation costs are listed, you 
should identify the other method of transportation selected, the number 
of trips to be made and destination(s), the estimated cost, and the 
total estimated costs for any other transportation costs;
    (e) Per diem, as applicable. You should identify per diem or 
subsistence costs per travel day and the number of travel days, the 
estimated costs for per diem/subsistence and the total estimated 
transportation costs. You should use the Federal Travel Regulation for 
per diem rate for cities listed under ``Transportation Costs'' in your 
cost estimate;
    (f) Equipment charges, if any. Equipment charges should identify 
the type of equipment, quantity, unit costs and total estimated 
equipment costs;
    (g) Consultant Costs, if applicable. Indicate the type, estimated 
number of consultant days, rate per day, total estimated consultant 
costs per consultant and total estimated costs for all consultants;
    (h) Subcontract Costs, if applicable. Indicate each proposed 
individual subcontract and amount. Each proposed subcontract should 
include a separate budget that identifies proposed costs by cost 
categories. In addition, your project budget should include any costs 
related to subcontract(s) with FHAP agencies and traditional civil 
rights organizations that account for activities related to the sub-
recipient's role in the project. Your application should include a 
separate detailed budget for each subcontract. If you have selected 
sub-recipients or are submitting a joint application with one partner 
serving as the lead applicant, you must provide the actual subcontract 
costs;
    (i) Other Direct Costs listed by item, quantity, unit cost, total 
for each item listed, and total direct costs for the award; and

[[Page 9501]]

    (j) Indirect Costs should identify the type, approved indirect cost 
rate, base to which the rate applies and total indirect costs. If you 
do not have an indirect cost rate and/or you are a single funded 
organization (funded 100% from one source), you must be able to 
document direct allocations in all cost categories;
    (4) HUD also will assess the soundness of your approach by 
evaluating:
    (a) The extent to which your project is cost effective in achieving 
the anticipated results of your proposed activities, as well as in 
achieving significant community impact; and
    (b) The extent to which you demonstrate your ability to handle 
financial resources with adequate financial control procedures and 
accounting procedures. HUD will consider items such as findings 
identified in your most recent audits, internal consistency in the 
application of numeric quantities, accuracy of mathematical 
calculations and other available information on financial management 
capability.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure financial or in-kind 
resources on a national scale which can be combined with HUD's program 
resources to achieve your project purpose from: Model Codes Partnership 
Component--State and local building code organizations, members of the 
building industry, advocacy organizations, fair housing organizations, 
and other experts on accessibility laws; Community Tensions Component--
local elected officials, schools, police departments, faith-based 
organizations, community service organizations, and FHAP Agencies to 
demonstrate leveraging. In evaluating this factor HUD will consider:
    (1) (5 points) Extent to Which You have Secured Other Resources. 
The extent to which others will provide additional resources to 
increase the effectiveness of your proposed project activities. 
Resources may include funding or in-kind contributions, such as work 
space, services, or equipment allocated to the purpose(s) of your 
application. Resources may be provided by governmental entities, public 
or private non-profit organizations, for-profit private organizations, 
or other entities willing to work with you. You may also develop 
collaborative relationships to work with other FHIP-funded recipients 
to coordinate the use of resources in the project area.
    (2) (5 points) Evidence of Firm Commitment of Leveraging. The 
extent to which you are able to demonstrate leveraging. You must 
establish your leveraging by providing documentation (e.g., letters) 
from those organizations or individuals who agree to participate and 
are identified in your application. Each letter should:
    (a) Identify the organization and individual;
    (b) Describe the proposed, specific level of commitment;
    (c) Outline the responsibilities as they relate to the proposed 
project; and
    (d) Be signed by the organization's official legally authorized to 
make commitments on behalf of the organization. For the Model Codes 
Partnership Component you must submit a letter of firm commitment 
stating that the partner(s) agrees to the proposed SOW and will 
participate in the project if selected for award. If you fail to 
include this letter of firm commitment with your application, but you 
have stipulated the activities and tasks to be undertaken by each 
partner in your Statement of Work, the failure to provide the letter 
will be treated as a technical deficiency corrected as noted in Section 
V of the General Section of this SuperNOFA

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinate your 
activities with your partners and create linkages with other 
organizations so as to provide coverage in selected areas which 
together may be representative of the nation as a whole. In short, to 
what extent are you working with others to address needs in different 
parts of the country? In evaluating this factor, HUD will consider the 
extent to which you demonstrate:
    (1) How your project activities will reach your proposed targeted 
audiences in different parts of the country. This includes a discussion 
of how:
    (a) Your specific methods or approaches will ensure that project 
activities and materials are made available to local groups and 
organizations in those parts of the country which you are proposing as 
representative of the nation as a whole; and
    (b) The project or activities will in fact work in tandem with such 
groups or organizations in the parts of the country you have selected 
or enhance the activities of such groups or organizations. At a 
minimum, your application should discuss the procedures you will use to 
promote awareness the of services provided by your project.
    (2) Discuss how your project activities will make communities and 
organizations in the selected areas aware of opportunities for linking 
activities with:
    (a) Other HUD-funded program activities, proposed or on-going; or
    (b) Other proposed or on-going Federal, State, local or privately 
funded activities which, taken as a whole, support and sustain a 
comprehensive system to address the goals of these projects.
    (G) Applicant Notification and Award Procedures.
    (1) Notification. No information will be available to you during 
the period of HUD evaluation, approximately 90 days, except for 
notification in writing or by telephone if HUD determines your 
application is ineligible or has technical deficiencies which may be 
corrected as described in Section V of the General Section of the 
SuperNOFA. Selections will be announced by HUD when the evaluation and 
selection process is completed, and all awards will be subject to final 
negotiations with HUD.
    (2) Negotiations. After ranking the applications and providing 
notifications to you if you are selected, HUD will require you to 
participate in negotiations to determine the specific terms of your 
cooperative or grant agreement. HUD will follow the negotiation 
procedures described in Section III(D) of the General Section of the 
SuperNOFA.
    (3) Funding Instrument. HUD expects to award a cost reimbursable or 
fixed-price cooperative or grant agreement to each applicant selected 
for award. HUD reserves the right, however, to use the form of 
assistance agreement determined to be most appropriate after 
negotiations are completed.
    (4) Adjustments to Grant Amounts. As provided in Section III(E) of 
the General Section of the SuperNOFA, HUD may approve an application 
for an amount lower than the amount requested, fund only portions of 
your application, withhold funds after approval, and/or require that 
special conditions be added to your grant agreement, in accordance with 
24 CFR 84.14, the requirements of this SuperNOFA, or where:
    (a) HUD determines the amount requested for one or more eligible 
activities is unreasonable or unnecessary;
    (b) An ineligible activity is proposed in an otherwise eligible 
project; or
    (c) Insufficient amounts remain to fund the full amount requested 
in the application, and HUD determines that partial funding is a viable 
option.
    (5) Performance Sanctions. A grantee or sub-recipient, failing to 
comply with

[[Page 9502]]

the procedures set forth in its grant agreement will be liable for such 
sanctions as may be authorized by law, including repayment of 
improperly used funds, termination of further participation in the 
FHIP, and denial of further participation in programs of HUD or any 
Federal agency.

VI. Application Submission Requirements

    Your application must contain the items listed in this Section VI. 
These items include the standard forms, certifications, and assurances 
listed in the General Section of the SuperNOFA that are applicable to 
this funding (collectively, referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found as Appendix C to this program section of the 
SuperNOFA: The items are as follows:
    (A) Transmittal Letter. Your letter must identify: (1) The dollar 
amount requested for each Component, (2) the specific FHIP Initiative 
and Component under which your application is submitted, (3) in the 
case of the EOI, whether it is the Regional/Local/Community Based 
Program or the National Program, (4) in the case of PEI-GC, whether you 
are submitting a single or partnership application, and (5) if you are 
applying for more than one Component, you must state your preference 
for selection.
    (B) Narrative Statement. Responding to each Rating Factor for 
Award, you should address each Rating Factor separately, i.e., provide 
narrative responses to Rating Factor 1; Rating Factor 2; Rating Factor 
3 (Proposed Statement of Work and Proposed Budget); Rating Factor 4; 
and Rating Factor 5. You should respond fully to each Rating Factor for 
Award in Section V(E) and (F), above, of this FHIP section of the 
SuperNOFA and within the page limitation described in Section IV(A)(6), 
above of this program section.
    (C) Financial Management and Audit Information. You must submit a 
certification from an Independent Public Accountant or the cognizant 
government auditor, stating that the financial management system 
employed by you meets prescribed standards for fund control and 
accountability required by: OMB Circular A-133, Audits of States, Local 
Governments and Non-Profit Organizations; OMB Circular A-110 (as 
codified at 24 CFR part 84), Uniform Administrative Requirements for 
Grants and Agreements With Institutions of Higher Education, Hospitals, 
and other Non-Profit Organizations; and/or OMB Circular A-102 (as 
codified at 24 CFR part 85) Uniform Administrative Requirements for 
Grants and Cooperative Agreements to State, Local and Federally 
Recognized Indian Tribal Governments. This information should contain 
the name and telephone number of the Independent Auditor, cognizant 
Federal auditor, or other audit agency, as applicable.

VII. Corrections to Deficient Applications

    Section V of the General Section of the SuperNOFA provides the 
procedures for corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9) and (12) of HUD regulations, 
activities assisted under this program are categorically excluded from 
the requirements of the National Environmental Policy Act and are not 
subject to environmental review under related laws and authorities.

IX. Authority

    Section 561 of the Housing and Community Development Act of 1987 
(42 U.S.C. 3616 note, established the Fair Housing Initiatives Program 
(FHIP)) and the implementing regulations are found at 24 CFR part 125.

BILLING CODE 4210-32-P

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9521]]



FUNDING AVAILABILITY FOR THE HOUSING COUNSELING PROGRAM

Program Overview

    Purpose of the Program. The purpose of this program is to provide 
comprehensive housing counseling through national, regional, multi-
state housing counseling agencies, State housing finance agencies, and 
local HUD-approved housing counseling agencies. Counseling assists 
homebuyers, homeowners, and tenants to meet their housing needs and 
resolve their housing problems.
    Available Funds. Approximately $13.1 million.
    Eligible Applicants. (1) HUD-approved national, regional, or multi-
state intermediaries; (2) HUD-approved local housing counseling 
agencies; and (3) State housing finance agencies.
    Application Deadline. May 16, 2000.
    Match. None.

ADDITIONAL INFORMATION

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. If you are a Local Housing Counseling Agency 
or a State Housing Finance Agency you must submit a completed 
application on or before 6:00 pm, local time, on May 16, 2000, to the 
Homeownership Center designated below.
    If you are a National, Regional or Multi-State Housing Counseling 
Intermediary, you must submit a completed application on or before 
12:00 midnight, Eastern time, on May 16, 2000, to the HUD Headquarters 
Office designated below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Addresses for Submitting Applications. If you are a Local Housing 
Counseling Agency or State Housing Finance Agency, your completed 
application consists of an original and two copies. Send your completed 
application to the respective HUD Homeownership Center (HOC) having 
jurisdiction over the locality, area or State in which your proposed 
program is located. Your application should be sent to the attention of 
the Program Support Division Director, and the envelope should be 
clearly marked ``FY 2000 Housing Counseling Application''. A list of 
the HUD Homeownership Centers, including their field office and State 
jurisdictions, and the Program Support Division Directors appears below 
and in the Application Kit.

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[[Page 9523]]


    If you are a National, Regional or Multi-State Housing Counseling 
Intermediary, your completed application also consists of an original 
and two copies. Submit your completed application to Director, Program 
Support Division, Office of Single Family Housing, HUD Headquarters, 
451 Seventh Street, S.W., Washington, DC 20410, Room 9166. The envelope 
should be clearly marked, ``FY 2000 Intermediary Application''.
    Application Kits. For an application kit and any supplemental 
materials, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. The application kit also will be 
available on the Internet through the HUD web site at http://www.hud.gov. When requesting an application kit, please refer to the 
Housing Counseling Program. The SuperNOFA Information Center can 
provide you with assistance in determining which HUD locations should 
receive a copy of your application.
    For Further Information and Technical Assistance. If you are a 
local housing counseling agency or State housing finance agency, you 
may call the HUD Homeownership Center serving your area. If you are a 
national, regional, or multi-state intermediary, you may call HUD 
Headquarters, Program Support Division at (202) 708-0317 (this is not a 
toll-free number). Persons with hearing or speech impairments may 
access this number via TTY by calling the toll-free Federal Information 
Relay Service at 1-800-877-8339. Please see above and your application 
kit for a list of offices and telephone numbers you can call to receive 
assistance. Before the application deadline, HUD staff will be 
available to provide general guidance.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Under this SuperNOFA, $13.1 million of the $15 million appropriated 
is made available for eligible applicants. An allocation of $900,000 of 
the $15 million total in program funding has been set aside for Housing 
Counseling support, which may include continuation of the Housing 
Counseling Clearinghouse, and/or other HUD counseling initiatives and 
activities. An allocation of $1 million of the $15 million appropriated 
is available for the Home Equity Conversion Mortgage (HECM) Program, as 
provided in section 255(k) of the National Housing Act (12 U.S.C. 
1715z-20).
    Local housing counseling agencies, State housing finance agencies 
and national, regional and multi-state intermediaries can apply for a 
grant only under one of the categories described below. Affiliates and 
branches of a State housing finance agency or national, regional and 
multi-state intermediary which are not HUD-approved can apply for a 
subgrant under either Category 2 or 3, but not both. (The term 
``affiliate'' or ``affiliates'' includes the term ``branch'' or 
``branches'' of the affiliate unless otherwise stated.) A HUD-approved 
local housing counseling agency applying as an affiliate for a subgrant 
under either Category 2 or 3 cannot apply directly to HUD for separate 
funding. Only one source of HUD funds is permissible under any of the 
three categories or within Category 2 or Category 3. For example, an 
organization affiliated with two or more intermediaries can only apply 
to one intermediary for a housing counseling subgrant. Another example 
is an organization affiliated with an intermediary and a State housing 
finance agency. This organization can apply to either the intermediary 
or the State housing finance agency for a housing counseling subgrant 
but not both.
    In situations where an applicant submitted an application under two 
or more categories or submitted an application to two or more 
intermediaries within Categories 2 or 3, HUD considers these situations 
to have curable defects. In either case, a decision must be made by the 
applicant to affirm one funding source. If two or more applications 
were submitted then the applicant must select one category or one 
intermediary within Categories 2 or 3, under which to apply and must 
withdraw all other applications. If two or more grants were awarded 
then one grant source must be selected and all others forfeited.
    The amount of funds available for suballocation are set forth below 
in three competing categories.
    Applicants must submit an application under the specific category 
that they are eligible to apply for a grant.
    (A) Category 1--Local Housing Counseling Agencies (LHCA). 
Approximately $ 5.6 million has been made available for grants to local 
HUD-approved housing counseling agencies. Funding is allocated to each 
HUD field office jurisdiction by a formula that reflects the increased 
emphasis on the expansion of homeownership opportunities for first-time 
homebuyers and HUD's intent to ensure appropriate geographical 
distribution of program funds. For FY 2000, no individual local housing 
counseling agency may be awarded more than $100,000.
    A local HUD-approved housing counseling agency may apply for a 
grant to HUD, or a subgrant to a state housing finance agency, as an 
affiliate, or a subgrant to a national, regional, and multi-state 
intermediary as an affiliate. However, the local HUD-approved housing 
counseling agency can apply for only one grant or subgrant under any of 
the three categories or within Category 2 or 3. Furthermore, the agency 
must disclose in its application if it has applied for more than one 
source of HUD funds.
    Allocation for use in local agency programs by HUD Homeownership 
Centers are as follows:

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BILLING CODE 4210-32-C

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    (B) Category 2--National, Regional, and Multi-State Intermediaries. 
Approximately $6.5 million is being set aside to fund HUD-approved 
national, regional and multi-state intermediaries that apply for 
funding under this SuperNOFA. There is no cap on the amount that 
national, regional, or multi-State intermediaries or its affiliates may 
receive.
    A national, regional and multi-state intermediary may provide a 
subgrant to an affiliate, but not to an affiliate that applies directly 
to HUD or a State housing finance agency or another intermediary in 
Category 2. An affiliate must disclose in its application if it has 
applied for more than one source of HUD funds.
    (C) Category 3--State Housing Finance Agencies (SHFA). 
Approximately $1 million is being set aside to fund State housing 
finance agencies, that have a role as a housing counseling agency and/
or as an intermediary to affiliates, offering housing counseling 
services. (State housing finance agencies are defined in 24 CFR 266.5 
under the definition of ``housing finance agency''). The amount of 
funding available to each of the four HUD Homeownership Center 
jurisdictions is as follows:

------------------------------------------------------------------------
                                                              Funding
                  Homeownership center                      allocation
------------------------------------------------------------------------
Atlanta, GA.............................................        $254,285
Denver, CO..............................................         254,285
Philadelphia, PA........................................         267,145
Santa Ana, CA...........................................         224,285
 
    Total...............................................       1,000,000
------------------------------------------------------------------------

    There is no cap on the amount that a State housing finance agency, 
or its affiliates, may receive. A State housing finance agency may 
provide a subgrant to an affiliate, but not to an affiliate that 
applies to HUD or a national, regional, and multi-state intermediary or 
another State housing finance agency. An affiliate must disclose in its 
application if it has applied for more than one source of HUD funds.
    (1) Remaining and Deobligated Funds/Reallocations. If funds remain 
after HUD has funded all approvable grant applications in its 
Homeownership Center jurisdictions, or Headquarters, or if any funds 
become available due to deobligation, that amount will be retained by 
HUD for future housing counseling use or HUD may use that amount (or 
any part thereof) by allocating it to another HUD office jurisdiction, 
and/or another suballocation category.
    (2) Funding Levels. The Factors for Award will be used to evaluate 
your application for funding. If you are a successful applicant, HUD 
requires that you participate in negotiations to determine the specific 
grant amount and the terms of the grant agreement. HUD will follow the 
negotiation procedures described in Section III(D) of the General 
Section of the SuperNOFA. Housing Counseling grants are fundable for a 
period of twelve (12) calendar months. This period may begin from the 
date that your award is executed by HUD, or may begin on a date that is 
not more than 90 days prior to the date that you are notified of your 
award, which beginning date shall be determined by HUD.
    (3) Funding Methodology. As described below, in Section V(B) of 
this program section of the SuperNOFA, the Factors for Award will be 
used to evaluate your application and a maximum of 102 points may be 
awarded for each application. Only applicants who receive at least 50 
points out of the 102 will be considered eligible for funding. All 
eligible applicants will then be funded in proportion to the score they 
receive. Specifically, the points received by all eligible applicants 
within a particular allocation or suballocation will be totaled 
together and this sum will be divided into the dollar amount available 
for that allocation or suballocation. The resulting amount is the 
dollar value per point. This value will then be multiplied by each 
applicant's score to arrive at that applicant's dollar award. For 
example, within the Philadelphia HOC, local housing counseling agencies 
falling within the Albany field office jurisdiction will compete for an 
allocation of $61,993. If ten agencies apply for funding and the 
individual scores of the eligible applicants total up to 800 points, 
then $61,993 will be divided by 800 to arrive at a per point value of 
approximately $77.49, resulting in a grant of approximately $7,749.00 
to an applicant that had received 100 points for its application. 
However, an applicant cannot receive more funding than the amount for 
which the applicant applies or more than the amount listed in the 
applicant's proposed budget.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. HUD-approved housing counseling agencies 
provide counseling and advice to tenants and homeowners on property 
maintenance, financial management, and other matters appropriate to 
assist tenants and homeowners in improving their housing conditions and 
meeting responsibilities of tenancy and homeownership. In addition, 
HUD-approved housing counseling agencies conduct community outreach 
activities and provide counseling to individuals, including persons 
with visual or hearing impairments or other disabilities, with the 
objective of increasing awareness of homeownership opportunities and 
improving access of low and moderate income households to sources of 
mortgage credit. HUD believes that this activity is key to the 
revitalization and stabilization of low income and minority 
neighborhoods. Agencies assist first-time homebuyers by offering 
Homebuyer Education and Learning Program (HELP) training sessions. 
Agencies also meet the counseling needs of eligible persons 62 or older 
who desire to use the Home Equity Conversion Mortgage (HECM) to convert 
their equity into a lump sum payment or an income stream that can be 
used for home improvements, medical costs, and/or living expenses.
    (B) Eligible Applicants. Under the Housing Counseling Program, HUD 
contracts with qualified public or private nonprofit organizations to 
provide housing counseling services. There are three categories of 
applicants which are eligible to submit applications:
    (1) HUD-approved national, regional, or multi-state intermediaries. 
If you are a HUD-approved national, regional, or multi-state 
intermediary, your primary activity is to manage the use of HUD housing 
counseling funds. This includes the distribution of housing counseling 
funding to affiliated local housing counseling agencies. Your local 
affiliates are eligible to undertake any or all of the housing 
counseling activities, described for HUD-approved local housing 
counseling agencies. Local affiliates receiving funding through your 
organization do not need to be HUD-approved in order to receive funds 
from you. However, your intermediary organization must be HUD-approved 
as of the date of this SuperNOFA. You must identify all of your 
affiliates in your application, and designate those affiliates that 
will be seeking a subgrant. If your affiliate is not HUD-approved, you 
must certify the quality of services provided will meet, or exceed, 
standards for local HUD-approved housing counseling agencies.
    As a selected intermediary, you must distribute at least 90 percent 
of your award funds to your housing counseling affiliates. The amount 
you request should reflect anticipated operating needs for housing 
counseling activities, based upon the counseling experience during FY 
1999 and your current capacity. As an intermediary, the amount you 
request should reflect your

[[Page 9530]]

best estimate of costs to oversee and fund your housing counseling 
affiliates. This best estimate should not exceed ten percent (10%) of 
the total grant amount.
    HUD will give you wide discretion to implement your housing 
counseling program with your affiliates. You must execute subgrant 
agreements with your affiliates that clearly delineate the mutual 
responsibilities for program management and appropriate time frames for 
reporting results to HUD. As part of the subgrant agreement, your 
affiliate must certify that it will not apply for a grant from any 
other Housing Counseling grant suballocation or categories, or another 
HUD approved national, regional, multi-state intermediary.
    You can decide how to allocate funding among your affiliates with 
the understanding that a written record must be kept of how you 
determined your funding levels. This record must be made available to 
your affiliates and to HUD. You should budget an amount which reflects 
your best estimate of the cost to oversee and fund the housing 
counseling efforts of your affiliates. You must seek other private and 
public sources of funding to supplement HUD funding. HUD does not 
intend for its counseling grant funds to cover all costs incurred by an 
agency participating in this program.
    (2) HUD-approved local housing counseling agencies. These agencies 
are private and public non-profit organizations, approved by HUD to 
provide housing counseling services directly to clients. If you are a 
HUD-approved private or public non-profit organization, HUD will fund 
your local housing counseling agency activities according to the budget 
submitted with your application. The amounts you request should reflect 
anticipated operating needs for your housing counseling activities, 
based upon your counseling experience during the previous fiscal year 
and your current agency capacity.
    If you apply directly to HUD, you cannot apply as an affiliate for 
a subgrant to a State housing finance agency or to a national, regional 
or multi-state intermediary. However, you must disclose all funding 
sources to HUD. If you are a local housing counseling agency that is 
not currently HUD-approved, you may receive FY 2000 funding only as an 
affiliate of a HUD-approved national, regional, or multi-state 
intermediary; or State housing finance agency.
    (3) State housing finance agencies. Your primary activity under 
this grant as a State housing finance agency is to provide housing 
counseling services as a local housing counseling agency and/or manage 
the use of HUD housing counseling funds, including the distribution of 
counseling funding to your affiliated local housing counseling 
organizations. You and your local affiliates are eligible to undertake 
any or all of the housing counseling activities described for HUD-
approved local housing counseling agencies.
    As either a housing counseling agency or intermediary, you and your 
local affiliates do not need to be HUD-approved in order to receive 
these funds.
    As a State housing finance agency, you can operate as a housing 
counseling agency and/or as an intermediary for affiliates that perform 
housing counseling functions in your State or territory.
    As an intermediary, you must identify all your affiliates in your 
application and designate those affiliates that will be seeking a 
subgrant. The amount you request should reflect anticipated operating 
needs for housing counseling activities, based upon the counseling 
experience during FY 1999 and your current capacity.
    In your role as an intermediary, the amount you request should 
reflect your best estimate of costs to oversee and fund your housing 
counseling affiliates. This best estimate should not exceed ten percent 
(10%) of the total grant amount. HUD will give you wide discretion to 
implement your housing counseling program with your affiliates.
    As an intermediary, you must execute subgrant agreements with your 
affiliates that clearly delineate the mutual responsibilities for 
program management, including appropriate time frames for reporting 
results to HUD. As part of the subgrant agreement, your affiliate must 
certify that it has not applied for a grant from any other Housing 
Counseling grant suballocation or category, or another State housing 
finance agency. Your affiliate may be a local housing counseling 
agency. Local housing counseling agencies may also be affiliates of 
national, regional, or multi-State intermediaries or HUD approved local 
housing counseling agencies. You must decide how to allocate funding 
among your affiliates with the understanding that a written record will 
be kept of how your determination was made. This record must be made 
available to the affiliates and to HUD. You must certify that, if your 
affiliate is not HUD-approved, the quality of services provided will 
meet, or exceed, standards for local HUD-approved housing counseling 
agencies.
    You must seek other private and public sources of funding to 
supplement HUD funding. HUD does not expect its counseling grant funds 
to cover all costs incurred by your organization's participation in 
this program. You may use the HUD grant to undertake any of the 
eligible counseling activities.
    (C) Eligible Activities. Housing counseling services/activities 
include:
    (1) Homebuyer Education Programs where HUD's Homebuyer Education 
and Learning Program (HELP) materials are used in sessions consisting 
of approximately eight to twelve (8-12) hours of training. Completion 
of the training allows graduates to receive first-time homebuyer 
incentives, such as a reduction in their FHA insurance premium. HUD 
staff at each HUD Homeownership Center will be available to provide you 
with the HELP materials.
    (2) Pre-purchase Homeownership Counseling covering purchase 
procedures, mortgage financing, down payment/closing cost fund 
accumulation, accessibility requirements, and if appropriate, credit 
improvement, and debt consolidation.
    (3) Post-purchase Counseling including property maintenance, and 
personal money management.
    (4) Mortgage delinquency and default resolution counseling 
including restructuring debt, arrangement of reinstatement plans, loan 
forbearance, and loss mitigation.
    (5) Home Equity Conversion Mortgage (HECM) counseling to assist 
clients who are 62 years old or older with the complexities of 
converting the equity in their homes to income to pay living expenses 
or medical expenses.
    (6) Loss Mitigation Counseling for clients who may be facing 
default and foreclosure, and need mortgage default resolution and 
foreclosure avoidance counseling.
    (7) Marketing and Outreach Initiatives including providing general 
information about housing opportunities within your target area and 
providing housing counseling services and information to persons with 
disabilities. Under this program, you are required to extend marketing 
and outreach services to all segments of the population.
    (8) Renter Assistance Counseling including information about rent 
subsidy programs, rights and responsibilities of tenants, and lease and 
rental agreements.
    (9) Fair Housing Assistance including:
    (a) Advocating with lenders, appraisers and developers on behalf of 
clients to recognize the value of non-traditional lending standards, 
the vitality of housing values in all areas, and the added value of 
accessible housing design; and

[[Page 9531]]

    (b) Advising clients on how to recognize discriminatory acts, and 
how to file a Fair Housing complaint. (This will require being familiar 
with the provisions of the Fair Housing Act.)
    You may elect to offer your services to a wide range of clients, or 
serve a more limited audience, provided your limited services do not 
constitute discrimination on the basis of race, color, religion, sex, 
national origin, disability or familial status. Your potential clients 
include: first-time homebuyers, homebuyers and homeowners eligible for, 
and applying for HUD, VA, FmHA (or its successor agency), State, local, 
or conventionally financed housing or housing assistance; or persons 
who occupy such housing and seek the assistance of a housing counseling 
agency to resolve a housing need. You may elect to offer this 
assistance in conjunction with any HUD housing program; however, to do 
this, you must be familiar with FHA's single family and multifamily 
housing programs.

IV. Program Requirements

    (A) General Requirements. The requirements listed in Section II of 
the General Section of the SuperNOFA apply to this program.
    (B) Specific Requirements.
    (1) Civil Rights Threshold Requirements--All eligible applicants 
must meet the Civil Rights Threshold requirements that are listed in 
Section II(B) of the General Section of the SuperNOFA.
    (2) Accessibility--All eligible applicants will make counseling 
offices and services accessible to persons with a wide range of 
disabilities and help persons locate suitable housing in locations 
throughout the applicant's community, target area, or metropolitan 
area, as defined by the applicant.
    (C) Requirements Applicable to Religious Organizations. Where your 
organization is, or you propose to contract with, a primarily religious 
organization, or a wholly secular organization established by a 
primarily religious organization, to provide, manage, or operate a 
housing counseling program, you must undertake your responsibilities in 
accordance with the following principles:
    (1) You will not discriminate against any segment of the population 
in the provision of services or in outreach, including those of other 
religious affiliations.
    (2) You will not provide religious instruction or religious 
counseling, conduct religious services or worship, engage in religious 
proselytizing, and exert religious influence in the provision of 
assistance under your housing counseling program.
    (D) Performance Measurement. You are required to complete and 
submit a form HUD-9902, Fiscal Year Activity Report. The information 
compiled from this report provides HUD with its primary means of 
measuring your program performance and program effectiveness.

V. Application Selection Process

    (A) General. Your application will be evaluated competitively, and 
ranked against all other applicants that applied in the same funding 
category. However, after selection, the actual amount funded will be 
based on successful completion of negotiations. National, regional, and 
multi-State applications will be rated and ranked in HUD Headquarters, 
and selected for funding in rank order. Local agency and State housing 
finance agency applications will be rated and ranked by the HUD 
Homeownership Centers and selected for funding in rank order.
    (B) Factors For Award Used To Rate and Rank Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are provided below. The maximum number of points for each 
applicant is 102. This includes two EZ/EC bonus points, as described in 
the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement your 
proposed activities in a timely manner. Your rating or the rating of 
your organization and staff for technical merit will include any 
subcontractors, consultants, subrecipients, and members of consortia 
that are identified as participants in your proposal. In rating this 
factor, HUD will consider the extent to which your proposal 
demonstrates:
    (1) (10 points) The knowledge and experience of your proposed 
project director and staff, including the day-to-day program manager, 
consultants and contractors in planning and managing programs for which 
you are requesting funding. Your experience will be judged in terms of 
recent, relevant and successful experience of your staff to undertake 
eligible program activities. You are expected to have sufficient 
personnel, or be able to quickly access qualified experts or 
professionals, to deliver the proposed activities in a timely and 
effective fashion. HUD will assess the readiness and ability of your 
organization to immediately begin your proposed work program. To 
demonstrate that you have sufficient personnel, you must submit the 
proposed number of staff for each task to be conducted, by the 
employees and experts allocated to each activity you plan to undertake 
in your program. You must identify their titles and relevant 
professional background and experience related to the tasks they are to 
perform. In addition, you must allocate the staff hours for each task 
of these employees and experts.
    (2) (10 points) Your past experience in terms of your ability to 
attain measurable progress in the implementation of your most recent 
activities where your performance has been assessed. HUD will consider 
your performance as measured by your expenditures and demonstrated 
progress in achieving the purpose of the activities. HUD will also 
consider any documented evidence, such as form HUD-9902, of your 
failure under past awards to comply with grant award provisions.

Rating Factor 2: Need/Extent of the Problem (20 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities to address a documented 
problem in your target area. To the extent that the community served by 
your housing counseling organization has documented the need in the 
community's Consolidated Plan or Analysis of Impediments to Fair 
Housing Choice (AI); or requirements of court orders or consent 
decrees, settlements and voluntary compliance agreements, references to 
these documents should be included in the response. If your proposed 
activities are not covered under the scope of the Consolidated Plan or 
AI, you should indicate such and use other sound data sources to 
identify the level of need for your proposed program of activities.
    In responding to this factor, you will be evaluated on the extent 
to which you document a critical level of need for your proposed 
activities in the area where activities will be carried out. The 
documentation of need should demonstrate the extent of the problem 
addressed by the proposed activities. Examples of data that might be 
used to demonstrate need, include economic and demographic data 
relevant to the target area and your proposed activities. There must be 
a clear relationship between the proposed activities, community needs 
and the purposes of this program for an applicant to receive points for 
this factor.

[[Page 9532]]

Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and effectiveness of your 
proposed housing counseling plan (work plan) that describes your 
housing counseling needs, goals, and objectives related to the scope of 
services you propose to provide, including a description of all 
counseling activities to be performed. In rating this factor, HUD will 
consider the following:
    (1) The description of the scope of housing counseling services 
and/or activities that you will provide, how these services/activities 
will be rendered, how these services/activities will be performed, the 
Congressional District(s) in which your proposed services/activities 
are to occur, and the extent to which the design and scope of your 
services/activities provide geographic coverage for the target areas as 
defined by the applicant, as well as persons traditionally underserved 
in the community as identified in Rating Factor 2, as well as persons 
traditionally underserved, including identification of immediate 
benefits to be achieved and indicators by which these benefits will be 
measured.
    (2) The extent to which you have a clear agenda and identify 
specific activities to be performed, such as:
    (a) Screening interviews with clients;
    (b) Setting up a client file with intake information and counseling 
plan; and
    (c) Having the client sign an agreement accepting the counseling 
plan and making a commitment to attend the required counseling 
sessions.
    (3) The extent to which your proposed tasks use documented, 
technically competent methodologies for conducting the work to be 
performed. HUD will assess the extent to which your proposed work plan 
identifies documented, proven methodologies for the types of services 
to be performed.
    (4) The extent to which you demonstrate the relationship between 
the proposed activities, community needs and the purposes of this 
program.
    (5) The extent to which your proposed activities undertake 
Affirmatively Furthering Fair Housing (AFFH) may be undertaken in a 
variety of ways, as appropriate to your target area. The following are 
some suggestions for all housing counseling agencies:
    (a) Implementing affirmative marketing strategies to attract all 
segments of the population regardless of race, color, religion, 
national origin, sex, familial status, and disability, especially those 
least likely to request housing counseling services to purchase or 
retain their homes.
    (b) Being pro-active in reducing concentrations of poverty and/or 
minority populations in the target area. This could include working 
with, or adopting the counseling practices of, agencies which conduct 
housing opportunity counseling to encourage low-income and minority 
persons to move to low-minority-concentration areas, and helping to 
locate suitable housing in such areas if the client chooses to move to 
one.
    (c) Working with local lenders to develop alternative lending 
criteria. For instance, you may make referrals to lenders of clients 
with good credit and payment histories, but who do not fit the standard 
profiles for lending practices, or advocate with financial institutions 
on behalf of clients with financial patterns which reflect cultural 
differences (such as family savings pools, which are common among some 
Asian populations). Your activities should also focus on finding 
appropriate housing, free from environmental hazards, for all segments 
of the population in neighborhoods with good transportation, schools, 
employment opportunities, and other services.
    (b) The following are some suggested activities for national, 
regional, or multi-state intermediaries and State housing finance 
agencies:
    (i) Training affiliates in Fair Housing issues.
    (ii) Making national or regional agreements with lenders, insurers, 
and organizations which train appraisers and loan appraisers on fair 
housing requirements, accessibility, and financing methods which 
support your organization's fair housing and housing opportunity 
efforts.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure private and public 
resources which can be combined with HUD's program resources to achieve 
your program purposes. In evaluating this factor HUD will consider:
    (1) The extent to which you have obtained additional resources, or 
partnered with other entities to secure additional resources, to 
increase the effectiveness of your proposed program activities. 
Resources may include funding or in-kind contributions, such as 
services or equipment, allocated to the purpose(s) of your program. 
Resources may be provided by governmental entities, public or private 
nonprofit organizations, for-profit private organizations, or other 
entities willing to partner with you. You may also partner with other 
program funding recipients to coordinate the use of housing counseling 
and support services in your target area.
    (2) You must provide evidence of leveraging/partnerships by 
including in your application letters of firm commitments, memoranda of 
understanding, or agreements to participate from entities identified as 
partners in your application. Each letter of commitment, memoranda of 
understanding, or agreement to participate should include the 
partnering organization's name, proposed level of commitment and 
responsibilities as they relate to your proposed program. The 
commitment letter must also be signed by an official of the 
organization legally able to make commitments on behalf of the 
partnering organization.
    (3) If you are a housing counseling agency funded under this 
SuperNOFA, you may use your HUD and leveraged funds to deliver 
comprehensive housing counseling, or may specialize in delivery of 
particular housing counseling services. Either way, your services/
activities must reflect the housing counseling needs you submitted in 
your funding application for your target area and identified in your 
plan. You may conduct a wide range of housing counseling services that 
are eligible under this program.
    (4) If you are a national, regional or multi-state intermediary or 
a State housing finance agency, you must distribute the majority of 
your HUD award and leveraged funds to your housing counseling 
affiliates and branches. HUD will give you wide discretion to implement 
your housing counseling program with your affiliates and branches. You 
must execute subgrant agreements with your affiliates and branches that 
clearly delineates the mutual responsibilities for program management 
and appropriate time frames for reporting results to HUD. You can 
decide how to allocate the HUD and leveraged funding among your 
affiliates with the understanding that a written record must be kept of 
how you determined your funding levels. This record must be made 
available to your affiliates and to HUD. You should budget an amount 
that does not exceed ten percent (10%) of your grant and reflects your 
best estimate of the cost to oversee and fund the housing counseling 
efforts of your affiliates.

    Note: HUD housing counseling funding is not intended to fully 
fund either an organization's housing counseling program, or its 
local affiliates. All organizations that use housing counseling 
grant funds and their local affiliates are expected to seek other 
private and public sources of funding for

[[Page 9533]]

housing counseling to supplement HUD funding.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations, participated or promoted 
participation in a community's Consolidated Planning process and are 
working toward addressing identified needs in a holistic and 
comprehensive manner through linkages with other activities in your 
community. In evaluating this factor, HUD will consider the extent to 
which you can demonstrate you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations prior to submission in order to best complement, 
support and coordinate all known activities; and, if funded, the 
specific steps you will take to share information on solutions and 
outcomes with others. Any written agreements or memoranda of 
understanding in place should be described.
    (2) Taken or will take specific steps to become active in the 
Consolidated Planning process (including the Analysis of Impediments to 
Fair Housing Choice) established in your target area to identify and 
address needs/problems related to the activities you propose in your 
application. If you reported in your FY 1999 application that you 
``will take specific steps'', describe what steps you have taken.
    (3) Taken or will take specific steps to develop linkages to 
coordinate comprehensive solutions through meetings, information 
networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the target area's Consolidated Plan; and (b) Other Federal, 
State or locally funded activities, including those proposed or on-
going in your target area.
    If you reported in your FY 1999 application that you ``will take 
specific steps'', describe what steps you have taken.

VI. Application Submission Requirements

    (A) General. The contents of your application will differ if you 
are a local housing counseling agency; or a national, regional, or 
multi-state intermediary; or a State housing finance agency. For all 
applicants, however, your application must include the standard forms, 
certifications, and assurances listed in the General Section of the 
SuperNOFA (collectively, referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives, letters), referred to as the ``non-
standard forms'' can be found as Appendix A to this program section of 
the SuperNOFA. The items are as follows:
    (1) Narrative statements addressing the five Rating Factors in 
Section V.(B) of this program section of the SuperNOFA. Your narrative 
responses should be numbered in accordance with the rating factors and 
subfactors identified in Section V(B) of this program section of the 
SuperNOFA.
    (2) Form HUD-9902, Housing Counseling Agency Fiscal Year Activity 
Report, for fiscal year October 1, 1998 through September 30, 1999. If 
you did not participate in HUD's Housing Counseling Program during FY 
1999, this report should be completed to reflect your counseling 
workload during that period. This form must be fully completed and 
submitted by every applicant for FY 2000 HUD funding. A copy of this 
form is included in the Appendix to the program section of this 
SuperNOFA.
    (3) Budget Work Sheet. A proposed budget for use of the requested 
HUD funds.
    (4) Evidence of Housing Counseling Funding Sources (required of all 
applicants).
    (5) Narrative of Prior Fiscal Year Performance. You must provide a 
descriptive narrative that sets forth your prior fiscal year's 
performance as related to its goals, objectives and mission. Your 
narrative must describe the most recent operational and program 
activities of your organization.
    (6) Current Housing Counseling Plan. See Rating Factor 3 for a 
description.
    (7) Direct-labor and Hourly-labor rate and Counseling Time Per 
Client for proposed tasks.
    (8) The Congressional District in which your proposed activities 
are to occur.
    (9) Authority to Operate as State housing finance agency. If you 
are a State housing finance agency, you must submit your statutory 
authority to operate as a State housing finance agency.
    (B) National, Regional, and Multi-State Intermediaries and State 
Housing Finance Agencies. If you are a national, regional, or multi-
state intermediary or a State housing finance agency, you must submit 
an application which covers both your network organization and your 
affiliated agencies. You must designate which affiliate may be given a 
subgrant. Your application must include:
    (1) A description of your affiliated agencies. For each affiliated 
agency, list the following information:
    (a) Organization name;
    (b) Address;
    (c) Director and contact person (if different);
    (d) Phone/FAX numbers (including TTY, if available);
    (e) Federal tax identification number;
    (f) ZIP code service areas;
    (g) Number of staff providing counseling;
    (h) Type of services offered (defined by homebuyer education 
programs, pre-purchase counseling, post-purchase counseling, mortgage 
default and delinquency counseling, HECM counseling, outreach 
initiatives, renter assistance, and other);
    (i) Number of years of housing counseling experience.
    (2) Relationship with Affiliates. You must briefly describe your 
relationship with your affiliates (i.e. membership organization, field 
or branch office, subsidiary organization, etc.).
    (3) Oversight System. You must briefly describe the process that 
will be used to determine affiliate funding levels, distribute funds, 
and monitor affiliate performance.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9) and (12) of the HUD 
regulations, activities assisted under this program are categorically 
excluded from the requirements of the National Environmental Policy Act 
and are not subject to environmental review under the related laws and 
authorities.

IX. Authority

    HUD's Housing Counseling Program is authorized by section 106 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701x), and is 
generally governed by HUD Handbook 7610.1, REV-4, dated August 9, 1995.

BILLING CODE 4210-32-P

[[Page 9534]]

APPENDIX A

    The non-standard forms, which follow, are required for your Housing 
Counseling Program application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9539]]



FUNDING AVAILABILITY FOR THE LEAD-BASED PAINT HAZARD CONTROL GRANT 
PROGRAM

Program Overview

    Purpose of the Program. The purpose of the Lead-Based Paint Hazard 
Control Grant Program is to assist States, Indian Tribes and local 
governments in undertaking comprehensive programs to identify and 
control lead-based paint hazards in eligible privately-owned housing 
for rental or owner-occupants in partnership with community-based 
organizations.
    Available Funds. Approximately $59 million.
    Eligible Applicants. States, Indian Tribes or local governments. If 
you are a State or Tribal applicant, you must have a Lead-Based Paint 
Contractor Certification and Accreditation Program authorized by EPA.
    Application Deadline. May 17, 2000.
    Match. A minimum of 10% match in local funds.

Additional Information

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit your completed application (an 
original and four copies) to HUD on or before 12:00 midnight, Eastern 
time, on May 17, 2000, at the address shown below.
    See the General Section of the SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, overnight deliver, or hand carried).
    Address for Submitting Applications. For Mailed Applications. The 
address for mailed applications is: Department of Housing and Urban 
Development, Office of Lead Hazard Control, 451 Seventh Street, SW, 
Room P3206, Washington, DC 20410.
    For Overnight/Express Mail or Hand Carried Applications. The 
address for applications that are hand carried or sent via overnight 
delivery is: HUD Office of Lead Hazard Control, Suite 3206, 490 East 
L'Enfant Plaza, SW, Washington, DC 20024. Hand carried applications 
will be accepted at this address (490 East L'Enfant) up until 5:00 pm 
on the application due date.
    After 5:00 pm on the application due date, hand carried 
applications will be accepted until 12:00 midnight, in the South Lobby 
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
    For Application Kits. You may obtain an application kit from the 
SuperNOFA Information Center at 1-800-HUD-8929. Persons with speech or 
hearing impairments, may call the Center's TTY number at 1-800-HUD-
2209. When requesting an application kit, please refer to the Lead-
Based Paint Hazard Control Grant Program. Please be sure to provide 
your name, address (including zip code), and telephone number 
(including area code).
    For Further Information and Technical Assistance. You may contact 
Ellis G. Goldman, Director, Program Management Division, Office of Lead 
Hazard Control, at the address above; telephone (202) 755-1785, 
extension 112 (this is not a toll-free number). If you are a hearing- 
or speech-impaired person, you may reach the above telephone numbers 
via TTY by calling the toll-free Federal Information Relay Service at 
1-800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) Available Funding. Approximately $59 million will be available 
for the Lead-Based Paint Hazard Control Grant Program.
    (B) Allocation of Funds/Grant Awards. Both existing grantees or 
previously unfunded applicants are eligible to apply for grants of $1 
million to $3 million. Approximately 20 to 25 grants will be awarded. A 
minimum of 70% of the funds shall be available to existing Lead-Based 
Paint Hazard Control grantees. Applications from existing (or previous) 
grantees will be evaluated and scored as a separate group and will not 
be in direct competition with applications from previously unfunded 
applicants.

III. Program Description, Eligible Applicants; Eligible Activities

    (A) Program Description. The Lead-Based Paint Hazard Control Grant 
Program assists States, Indian Tribes and local governments in 
undertaking programs for the identification and control of lead-based 
paint hazards in eligible privately-owned housing units for rental and 
owner-occupants. The application kit for this program section of the 
SuperNOFA lists HUD-associated housing programs which also meet the 
definition of eligible housing.
    (1) Because lead-based paint is a national problem, these funds 
will be awarded to:
    (a) Maximize both the number of children protected from lead 
poisoning and housing units where lead-hazards are controlled;
    (b) Target lead hazard control efforts at housing in which children 
are at greatest risk of lead poisoning;
    (c) Stimulate cost-effective approaches that can be replicated;
    (d) Emphasize lower cost methods of hazard control;
    (e) Build local capacity to safely and effectively address lead 
hazards during lead hazard control, renovation, remodeling, and 
maintenance activities; and
    (f) Affirmatively further fair housing, Partnership for Advancing 
Technology in Housing (PATH), and environmental justice.
    (2) The objectives of this program include:
    (a) Implementation of a national strategy, as defined in Title X of 
the Housing and Community Development Act of 1992 (42 U.S.C. 4851 et. 
seq.) (Title X), to build the community's capacity necessary to 
eliminate lead-based paint hazards in all housing, as widely and 
quickly as possible by establishing a workable framework for lead-based 
paint hazard identification and control;
    (b) Mobilization of public and private resources, involving 
cooperation among all levels of government, the private sector, and 
community-based organizations to develop cost-effective methods for 
identifying and controlling lead-based paint hazards;
    (c) Development of comprehensive community approaches which result 
in integration of all community resources (governmental, community-
based, and private businesses) to address lead hazards in housing;
    (d) Integration of lead-safe work practices into housing 
maintenance, repair, weatherization, rehabilitation, and other programs 
which will continue beyond your grant period;
    (e) Establishment of a public registry (listing) of lead-safe 
housing; and
    (f) To the greatest extent feasible, promotion of job training, 
employment, and other economic opportunities for low-income and 
minority residents and businesses that are owned by and/or employ low-
income and minority residents as defined in 24 CFR 135.5 (See 59 FR 
33881, June 30, 1994).
    (B) Eligible Applicants. (1) To be eligible to apply for funding 
under this program, you must be a State, Indian Tribe, or unit of local 
government. Multiple units of a local government (or multiple local 
governments) may apply as part of a consortium; however, you must 
identify a single lead government or agency as ``the applicant.'' You 
may submit only one application. In the

[[Page 9540]]

event you submit multiple applications, this will be considered a 
curable (minor) defect and the application review process delayed until 
you notify HUD in writing which application should be reviewed. Your 
other applications will be returned unevaluated.
    (2) Threshold Requirements. As an applicant, you must meet all of 
the threshold requirements of Section II(B) of the General Section of 
the SuperNOFA.
    (3) Consolidated Plans.
    (a) If your jurisdiction has a current HUD approved Consolidated 
Plan, you must submit, as an appendix, a copy of the lead-based paint 
element included in the approved Consolidated Plan.
    (b) If your jurisdiction does not have a currently approved 
Consolidated Plan, but it is otherwise eligible for this grant program, 
you must include your jurisdiction's abbreviated Consolidated Plan, 
which includes a lead-based paint hazard control strategy developed in 
accordance with 24 CFR 91.235.
    (4) Contracts with Community-Based Organizations. If selected for 
funding, local and State applicants must enter into contractual 
relationships with community-based organizations. Such relationships 
must be established prior to actual execution of the grant agreement. 
This requirement does not apply to Indian Tribes.
    (5) EPA Authorization. If you are a State government or an Indian 
Tribal government, you must have an EPA authorized Lead-Based Paint 
Contractor Certification and Accreditation Program on the application 
deadline to be eligible. The approval date in the Federal Register 
notice published by the EPA will be used.
    (6) If you were funded under the FY 1999 Lead-Based Paint Hazard 
Control Funding competition in the FY 1999 SuperNOFA issued February 
26, 1999 (64 FR 9699), you are not eligible for funding under this 
program section of the SuperNOFA.
    (7) The eligibility factors discussed in paragraphs (1) through (6) 
above are threshold requirements. If you do not satisfy the appropriate 
eligibility requirements stated in these paragraphs, HUD will not 
review your application.
    (C) Eligible Activities. HUD is interested in promoting lead hazard 
control approaches that result in the reduction of this health threat 
for the maximum number of low-income families with children under six, 
for the longest period of time, and that demonstrate techniques which 
are cost-effective, efficient, and can be used elsewhere. HUD will 
allow flexibility within the parameters established below. Funds will 
be available only for projects conducted by contractors, risk 
assessors, inspectors, workers and others engaged in lead-based paint 
activities who meet the requirements of an EPA authorized State or 
Tribal Lead-Based Paint Contractor Certification and Accreditation 
Program under the requirements of section 404 of the Toxic Substances 
Control Act (TSCA). However, low level hazard interventions (e.g., dust 
control and minor paint stabilization) do not require certified 
personnel unless required by state or local laws or regulations. All 
applicants must use personnel certified under the state, tribal, or EPA 
administered program for their state or tribe.
    (1) Direct Project Elements that you may undertake directly or 
through subrecipients, include:
    (a) Performing dust testing, hazard screens, inspections, and risk 
assessments of eligible housing constructed before 1978 to determine 
the presence of lead-based paint and/or lead hazards from paint, dust, 
or soil.
    (b) Conducting the required pre-hazard control blood lead testing 
of children under the age of six years (72 months) residing in units 
undergoing inspection, risk assessment, or hazard control, unless 
reimbursable from Medicaid or another source.
    (c) Conducting lead hazard control, which may include any 
combination of the following: interim control of lead-based paint 
hazards in housing (which may include specialized cleaning techniques 
to address lead dust); abatement of lead-based paint hazards using 
different methods for each unit (based on the condition of the unit and 
the extent of hazards); and abatement of lead-based paint hazards, 
including soil and dust, by means of removal, enclosure, encapsulation, 
or replacement methods. Complete abatement of all lead-based paint or 
lead-contaminated soil is not acceptable as a cost effective strategy 
unless justification is provided and approved by HUD. Abatement of 
lead-contaminated soil should be limited to areas with bare soil in the 
immediate vicinity of the structure, i.e., dripline or foundation of 
the structure being treated, and children's play areas.
    (d) Carrying out temporary relocation of families and individuals 
during the period in which hazard control is conducted and until the 
time the affected unit receives clearance for reoccupancy.
    (e) Performing blood lead testing and air sampling to protect the 
health of the hazard control workers, supervisors, and contractors.
    (f) Undertaking minimal housing rehabilitation activities that are 
specifically required to carry out effective hazard control, and 
without which the hazard control could not be completed and maintained. 
Hazard Control grant funds may be used for lead hazard control work 
done in conjunction with other housing rehabilitation programs. HUD 
strongly encourages integration of this grant program with housing 
rehabilitation and PATH technologies.
    (g) Conducting clearance dust-wipe testing and laboratory analysis.
    (h) Engineering and architectural activities that are required for, 
and in direct support of, lead hazard control.
    (i) Providing lead-based paint worker or contractor certification 
training and/or licensing to low-income persons.
    (j) Providing free training on lead-safe, essential maintenance 
practices to homeowners, renters, painters, remodelers, and apartment 
maintenance staff working in low-income private housing.
    (k) Providing cleaning supplies for lead-hazard control to 
community/neighborhood-based organizations, homeowners, and renters in 
low-income private housing.
    (l) Conducting planning and coordination activities to facilitate 
local implementation of HUD's regulations on Lead-Based Paint Poisoning 
Prevention in Certain Residential Structures, published on September 
15, 1999 (64 FR 50140), which will take effect on September 15, 2000. 
These regulations are available from the National Lead Information 
Center at 1-800-424-LEAD.
    (m) Conducting general or targeted community awareness, education 
or outreach programs on lead hazard control and lead poisoning 
prevention. This includes educating owners of rental properties on the 
Fair Housing Act and training on lead-safe maintenance and renovation 
practices and management. Upon request, this also would include making 
all materials available in alternative formats to persons with 
disabilities (e.g.; Braille, audio, large type).
    (n) Procuring liability insurance for lead-hazard control 
activities.
    (o) Supporting data collection, analysis, and evaluation of grant 
program activities. This includes compiling and delivering such 
information and data as may be required by HUD. This activity is 
separate from administrative costs.
    (p) Conducting applied research activities directed at 
demonstration of cost effective methods for lead hazard control.
    (q) Purchasing or leasing equipment having a per unit cost under 
$5,000.

[[Page 9541]]

    (r) Purchasing or leasing up to two (2) X-ray fluorescence 
analyzers for use by the Lead-Based Paint Hazard Control Grant Program, 
if not already available.
    (s) Preparing a final report at the conclusion of grant activities.
    (2) Support Elements.
    (a) Administrative costs. There is a 10% maximum for administrative 
costs. Specific information on administrative costs is included in this 
Lead-Based Paint Hazard Control Grant Program section of this 
SuperNOFA.
    (b) Program planning and management costs of sub-grantees and other 
sub-recipients.
    (D) Ineligible Activities. You may not use grant funds for any of 
the following:
    (1) Purchase of real property.
    (2) Purchase or lease of equipment having a per unit cost in excess 
of $5,000, except for X-ray fluorescence analyzers.
    (3) Chelation or other medical treatment costs related to children 
with elevated blood lead levels. Non-Federal funds used to cover these 
costs may be counted as part of the required matching contribution.
    (4) Lead hazard control activities in publicly owned housing, or 
project-based Section 8 housing.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, you, the applicant, must comply with the 
following requirements:
    (A) Budgeting. (1) Matching Contribution. You must provide a 
matching contribution of at least 10% of the requested grant sum. This 
may be in the form of a cash or in-kind (non-cash) contribution or a 
combination of both. With the sole exception of Community Development 
Block Grant (CDBG) funds, Federal funds may not be used to satisfy the 
statutorily required ten (10) percent matching requirement. Federal 
funds may be used, however, for contributions above the statutory 
requirement. If you do not show a minimum 10% match in your 
application, you will be rated lower during the evaluation process, 
and, if selected, you will be required to provide the matching 
contribution before being given the grant.
    (2) Direct Lead Hazard Control Activities. The budget proposed must 
show a minimum of 60 percent of the total Federal amount requested 
identified for direct lead hazard control activities. Direct lead 
hazard control activities consist of inspections, risk assessments, 
contracts for lead hazard control services, and clearance evaluations. 
Direct hazard control activities do not include relocation, blood 
testing of residents or workers, housing rehabilitation, training, 
community education, applied research, purchase of supplies or 
equipment, or administrative costs.
    (3) Applied Research Activities. You may identify a maximum of five 
(5%) percent of the total grant request for applied research 
activities.
    (4) Administrative Costs. There is a 10% maximum for administrative 
costs.
    (B) Period of Performance. The period of performance is 36 months 
for previously unfunded applicants. Existing grantee applicants will be 
allowed 30 months.
    (C) Certified Performers. You may use grant funds only for projects 
conducted by certified contractors, risk assessors, inspectors, workers 
and others engaged in lead-based paint activities. The individuals and 
firms (if applicable) must be certified under an EPA authorized State 
or Tribal program or a program operated by the EPA in the absence of a 
State or Tribal program.
    (D) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier 
Resources Act (16 U.S.C. 3501), you may not use grant funds for 
properties located in the Coastal Barrier Resources System.
    (E) Flood Disaster Protection Act. Under the Flood Disaster 
Protection Act of 1973 (42 U.S.C. 4001-4128), you may not use grant 
funds for lead-based paint hazard control of a building or mobile home 
that is located in an area identified by the Federal Emergency 
Management Agency (FEMA) as having special flood hazards unless:
    (1) The community in which the area is situated is participating in 
the National Flood Insurance Program in accordance with the applicable 
regulations (44 CFR parts 59-79), or less than a year has passed since 
FEMA notification regarding these hazards; and
    (2) Where the community is participating in the National Flood 
Insurance Program, flood insurance on the property is obtained in 
accordance with section 102(a) of the Flood Disaster Protection Act (42 
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance 
is obtained and maintained for the appropriate amount and term.
    (F) National Historic Preservation Act. The National Historic 
Preservation Act of 1966 (16 U.S.C. 470) and the regulations at 36 CFR 
part 800 apply to the lead-based paint hazard control activities that 
are undertaken pursuant to this program. HUD and the Advisory Council 
for Historic Preservation have developed an optional Model Agreement 
for use by grantees and State Historic Preservation Officers in 
carrying out activities under this program. This may be obtained from 
the SuperNOFA Clearinghouse.
    (G) Waste Disposal. You must handle waste disposal according to the 
requirements of the appropriate local, State and Federal regulatory 
agencies. You must handle disposal of wastes from hazard control 
activities that contain lead-based paint but are not classified as 
hazardous in accordance with the HUD Guidelines for the Evaluation and 
Control of Lead-Based Hazards in Housing (HUD Guidelines). The 
Guidelines may be purchased from HUD User (1-800-245-2691) or 
downloaded from the HUD website (www.hud.gov).
    (H) Worker Protection Procedures. You must observe the procedures 
for worker protection established in the HUD Guidelines, as well as the 
requirements of the Occupational Health and Safety Administration 
(OSHA) (29 CFR 1926.62--Lead Exposure in Construction), or the State or 
local occupational safety and health regulations, whichever are most 
protective. If other applicable requirements contain more stringent 
requirements than the HUD Guidelines, the more rigorous standards shall 
be followed.
    (I) Prohibited Practices. You must not engage in practices that are 
not allowed because of health and safety risks. Methods that generate 
high levels of lead dust shall be undertaken only with requisite worker 
protection, containment of dust and debris, suitable clean-up, and 
clearance. Prohibited practices include:
    (1) Open flame burning or torching;
    (2) Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    (3) Uncontained hydroblasting or high pressure wash;
    (4) Abrasive blasting or sandblasting without HEPA exhaust control;
    (5) Heat guns operating above 1100 degrees Fahrenheit;
    (6) Chemical paint strippers containing methylene chloride; and
    (7) Dry scraping or dry sanding, except scraping in conjunction 
with heat guns or around electrical outlets or when treating no more 
than two (2) square feet in any one interior room or space, or totaling 
no more than 20 square feet on exterior surfaces.
    (J) Proposed Modifications From Current Procedures. Proposed 
methods that differ from currently approved standards or procedures 
will be considered on their merits through a separate HUD review and 
approval process after the grant award is made

[[Page 9542]]

and a specific justification has been presented. HUD may consult with 
experts from both the public and private sector as part of its final 
determinations and will document its findings in an environmental 
assessment. HUD will not approve proposed modifications that, in HUD's 
opinion, involve a lowering of standards with potential to adversely 
affect the health of residents, contractors or workers, or the quality 
of the environment.
    (K) Written Policies and Procedures. You must have clearly 
established, written policies and procedures for all phases of lead 
hazard control, including risk assessment, inspection, development of 
specifications, pre-hazard control blood lead testing, financing, 
relocation and clearance testing. Grantees, subcontractors, sub-
grantees, sub-recipients, and their contractors must adhere to these 
policies and procedures.
    (L) Continued Availability of Lead Safe Housing to Low-Income 
Families. Units in which lead hazards have been controlled under this 
program shall be occupied by and/or continue to be available to low-
income residents as required by Title X. You must maintain a registry 
(listing) of units in which lead hazards have been controlled for 
distribution and marketing to agencies and families as suitable housing 
for families with children under six.
    (M) Testing. In developing your application budget, include costs 
for inspection, risk assessment, and clearance testing for each 
dwelling that will receive lead hazard control, as follows:
    (1) Testing. (a) General. All testing and sampling shall conform to 
the current HUD Guidelines and Federal, state or tribal regulations 
developed as part of the appropriate contractor certification program. 
It is particularly important to provide this full cycle of testing for 
lead hazard control, including interim controls. Until the effective 
date of the final EPA lead hazard standards for dust and soil, the 
interim standards published on September 15, 1999 (64 FR 50218), will 
be used. All test results must be provided to the owner, together with 
a notice describing the owner's legal duty to disclose the results to 
tenants and buyers.
    (b) Pre-Hazard Control. A combined inspection and risk assessment 
is recommended. You should ensure that the results of the pre-hazard 
control investigation are sufficient to support hazard control 
decisions. When appropriate, you may elect to perform a lead hazard 
screen in lieu of an inspection or risk assessment.
    (c) Non-Identification of Lead Hazards from Paint, Dust, Soil. In 
the event you propose to conduct lead hazard control work without 
identification of lead hazards from paint, dust, and soil, you must 
fully justify the technical and other rationale for such a proposal. 
HUD must approve such proposals. Approval is subject to HUD 
environmental review under 24 CFR part 50.
    (d) Clearance Testing. Clearance dust testing must be conducted 
according to the HUD Guidelines. You are required to meet the interim 
post-hazard control dust-wipe test clearance thresholds at 24 CFR 
35.1320 published on September 15, 1999 (64 FR 50218). These standards 
are also in the application kit. Wipe tests shall be conducted by an 
appropriately certified individual who is independent of the lead 
hazard control contractor. Dust-wipe and soil samples, and any paint 
samples to be analyzed by a laboratory, must be analyzed by a 
laboratory recognized by the EPA National Lead Laboratory Accreditation 
Program (NLLAP). Units treated shall not be reoccupied until clearance 
is achieved.
    (2) Blood lead testing. Before lead hazard control work begins, 
each occupant who is under six years old must be tested for lead 
poisoning within the six months preceding the housing intervention. Any 
child with an elevated blood lead level must be referred for 
appropriate medical follow-up. The standards for such testing are 
described in the Centers for Disease Control and Prevention publication 
Preventing Lead Poisoning in Young Children (1991).
    (N) Cooperation With Related Research and Evaluation. You shall 
cooperate fully with any research or evaluation sponsored by HUD, CDC, 
EPA or other government agency and associated with this grant program, 
including preservation of project data and records and compiling 
requested information in formats provided by the researchers, 
evaluators or HUD. This also may include the compiling of certain 
relevant local demographic, dwelling unit, and participant data not 
contemplated in your original proposal. Participant data shall be 
subject to Privacy Act protection.
    (O) Data collection. You will be required to collect and maintain 
the data necessary to document the various lead hazard control methods 
used in order to determine the effectiveness and relative cost of these 
methods.
    (P) Section 3 Employment Opportunities. Please see the General 
Section of this SuperNOFA. The requirements of section 3 of the Housing 
and Urban Development Act of 1968 are applicable to the Lead-Based 
Paint Hazard Control Program.
    (Q) Replacing Existing Resources. Funds received under this grant 
program should not be used to replace existing community resources 
dedicated to any ongoing project.
    (R) Certifications and Assurances. You must include the 
certifications and assurances listed in the General Section of the 
SuperNOFA with your application.
    (S) Davis-Bacon Act. The Davis-Bacon Act does not apply to this 
program. However, if you use grant funds in conjunction with other 
Federal programs in which Davis-Bacon prevailing wage rates apply, then 
Davis-Bacon provisions would apply to the extent required under the 
other Federal programs.

V. Application Selection Process

    (A) Rating and Ranking. HUD intends to fund the highest ranked 
applications within the limits of funding, but reserves the right to 
advance other eligible applicants in funding rank. A decision to 
advance an applicant will be based on programs that: foster innovative 
local approaches or lead hazard control methods, or provide lead hazard 
control services to populations or communities that have high need (as 
measured by the ``Need'' factor for award) and have never received 
funding under this grant program.
    (B) Award Offers. In the selection process, once available funds 
have been allocated to meet the requested or negotiated amounts of the 
top eligible applicants, HUD reserves the right to offer any residual 
amount as partial funding to the next eligible applicant, provided HUD 
is satisfied that the residual amount is sufficient to support a 
viable, though reduced effort, by such applicant(s). If you are an 
applicant offered a reduced grant amount you will have a maximum of 
seven (7) calendar days to accept such a reduced award. If you fail to 
respond within the seven day limit, you shall be considered to have 
declined the award.
    (C) Budget. HUD will evaluate your proposed budget (for a 36 month 
period for previously unfunded applicants and a 30 month period for 
existing grantee applicants) to determine if it is reasonable, clearly 
justified, and consistent with the intended use of grant funds. HUD is 
not required to approve or fund all proposed activities. You may devote 
up to 36 months (30 months for existing grantee applicants) for the 
planning, implementation, and completion of lead hazard control 
activities. You must thoroughly

[[Page 9543]]

document and justify all budget categories and costs (Part B of 
Standard Form 424A) and all major tasks. Describe in detail the 
budgeted costs for each program element (major task) included in the 
overall plan (the program elements are: administration; program 
management; marketing, community awareness, education and outreach; 
lead hazard control (including testing); relocation; program evaluation 
(including data collection); and applied research).
    (D) Factors for Award Used to Evaluate and Rate Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are stated below. The maximum number of points to be awarded is 
102. This maximum includes two EZ/EC bonus points as described in the 
General Section of the SuperNOFA. Also, Section III(C)(2) of the 
General Section, which addresses a court-ordered consideration, is 
applicable to this program.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points for Previously Unfunded 
Applicants; 30 Points for Existing Grantees)

    This factor addresses your organizational capacity necessary to 
successfully implement the proposed activities in a timely manner. The 
rating of the ``applicant'' or the ``applicant's staff'' for technical 
merit or threshold compliance, unless otherwise specified, includes any 
community-based organizations, sub-contractors, consultants, sub-
recipients, and members of consortia which are firmly committed to your 
project. In rating this factor, HUD will consider:
    (1) Your recent, relevant and successful demonstrated experience 
(including governmental and community-based partners) to undertake 
eligible program activities. You must describe the knowledge and 
experience of the proposed overall project director and day-to-day 
program manager in planning and managing large and complex 
interdisciplinary programs, especially involving housing 
rehabilitation, public health, or environmental programs. You must 
demonstrate that you have sufficient personnel or will be able to 
quickly retain qualified experts or professionals, to immediately begin 
your proposed work program and to perform your proposed activities in a 
timely and effective fashion. In the narrative response for this 
factor, you should include information on your program staff, their 
experience, commitment to the program, salary information, and position 
titles. Resumes (for up to three key personnel), position descriptions, 
and a clearly identified organizational chart for the lead hazard 
control grant program effort must be included in an appendix. Indicate 
the percentage of time that key personnel will devote to your project. 
To receive maximum points, your day-to-day program manager must be 
dedicated for a minimum of 75% of the time. Describe how other 
principal components of your agency or other organizations will 
participate in or otherwise support the grant program. You may 
demonstrate capacity by thoroughly describing your prior experience in 
initiating and implementing lead hazard control efforts and/or related 
environmental, health, or housing projects. You should indicate how 
this prior experience will be used in carrying out your proposed 
comprehensive Lead-Based Paint Hazard Control Grant Program.
    (2) If you have received previous HUD Lead-Based Paint Hazard 
Control Grant funding, your past experience will be evaluated in terms 
of progress under the most recent previous grant. You must provide a 
description of your progress in implementing your most recent grant 
award within the period of performance, including the total number of 
housing units completed as of the most recent calendar quarter.

Rating Factor 2: Needs/Extent of the Problem (20 Points)

    This factor addresses the extent to which there is a need for the 
proposed program activities to address a documented problem in the 
target area.
    (1) Document a critical level of need for your proposed activities 
in the area where activities will be carried out. Since an objective of 
the program is to prevent at-risk children from being poisoned, 
specific attention must be paid to documenting such need as it applies 
to the targeted areas, rather than the entire locality or state. If the 
target area is an entire locality or state, then documenting need at 
this level is appropriate. So the threat to your jurisdiction's 
children can be thoroughly assessed, you should describe the need in 
both the target areas as well as the entire jurisdiction.
    (2) Document the following:
    (a) Numbers and percentages of children with elevated blood lead 
levels, particularly in the areas targeted in your proposal;
    (b) Economic and demographic data relevant to the target area, 
including poverty and unemployment rates;
    (c) Housing market data available from HUD, or other data sources, 
including the Consolidated Plan/Analysis of Impediments, Public Housing 
Authority's Five Year Comprehensive Plan, State or local Welfare 
Department's Welfare Reform Plan; or
    (3) To the extent that statistics and other data contained in your 
community's Consolidated Plan or Analysis of Impediments to Fair 
Housing Choice (AI) support the extent of the problem, you should 
include references to the Consolidated Plan and the AI in your 
response.
    (4) Provide information on your jurisdiction, and the areas 
targeted for the lead hazard control activities (data may be available 
in your currently approved Consolidated Plan, derived from 1990 Census 
Data, or special local studies):
    (a) The age and condition of housing;
    (b) The number and percentage of very-low (income less than 50% of 
the area median) and low (income less than 80% of the area median) 
income families, as determined by HUD, with adjustments for smaller and 
larger families;
    (c) The number and proportion of children under six years (72 
months) of age at risk of lead poisoning;
    (d) The extent of the lead poisoning problem in children under six 
years of age in target areas and the overall jurisdiction; and
    (e) Other socioeconomic or environmental factors that demonstrate a 
need to establish or continue lead hazard control work in your 
jurisdiction.
    (5) You also must provide documentation of the priority that the 
community's Consolidated Plan and Analysis of Impediments has placed on 
addressing the needs you described.
    (6) If your application addresses needs that are in the 
Consolidated Plan, Analysis of Impediments to Fair Housing Choice, 
court orders or consent decrees, settlements, conciliation agreements, 
and voluntary compliance agreements, you will receive more points than 
applicants that do not relate their program to identified needs.
    (7) For you to receive maximum points for this factor, there must 
be a direct relationship between your proposed activities, community 
needs, and the purpose of the program funding. If the data presented in 
your response does not specifically represent your target area, you 
should discuss why the target areas were proposed.

[[Page 9544]]

Rating Factor 3: Soundness of Approach (45 Points for Previously 
Unfunded Applicants and 30 Points for Existing Grantees)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. You should present information on your proposed 
lead-based paint hazard control program and describe how it will 
satisfy the identified needs. To the extent possible, describe a 
comprehensive strategy to address the need to protect targeted 
neighborhoods rather than individual units or homes. Your response to 
this factor must include the following elements:
    (1) Lead Hazard Control Strategy (37 points for previously unfunded 
applicants; 22 points for existing grantees). Describe your strategy to 
plan and execute your lead hazard control grant program. You should 
provide information on:
    (a) Implementing a Lead Hazard Control Program (16 points for 
previously unfunded applicants; 8 points for existing grantees). 
Describe how you will implement the strategy for your proposed lead 
hazard control program. The description must include information on:
    (i) How your previous experience in reducing or eliminating lead-
based paint hazards in conjunction with other Federal, State or locally 
funded programs will facilitate such implementation.
    (ii) Your overall strategy for the identification, selection, 
prioritization, and enrollment of units of eligible privately-owned 
housing for lead hazard control. Describe the proposed activities that 
will occur in an EZ/EC and how they will benefit the residents of those 
zones or communities. Provide estimates of the total number of owner 
occupied and/or rental units which will receive lead hazard control. 
You should describe how you will respond to the needs of EBL children 
located outside the targeted areas.
    (iii) The degree to which the work plan focuses on eligible 
privately-owned housing units with children under six years (72 months) 
old. Describe your planned approach to control lead hazards before 
children are poisoned and/or to control lead hazards in units where 
children have already been identified with an elevated blood lead 
level. Describe your process for referring and tracking children with 
elevated blood lead levels for medical case management. Provide 
estimates of the number of children you will assist through this 
program.
    (iv) The financing strategy, including eligibility requirements, 
terms, conditions, and amounts available, you will use in carrying out 
lead hazard control activities. You must discuss the way these funds 
will be administered (e.g. use of grants, deferred loans, forgivable 
loans, other resources, private sector financing, etc.), as well as the 
agency that will administer the financing process. Describe any 
matching requirements proposed for assistance to investor-owned 
properties. Investor-owner match that is a program requirement should 
also be reflected in your response to Factor 4.
    (v) You should describe how your proposed program will satisfy the 
stated needs or will assist in addressing the impediments in the AI. 
Describe how your proposed program will further and support the policy 
priorities of the Department, including promoting healthy homes; 
providing opportunities for self-sufficiency, particularly for persons 
enrolled in welfare to work programs; or providing educational and job 
training opportunities. Describe how your strategy will provide long-
term benefits to families with children under six years of age.
    (b) Lead Hazard Control Outreach and Community Involvement (5 
points for all applicants). Your application must describe:
    (i) Proposed methods of community education. These may include 
community awareness, education, training, and outreach programs in 
support of the work plan and objectives. This description should 
include general and/or targeted efforts undertaken to assist your 
program in reducing lead exposure. Programs should be culturally 
sensitive, targeted, and linguistically appropriate. Upon request, this 
would include making materials available in alternative formats to 
persons with disabilities (e.g., Braille, audio, large type), and in 
other languages common to the community to the extent possible.
    (ii) How you intend to involve neighborhood or community-based 
organizations in your proposed activities. Your activities may include 
outreach, community education, marketing, inspection (including dust 
lead testing), and the conduct of lead hazard control activities. HUD 
will evaluate the level of substantive involvement during the review 
process.
    (iii) Outreach strategies and methodologies to affirmatively 
further fair housing and provide lead-safe housing to all segments of 
the population: homeowners, owners of rental properties, and tenants. 
Once the population to which outreach will be ``targeted'' is 
identified, outreach strategies directed specifically to them should be 
multifaceted. This criterion goes beyond testing and hazard control; it 
concerns what happens to the units after lead hazard control activities 
are completed and tries to ensure, for the long term, that all families 
will have adequate, lead-safe housing choices.
    (c) Technical Approach for Conducting Lead Hazard Control 
Activities (16 points for previously unfunded applicants; 9 points for 
existing grantees).
    (i) Describe your process for the conduct of risk assessments and/
or inspections in units of eligible privately-owned housing in which 
you will undertake lead hazard control. You may include housing which 
has a valid risk assessment or inspection which had been previously 
performed by certified inspectors or risk assessors, in accordance with 
the HUD Guidelines and identified with lead-based paint hazards.
    (ii) Describe your testing methods, schedule, and costs for 
performing blood lead testing, risk assessments and/or inspections to 
be used. If you propose to use a more restrictive standard than the HUD 
thresholds (e.g., 0.5% or 1.0 mg/cm2), identify the lead-
based paint threshold for undertaking lead hazard control which will be 
used. All testing shall be performed in accordance with the HUD 
Guidelines.
    (iii) Describe the lead hazard control methods you will undertake 
and the number of units you will treat for each method selected 
(interim controls, hazard abatement, and complete abatement). Provide 
an estimate of the per unit costs (and a basis for those estimates) for 
each lead hazard control method proposed and a schedule for initiating 
and completing lead hazard control work in the selected units. Discuss 
efforts to incorporate cost-effective lead hazard control methods (if 
you propose complete abatement, provide HUD with a detailed rationale 
for that decision). Explain your cost estimates, providing detail on 
how the estimates were developed, with particular references to cost 
effectiveness.
    (iv) Schedule. Describe your expected schedule for the overall 
project. Discuss when you plan to complete planning and receive 
approval of your workplan; perform lead hazard control on your first 
unit; and complete lead hazard control on all units in your workplan 
and grant agreement.
    Describe the schedule for a typical unit which will receive lead 
hazard control. Discuss the duration for enrollment and qualification;

[[Page 9545]]

evaluation; hazard control; and clearance.
    (v) Describe how you will integrate proposed lead hazard control 
activities with rehabilitation activities.
    (vi) Describe your contracting process, including development of 
specifications for selected lead hazard control methods. Describe the 
management processes you will use to ensure the cost-effectiveness of 
your lead hazard control methods. Your application must include a 
discussion of the contracting process for the conduct of lead hazard 
control activities in the selected units.
    (vii) Describe your plan for occupant protection or the temporary 
relocation of occupants of units selected for lead hazard control work. 
You should address the use of safe houses and other housing 
arrangements, storage of household goods, stipends, incentives, etc.
    (viii) If you are an existing grantee, you must describe the 
actions you will take to ensure that your proposed lead hazard control 
work will occur concurrently with other ongoing HUD lead hazard control 
grant work. Your application must provide the detail necessary to 
assure HUD that you will implement the proposed work immediately and 
perform it concurrently with existing lead hazard control grant work.
    (ix) If you are an existing grantee, you must describe your 
progress in implementing your most recent lead hazard control grant 
award. If the production achieved is below the performance values 
(percentages of units completed) provided in the application kit, and 
no changes are proposed, you should explain why the strategy in the 
earlier grant remains appropriate. Failure to provide this discussion 
will result in reduced points for this subfactor.
    (2) Economic Opportunity (4 points for all applicants). Describe 
the ways you will train individuals and contractors in housing related 
trades, such as painters, remodelers, renovators, maintenance 
personnel, and rehabilitation specialists, in lead-safe practices. 
Describe how you will integrate such practices into lead hazard control 
activities.
    Describe the methods to be used to provide economic opportunities 
for residents and businesses in the community. This discussion should 
include information on how you will promote training, employment, 
business development, and contract opportunities as part of your lead 
hazard control program. Describe how you will accomplish the 
requirements of section 3 of the Housing and Urban Development Act of 
1968 to give preference to hiring of low- and very low-income persons 
or contracting with businesses owned by or employing low-and very low-
income persons.
    (3) Program Evaluation, Data Collection, and Research (4 points for 
all applicants).
    (a) Identify and discuss the specific methods and measures you will 
use (in addition to HUD reporting requirements) to measure progress, 
evaluate program effectiveness, and identify program changes necessary 
to improve performance. Describe how you will obtain, document and 
report the information.
    (b) Provide a detailed description of any proposed applied research 
activities. Describe the objectives, methodology and impact at the 
local level of the proposed research activities.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to obtain other community 
resources (financing is a community resource) that can be combined with 
HUD's program resources to achieve program objectives.
    (1) In evaluating this factor, HUD will consider the extent to 
which you have established working partnerships with other entities to 
get additional resources or commitments to increase the effectiveness 
of the proposed program activities. Resources may include cash or in-
kind contributions (such as services or equipment) allocated to the 
proposed program. Resources may be provided by governmental entities, 
public or private organizations, or other entities partnering with you. 
Contractual relationships with community-based organizations are a 
requirement for State and local government applicants. Applicants which 
do not have such partnerships at the time of application will be 
required to establish partnership relationships with community-based 
organizations immediately following notification of grant award (this 
requirement does not apply to you if you are an Indian Tribe 
applicant). You also may partner with other program funding recipients 
to coordinate the use of resources in your target area.
    (2) You should detail any activities to increase the understanding 
of lead poisoning prevention activities in your community. This could 
include partnerships with childhood lead screening programs or 
collaboration with ongoing health, housing or environmental research 
efforts which could result in a greater availability of resources. 
Please be aware that a separate funding notice on Lead Hazard Research 
is part of this SuperNOFA.
    (3) Matching funds must be shown to be specifically dedicated to 
and integrated into supporting the lead-based paint hazard control 
program. You may not include funding from any Federally funded program 
(except the CDBG program) as part of your required 10% match. Other 
resources committed to the program that exceed the required 10% match 
will provide points for this rating factor and may include funds from 
other Federally funded programs. You must support each source of 
contributions, cash or in-kind, both for the required minimum and 
additional amounts, by a letter of commitment from the contributing 
entity, whether a public or private source. This letter must describe 
the contributed resources that you will use in the program. Staff in-
kind contributions should be given a monetary value. If you do not 
provide letters specifying details and the amount of the actual 
contributions, those contributions will not be counted. Matching 
contributions required of investor-owners may be included as part of 
your match. Documentation and estimates for the amount of the match 
should be provided in the annex for this factor.
    (4) You must provide evidence of leveraging or partnerships by 
including letters of firm commitment, memoranda of understanding, or 
agreements to participate from those entities identified as partners in 
your application. Each letter of commitment, memorandum of 
understanding, or agreement to participate should include the 
organization's name, the proposed level of commitment and 
responsibilities as they relate to your proposed program. The 
commitment must be signed by an official of the organization legally 
able to make commitments on behalf of the organization. Describe the 
role of community-based organizations in specific program activities, 
such as hazard evaluation and control; monitoring; and awareness, 
education, and outreach within the community.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which your program reflects a 
coordinated, community-based process of identifying needs and building 
a system to address the needs by using available HUD and other 
community resources. In evaluating this factor, HUD will consider how 
you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations to best support and coordinate all known activities 
and the

[[Page 9546]]

specific steps you will take to share information on solutions and 
outcomes with others. Any written agreements or memoranda of 
understanding in place or proposed should be described. You should, at 
a minimum, describe the activities, in your metropolitan area or 
region, of other HUD Lead-Based Paint Hazard Control grantees, CDC 
Childhood Lead Poisoning Prevention grantees, HUD or EPA Lead Outreach 
and Education grantees, and other programs which are addressing lead 
poisoning prevention needs. Coordination also includes cooperation with 
neighboring or regional jurisdictions to facilitate the implementation 
of lead-based paint hazard control activities in those jurisdictions.
    (2) Become actively involved (or if not currently active, the 
specific steps it will take to become active) in your community's 
Consolidated Planning and Analysis of Impediments process established 
to identify and address a need/problem that is related in whole, or 
part, directly, or indirectly to the activities you propose.
    (3) Developed linkages, or the specific steps you will take to 
develop linkages with other activities, programs or projects through 
meetings, information networks, planning processes or other mechanisms 
to coordinate your activities so solutions are comprehensive, including 
linkages with:
    (a) Other HUD funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other HUD, Federal, State or locally funded activities, 
including those proposed or on-going in the community(ies) served.
    (4) Coordinated and integrated lead hazard control work with 
housing rehabilitation, housing and health codes, other related housing 
programs, or including work of community development corporations and 
childhood lead poisoning prevention programs.
    (a) Described the degree to which lead hazard control work will be 
done in conjunction with other housing-related activities (i.e., 
rehabilitation, weatherization, correction of code violations, and 
other similar work), and your plan for the integration and coordination 
of lead hazard control activities into those activities.
    (b) Described plans to incorporate lead-based paint maintenance, 
essential maintenance practices, and hazard control standards with the 
applicable housing codes and health regulations.
    (c) Described plans to generate and use public subsidies or other 
resources (such as revolving loan funds) to finance future lead hazard 
control activities.
    (d) Described plans to develop public-private lending partnerships 
to finance lead hazard control as part of acquisition and 
rehabilitation financing including the use of Community Reinvestment 
Act ``credits'' by lending institutions.
    (e) Evidenced firm commitments from participating organizations by 
describing:
    (i) The name of each organization;
    (ii) The capabilities or focus of each organization;
    (iii) The proposed level of effort of each organization; and
    (iv) The resources and responsibilities of each organization, 
including the applicant's clearly proposed plans for the training and 
employment of low-income residents.
    (f) Described specific plans and objectives to implement a registry 
of lead-safe housing into your community's planning. Such plans could 
include strategies on how the information would be managed and made 
available to the public so that families (particularly low income 
families with children under age six) can make informed decisions 
regarding their housing options. Existing grantee applicants must 
address any registry of lead-safe housing and specifically discuss the 
availability, amount of information contained, and the use by members 
of the community. Describe your plans to develop and maintain a 
registry of publicly available information on lead-safe units.
    (g) Detailed the extent to which the policy of affirmatively 
furthering fair housing for all segments of the population is advanced 
by the proposed activities. Detail how your proposed work plan will 
support the community's efforts to further housing choices for all 
segments of the population. If you have an existing grant, you should 
discuss activities which have contributed to enhanced lead safe housing 
opportunities to all segments of the population.
    (h) Described plans to adapt or amend statutes, regulations, or 
policies which will more fully integrate lead hazard control into 
community policies and priorities.
    (5) Describe how the lead hazard control efforts which are focused 
in the Empowerment Zone/Enterprise Community will directly benefit the 
residents or community in that EC/EZ.
    (6) Coordinated and cooperated with other organizations which will 
lead to a reduction in lead risks to community residents. This could 
include such activities as free training on lead-safe repainting and 
remodeling; promotion of essential maintenance practices; and provision 
of lead dust testing to low-income, privately-owned homes which may not 
receive lead hazard control assistance under this grant program.

VI. Application Submission Requirements

    (A) Applicant Information. (1) Application Format. The application 
narrative response to the Rating Factors is limited to a maximum of 25 
pages. Your response must be typewritten on one (1) side only on 8\1/
2\'' x 11'' paper using a 12 point (minimum) font with not less than 
\3/4\'' margins on all sides. Appendices should be referenced and 
discussed in the narrative response. Materials provided in the 
appendices should directly apply to the rating factor narrative.
    (2) Application Checklist. Your application must contain the items 
listed in this Section V(B). These items include the standard forms, 
certifications, and assurances listed in the General Section of the 
SuperNOFA that are applicable to this funding (collectively, referred 
to as the ``standard forms''). The standard forms can be found in 
Appendix B to the General Section of the SuperNOFA. The remaining 
application items that are forms (i.e., excluding such items as 
narratives, letters), referred to as the ``non-standard forms'' can be 
found as Appendix A to this program section of the SuperNOFA. The 
application items are as follows:
    (a) Transmittal Letter that identifies ``the applicant'' (or 
applicants) submitting the application, the dollar amount requested, 
what the program funds are requested for, and the nature of involvement 
with community-based organizations.
    (b) The name, mailing address, telephone number, and principal 
contact person of ``the applicant.''
    If you have consortium associates, sub-grantees, partners, major 
subcontractors, joint venture participants, or others contributing 
resources to your project, you must provide similar information for 
each of these partners.
    (c) Checklist and Submission Table of Contents.
    (d) Applicant Abstract. An abstract describing the goals and 
objectives of your proposed program (2 page maximum).
    (e) Standard Form 424, Application for Federal Assistance.
    (f) HUD 424M, Federal Assistance Funding Matrix.
    (g) A detailed budget (total budget is the federal share and 
matching

[[Page 9547]]

contribution) with supporting cost justifications for all budget 
categories of your grant request. You must provide a separate estimate 
for the overall grant management element (Administrative Costs), which 
is more fully defined in the application kit for this program section 
of the SuperNOFA. The budget shall include not more than 10% for 
administrative costs and not less than 90% for direct project elements. 
A minimum of 60% of the total Federal amount requested must be 
dedicated to direct lead hazard control activities. In the event of a 
discrepancy between grant amounts requested in various sections of the 
application, the amount you indicate on the SF-424 will govern as the 
correct value.
    (h) An itemized breakout (using the SF-424A) of your required 
matching contribution, including:

--Values placed on donated in-kind services;
--Letters or other evidence of commitment from donors; and
-- The amounts and sources of contributed resources.

    (i) Standard Forms SF-LLL and SF-424B, and HUD Forms 2880, 2990, 
2991, 2992, 2993, 2994, 50070 and 50071.
    (j) Memoranda of Understanding or Agreement, letters of commitment 
or other documentation describing the proposed roles of agencies, local 
broad-based task forces, participating community or neighborhood-based 
groups or organizations, local businesses, and others working with the 
program.
    (k) A copy of the lead hazard control element included in your 
current program year's Consolidated Plan. You should include the 
discussion of any lead-based paint issues in your jurisdiction's 
Analysis of Impediments, particularly as it addresses your target 
areas.
    (l) Narrative responses to the five rating factors.
    (B) Proposed Activities. All applications must, at a minimum, 
describe the proposed activities in the narrative responses to the 
rating factors. Your narrative statement must be numbered in accordance 
with each factor for award (Rating Factors 1 through 5).

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with HUD regulations in 24 CFR part 58, recipients of 
lead-based paint hazard control grants will assume Federal 
environmental review responsibilities. Recipients of a grant under this 
funded program will be given guidance in these responsibilities.

IX. Authority

    The Lead-Based Paint Hazard Control Program is authorized by 
section 1011 of the Residential Lead-Based Paint Hazard Reduction Act 
of 1992 (Title X of the Housing and Community Development Act of 1992).

BILLING CODE 4210-32-P

[[Page 9548]]

APPENDIX A

    The non-standard forms, which follow, are required for your Lead-
Based Paint Hazard Control Program application. They are the Checklist 
and Submission Table of Contents and the Total Budget (Federal Share 
and Matching Contribution, including instructions). 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9559]]



NOTICE OF FUNDING AVAILABILITY FOR RESEARCH TO IMPROVE THE 
EVALUATION AND CONTROL OF RESIDENTIAL LEAD-BASED PAINT HAZARDS 
(LEAD HAZARD CONTROL RESEARCH)

Program Overview

    Purpose of the Program. To fund research to improve methods for 
detecting and controlling residential lead-based paint hazards.
    Available Funds. Approximately $1.5 million.
    Eligible Applicants. Academic and not-for-profit institutions 
located in the U.S., and State and local governments. For-profit firms 
also are eligible; however, they are not allowed to earn a fee.
    Application Deadline. May 17, 2000.
    Match. None required.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit an original and four copies of your 
completed application on or before 12:00 midnight, Eastern time, on May 
17, 2000, at the address shown below.
    See the General Section of this SuperNOFA for specific procedures 
that you must follow for the form of application submission (e.g., 
mailed applications, express mail, overnight delivery, or hand 
carried).
    Address for Submitting Applications. For Mailed Applications. The 
address for mailed applications is: Department of Housing and Urban 
Development, Office of Lead Hazard Control, 451 Seventh Street, SW, 
Room P3206, Washington, DC 20410.
    For Overnight/Express Mail or Hand Carried Applications. The 
address for applications that are hand carried or sent via overnight/
express mail delivery is: HUD Office of Lead Hazard Control, Suite 
3206, 490 East L'Enfant Plaza, SW, Washington, DC 20024. Hand carried 
applications will be accepted at this address (490 East L'Enfant) up 
until 5:00 pm on the application due date.
    After 5:00 pm on the application due date, hand carried 
applications will be accepted until 12:00 midnight, in the South Lobby 
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
    For Application Kits. You may obtain an application kit from the 
SuperNOFA Information Center at 1-800-HUD-8929. Persons with speech or 
hearing impairments may call the Center's TTY number at 1-800-HUD-2209. 
When requesting an application kit, please refer to the Lead Hazard 
Control Research grant program. Please be sure to provide your name, 
address (including zip code), and telephone number (including area 
code).
    For Further Information and Technical Assistance. You may contact: 
Mr. Eugene Pinzer, Office of Lead Hazard Control, at the address above; 
telephone (202) 755-1785, extension 120 (this is not toll-free 
numbers). Hearing- and speech-impaired persons may access the above 
telephone number via TTY by calling the toll-free Federal Information 
Relay Service at 1-800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $1.5 million will be available to fund research 
proposals in FY 2000. Grants or cooperative agreements will be awarded 
on a competitive basis according to the Rating Factors described in 
Section V(B). HUD anticipates awarding three to five grants ranging 
from approximately $200,000 to approximately $600,000.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. Background. HUD has been actively engaged 
in a number of activities relating to lead-based paint as a result of 
the Lead-Based Paint Poisoning Prevention Act (LBPPPA) of 1971, as 
amended, 42 U.S.C. 4801-4846. Sections 1051 and 1052 of the Lead Based 
Paint Hazard Reduction Act of 1992 (``Title X'') (42 U.S.C. 4854 and 
4854a) state that the Secretary of HUD, in cooperation with other 
Federal agencies, shall conduct research on specific topics related to 
the evaluation and subsequent mitigation of residential lead hazards. 
This research program also implements, in part, HUD's Departmental 
Strategy for Achieving Environmental Justice pursuant to Executive 
Order 12898 (Federal Actions to Address Environmental Justice in 
Minority Populations and Low-Income Populations).
    The HUD-sponsored research also responds to recommendations that 
were made by the Task Force on Lead-Based Paint Hazard Reduction and 
Financing, which was established pursuant to section 1015 of Title X. 
The Task Force presented its final report to HUD and the Environmental 
Protection Agency (EPA) in July 1995. The Task Force Report, entitled 
``Putting the Pieces Together: Controlling Lead Hazards in the Nation's 
Housing'' (see Appendix A of this research program section of the 
SuperNOFA), recommended research be conducted on a number of key topics 
to address significant gaps in our knowledge of lead exposure and 
hazard control.
    Research findings will be used in part to update HUD's Guidelines 
for the Evaluation and Control of Lead-Based Paint Hazards in Housing 
(``Guidelines''), which were published in June, 1995 and amended in 
September, 1997. The Guidelines are a report on state-of-the-art 
procedures for all aspects of lead-based paint hazard evaluation and 
control. The Guidelines reflect the Title X framework for lead hazard 
control, which distinguishes three types of control measures: interim 
controls, abatement of lead-based paint hazards, and complete abatement 
of all lead-based paint. Interim controls are designed to address 
hazards quickly, inexpensively, and temporarily, while abatement is 
intended to produce a permanent solution. While the Guidelines 
recommend procedures that are effective in identifying and controlling 
lead hazards while protecting the health of abatement workers and 
occupants, HUD recognizes that targeted research and field experience 
will result in future changes to the Guidelines. For availability of 
the Guidelines, see Appendix A of this research program section of the 
SuperNOFA.
    (B) Eligible Applicants. Academic and not-for-profit institutions 
located in the U.S., and State and local governments are eligible under 
all existing authorizations. For-profit firms also are eligible; 
however, they are not allowed to earn a fee (i.e., no profit can be 
made from the project). Federal agencies and Federal employees are not 
eligible to submit applications. The General Section of the SuperNOFA 
provides additional eligibility requirements.
    (C) Eligible Activities. (1) General Goals and Objectives. The 
overall goal of this research is to gain knowledge to improve the 
efficacy and cost-effectiveness of methods for lead-based paint hazard 
evaluation and control. A table of current lead-related research 
projects being funded by HUD can be found in Appendix B. HUD is 
interested in the following research topics:

[[Page 9560]]

    (a) Evaluation of Lead Hazard Control Methodologies;

--Contribution of Exterior Lead Sources to Lead in Interior Dust;

    (b) Low-Cost Analytical Techniques for the Rapid, On-Site 
Determination of Lead in Dust;
    (c) New or Novel Methods of LBP Hazard Evaluation or Control, or 
other areas of research that are consistent with the overall goals of 
this research program section of the SuperNOFA.
    Research objectives for the research topics listed above are 
provided separately in the expanded discussion of these topic areas 
that follows in Section III(C)(2). Although HUD is soliciting proposals 
for research on these specific topics, the Department will also 
consider funding applications for research on topics which are relevant 
under the overall goals and objectives of this research, as described 
above. In such instances, the applicant should describe how the 
proposed research activity addresses these overall goals and 
objectives.
    (2) Background and Objectives for Specific Research Topic Areas.
    (a) Evaluation of Lead Hazard Control Methodologies.
    (i) Contributions of Exterior Lead Sources to Lead in Interior 
Dust. There is general consensus that lead in interior house dust is 
the primary pathway of lead exposure for young children. In order to 
reduce the amount of lead in interior dust, all significant lead 
sources must be identified and remediated. Various methods have been 
used to identify the major sources and pathways of lead in house dust, 
including epidemiological studies and direct tracing of lead from 
potential sources based on unique physical/chemical characteristics of 
the lead from each source. Most of the epidemiological studies that 
have examined this question have concluded that lead-based paint 
appeared to be the major contributor of lead in interior dust (e.g., 
Bornschein et al., 1990; Stark et al., 1982; Schwartz and Levin, 1991; 
Greene et al. 1992). Lead tracer studies have most commonly measured 
particle morphology, accompanying elements, or lead isotopic 
composition. These studies have been limited; several have identified 
lead-based paint as the primary contributor to lead particulate (Hunt 
et al., 1992; Yaffe, et al., 1983). The feasibility of using tracer 
methods has improved as more cost-effective technologies have been 
developed. For example, lead isotope ratios can now be measured with 
acceptable accuracy and precision by inductively coupled plasma mass 
spectrometry, as opposed to the more laborious thermal ionization 
method (Gwiazda, et al., 1998; Woolard, et al., 1998).
    The extent to which lead in exterior dust and soil can contribute 
to the lead content of interior dust has not been quantified. There may 
be a seasonal fluctuation in dust-lead loading on interior surfaces, 
especially floors (USEPA 1995; National Center for Lead Safe Housing, 
1997). In temperate climates, seasonal variations in interior dust-lead 
levels may be related to greater opportunity for exterior leaded dust 
to be blown or tracked into homes in warmer seasons (e.g., open 
windows, more frequent in-and-out foot traffic). The magnitude of the 
contribution of exterior lead sources to lead in interior dust may be 
related to: exterior lead-based paint, climate, soil type, soil-lead 
concentration, extent of ground cover, housing characteristics, and the 
behavior of occupants.
    Applicants proposing research in this topic area should consider 
the efficiencies that might be gained by working cooperatively with 
some of the recipients of HUD lead hazard control grants, who are 
widely distributed throughout the U.S.
    (ii) Goals and Objectives. HUD's specific goals and objectives for 
this area of research include:
     Estimate the relative contribution of exterior lead 
sources to lead dust on interior surfaces, identifying any seasonal 
changes in this pattern.
     Identify geographic differences in the contribution of 
exterior lead sources to interior dust-lead and any seasonal changes in 
this contribution.
     Evaluate methods to reduce the migration of lead from 
exterior sources into the home.
     Identify factors that are predictive of the lead content 
of exterior dust and soil and the fraction of exterior-derived lead in 
interior dust.
    (b) Low-Cost Analytical Techniques for the Rapid Field 
Determination of Lead in Dust. Develop an inexpensive and easy to use 
technique to determine the lead level in house dust, with particular 
applicability to the range of risk assessment and clearance (40-800 
g/ft \2\) for HUD-associated projects. Inexpensive means under 
approximately $1000-1500, with each analysis, including pro rata costs 
of consumables, blanks, standards, etc., under $10-20. Consideration 
will also be given if it can be shown that amortized cost of the 
equipment is low or that average cost per analysis is low assuming a 
few hundred analyses per year. Easy to use means requiring one person 
with a high school degree to operate, and requiring under 8 hours 
operator's training to meet the performance criteria cited below. Rapid 
means that results could be available in 15 minutes to a few hours, or 
that a number of samples could be processed simultaneously so that 
results are available in a few hours. Optionally, address how the same 
device (with adapters, if needed) could be used to determine lead in 
paint (with respect to 1 mg/cm \2\ or 0.5% by weight), lead dust in air 
(with respect to 30-50 g/m \3\), after collection on a 
membrane filter, and/or the lead content of soil (with respect to 200-
2000 ppm). Performance criteria for the device will include 
20% precision at 95% confidence for measurements from 0.5 
to 2.0 times the levels of interest cited above. Establish and validate 
any necessary procedures, such as extraction and/or digestion, that 
would work well with the field device/procedure. Examine old technology 
(e.g., colorimetric tests, titrimetric procedures) as well as newer 
techniques.
    Consider the safety and environmental impacts of the procedure, 
particularly as used in the field. Comparatively recent developments 
have introduced for consideration the use of a field-portable anodic 
stripping voltammetry (ASV) device for the determination of lead in 
paint, lead dust on wipes, or lead in air (after collection on a 
membrane filter). Similarly, portable field x-ray fluorescence 
spectrometers (XRF) have been used to determine lead dust on dust wipes 
or the lead content of soil using a special holder. Neither of these 
techniques has yet been widely accepted or used in the field by 
practicing risk assessors. Of course, XRF is the most common method for 
inspectors to determine the presence of lead-based paint (LBP). There 
remains a need to introduce and develop a relatively low-cost, precise, 
accurate, and rapid technique to determine the level of lead dust on a 
dust wipe, particularly as a clearance determination where otherwise a 
contractor and crew may have to wait a day or more for a clearance 
determination to be reported by a laboratory. Such a method for 
determining lead content on a dust wipe could also serve as a good 
``screening'' tool after LBP abatement or other lead hazard control 
activities to determine if sufficient cleaning has been performed prior 
to proceeding to full clearance determinations using dust wipes and 
laboratory analyses.
    We invite the consideration and evaluation of all other techniques, 
including classical analytical techniques, that may become a low-cost,

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accurate, precise and rapid method for the determination of lead in the 
field. The new or novel application may equally apply to the 
determination of lead in paint, lead in air, or lead in soil, but these 
additional uses are not as important. Please refer to some of the 
references in Appendix A for discussion of ASV, colorimetric tests, and 
reflectometer tests.
    (c) New or Novel Methods of LBP Hazard Evaluation or Control, or 
Other Areas of Research that are Consistent with the Overall Goals of 
this Research Program Section of the SuperNOFA.
    You may address one or more of the research topic areas within your 
proposal, or submit separate applications for different topic areas. 
Projects need not address all of the objectives within a given topic 
area.
    (i) Identify and evaluate new methods and/or techniques for LBP 
hazard control. Identify materials and/or procedures that may be used 
for abatement or for interim controls. Show the potential utility of 
these methods for lead hazard control and risk reduction. Evaluate 
critical elements and potential weaknesses of the methods or 
techniques, and address how to minimize the effect of each critical 
element and/or eliminate or mitigate each weakness. Demonstrate where 
and how these methods have been applied and tested, and/or perform 
demonstration activities. Illustrate the results obtained, and the 
costs involved. Recommend cost-effective changes to the Program for 
inclusion in future HUD lead hazard control grants, and for possible 
inclusion in future revisions to the Guidelines.
    (ii) Evaluate the different programs used by the communities 
receiving HUD lead hazard control grants and determine which activities 
produce the greatest number of low-income child-years in treated units.
    HUD believes there is a need to expand the possible alternatives to 
consider when evaluating or addressing the reduction of LBP hazards. 
Novel techniques and new ideas are hereby solicited to be used in a 
nationwide program to reduce childhood lead poisoning through the 
reduction and control of LBP hazards. Such techniques may include one 
or more of the following:
     Novel techniques or materials for paint film 
stabilization; as defined in the HUD regulation published Sept. 15, 
1999, paint stabilization means repairing any physical defect in the 
substrate of a painted surface that is causing paint deterioration, 
removing loose paint and other material from the surface to be treated, 
and applying a new protective coating or paint.
     Reduction of bio-availability of lead in dust;
     An approach to reduce the formation of leaded dust from 
friction surfaces;
     Any other technique that may be used to reduce LBP 
hazards.
    Additional ideas will be considered with an open mind toward novel 
techniques and applications.
    Although HUD is soliciting proposals for research on some specific 
topics, the Department will also consider funding applications for 
research on topics which are relevant under the overall goals and 
objectives of this research NOFA, as described above. In such 
instances, the applicant should describe how the proposed research 
activity addresses these overall goals and objectives.

IV. Program Requirements.

    (A) Applicable Requirements. Please refer to Section II of the 
General Section of the SuperNOFA, Requirements and Procedures 
Applicable to All Programs. The threshold requirements are listed in 
Section II.B of the General Section of this SuperNOFA.
    (B) Certifications and Assurances. In addition to the 
certifications mentioned in the Section II(G) of the General Section of 
the SuperNOFA, you must comply with the following:
    (1) All relevant State and Federal regulations regarding exposure 
to and proper disposal of hazardous materials.
    (2) Any blood lead testing, blood lead level test results, and 
medical referral and follow-up for children under six years of age will 
be conducted according to the recommendations of the Centers for 
Disease Control and Prevention (CDC) (Preventing Lead Poisoning in 
Young Children, See Appendix A of this research program section of the 
SuperNOFA);
    (3) HUD research grant funds will not replace existing resources 
dedicated to any ongoing project; and
    (4) Laboratory analysis covered by the National Lead Laboratory 
Accreditation Program (NLLAP) is conducted by a laboratory recognized 
under the program.
    (5) Human research subjects will be protected from research risks 
in conformance with Federal Policy for the Protection of Human 
Subjects, codified by HUD at 24 CFR part 60.

V. Application Selection Process

    (A) Submitting Applications for Grants. Applications that meet all 
of the threshold requirements will be eligible to be scored and ranked, 
based on the total number of points allocated for each of the rating 
factors described below in Section V(B) of this program section of the 
SuperNOFA. Your application must receive a total score of at least 65 
points to remain in consideration for funding.
    Awards will be made in rank order, within the limits of funding 
availability.
    You may address more than one of the research topic areas within 
your proposal, or submit separate applications for different topic 
areas. Projects need not address all of the objectives within a given 
topic area. While you will not be penalized for not addressing all of 
the specific objectives for a given topic area, if two applications for 
research in a given topic have equal scores, HUD will select the 
applicant whose project addresses the most objectives.
    You are encouraged to plan projects that can be completed over a 
short time period (e.g., 12 to 24 months from the date of award) so 
useful information generated from the research can be available for 
policy or program decisions and disseminated to the public as quickly 
as possible.
    Regarding the amount to be awarded to the selected applicants, 
please refer to the Negotiations section in the General Section of this 
SuperNOFA.
    (1) Use of Residual Funds. In the selection process, HUD reserves 
the right to offer partial funding to any or all applicants. If you are 
offered a reduced grant amount, you will have a maximum of seven (7) 
calendar days to accept such a reduced award. If you fail to respond 
within the seven day limit, you shall be considered to have declined 
the award.
    (2) Set-Aside for Previously Unfunded Applicants. Existing HUD lead 
hazard research grantees, previously funded grantees, or previously 
unfunded applicants are eligible to apply for grants. At least 20% of 
the funds under this research program section of the SuperNOFA will be 
made available to applicants who are not current (or previous) Lead 
Hazard Control Research grantees, provided that no application shall be 
funded that receives lower than the minimum score listed in Section 
V(A) of this program section above. Applications from existing (or 
previous) grantees will be evaluated and scored as a separate group and 
will not be in direct competition with applications from previously 
unfunded applicants.
    (B) Rating Factors. The factors for rating and ranking applicants, 
and maximum points for each factor, are provided below. The maximum 
number of points to be awarded is 100. The EZ/EC bonus points described 
in the

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General Section of the SuperNOFA do not apply to this Research NOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which you have the ability and 
organizational resources necessary to successfully implement your 
proposed activities in a timely manner. The rating of you, the 
``applicant,'' will include any sub-grantees, consultants, sub-
recipients, and members of consortia that are firmly committed to the 
project (generally, ``subordinate organizations''). In rating this 
factor HUD will consider the extent to which your application 
demonstrates:
    (1) The capability and qualifications of the principal investigator 
and key personnel (10 points). Qualifications to carry out the proposed 
study as evidenced by academic background, relevant publications, and 
recent (within the past 10 years) relevant research experience. 
Publications and research experience are considered relevant if they 
required the acquisition and use of knowledge and skills that can be 
applied in the planning and execution of the research that is proposed 
under this program section of this SuperNOFA.
    (2) Past performance of the research team in managing similar 
research (10 points). Demonstrated ability to successfully manage 
various aspects of a complex research study in such areas as logistics, 
research personnel management, data management, quality control, 
community research involvement (if applicable), and report writing, as 
well as overall success in project completion (i.e., research completed 
on time and within budget). You should also demonstrate that your 
project would have adequate administrative support, including clerical 
and specialized support in areas such as accounting and equipment 
maintenance.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    (1) You must demonstrate responsiveness to solicitation objectives. 
You should explain in detail how your research would make a significant 
contribution towards achieving some or all of HUD's stated goals and 
objectives for one or more of the topic areas described in Sections 
III(C)(2)(a)-(c) of this program section of the SuperNOFA. You also 
should explain how your proposed research could lead to improvements or 
additions to the HUD Guidelines.
    (2) If you are seeking funding for ``other'' research, as is 
described in section III(C)(2)(c), you must provide an explanation 
which demonstrates the importance and need for the research with 
respect to addressing the overall goal of this research program.

Rating Factor 3: Soundness of Approach (45 Points)

    This factor addresses the quality of your proposed research plan. 
Specific components include the following:
    Soundness of the study design (25 points). The project description/
study design must be thorough and feasible, and reflect your knowledge 
of the relevant scientific literature. You should include a plan for 
analyzing and archiving data. You should approach your study design as 
a project with a goal, some activities with associated tasks, a time 
frame, and an associated cost.
    Quality assurance mechanisms (8 points). You must describe the 
quality assurance mechanisms which will be integrated into your 
research design to ensure the validity and quality of the results. 
Areas to be addressed include acceptance criteria for data quality, 
procedures for selection of samples/sample sites, sample handling, 
measurement and analysis, and any standard/nonstandard quality 
assurance/control procedures to be followed. Documents (e.g., 
government reports, peer-reviewed academic literature) which provide 
the basis for your quality assurance mechanisms should be cited.
    (2) Project management plan (10 points). The proposal should 
include a management plan that provides a schedule for the completion 
of major activities, tasks and deliverables, with an indication that 
there will be adequate resources (e.g., personnel, financial) to 
successfully meet the proposed schedule. Projects with a duration of 24 
months or less will be awarded more points in this category than 
projects with a longer duration.
    (3) Budget Proposal (2 Points). Your budget proposal should 
thoroughly estimate all applicable direct and indirect costs, and be 
presented in a clear and coherent format in accordance with the 
requirements listed in the General Section of this SuperNOFA. Your 
budget should be submitted in the format recommended; an electronic 
spreadsheet is available on HUD's website, www.hud.gov/lea. Your budget 
proposal should be activity and task related.

Rating Factor 4: Leveraging Resources (10 Points)

    Your proposal should demonstrate that the effectiveness of the HUD 
research grant funds are being increased by securing other public and/
or private resources or by structuring the research in a cost-effective 
manner, such as integrating the project into an existing research 
effort. Resources may include funding or in-kind contributions (such as 
services, facilities or equipment) allocated to the purpose(s) of your 
research. Staff and in-kind contributions should be given a monetary 
value.
    You should provide evidence of leveraging/partnerships by attaching 
to your application the following: letters of firm commitment, 
memoranda of understanding, or agreements to participate from those 
entities identified as partners in the research efforts. Each letter of 
commitment, memorandum of understanding, or agreement to participate 
should include the organization's name, proposed level of commitment 
(with monetary value) and responsibilities as they relate to specific 
activities or tasks of your proposed program. The commitment must also 
be signed by an official of the organization legally able to make 
commitments on behalf of the organization.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    You should describe how the results of your proposed research 
efforts will support planning, policy development, implementation of 
lead hazard control programs, and/or public education in the area of 
residential lead hazard control or in accordance with the goals and 
operations of the Partnership for Advancing Technology in Housing 
(PATH) (refer to Section VI(E) of the General Section of the 
SuperNOFA). If your application involves a particular community, it 
should relate to the community's Consolidated Plan and Analysis 
Impediments to Fair Housing Choice. In addition, you should also 
address the extent to which your research could be used to expand fair 
housing choice and to affirmatively further fair housing.

VI. Application Submission Requirements

    (A) Applicant Data. Your application must contain the items listed 
in this Section V(B). These items include the standard forms, 
certifications, and assurances listed in the General Section of the 
SuperNOFA that are applicable to this funding (collectively, referred 
to as the ``standard forms''). The standard forms can be found in 
Appendix B to

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the General Section of the SuperNOFA. The remaining application items 
that are forms (i.e., excluding such items as narratives), referred to 
as the non-standard forms can be found as Appendix C to this program 
section of the SuperNOFA: The items are as follows:
    (1) Transmittal Letter that identifies what the research program 
funds are requested for, the dollar amount requested, and the applicant 
or applicants submitting the application. If two or more organizations 
are working together on the research, a primary applicant must be 
designated.
    (2) Checklist and Submission Table of Contents (see Appendix C).
    (3) The name, mailing address, telephone number, and principal 
contact person of the prime applicant. If you have consortium 
associates, sub-grantees, partners, major subcontractors, joint venture 
participants, or others contributing resources to your project, similar 
information must be provided for each of these entities.
    (4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update 
Report; Certification Regarding Lobbying; and/or SF-LLL, Disclosure of 
Lobbying Activities, where applicable.
    (5) Completed Standard Forms SF-424, 424A, 424B, and other 
certifications and assurances listed in the General Section of the 
SuperNOFA and in Section VII(B) of this program section of the 
SuperNOFA.
    (6) A detailed total budget with supporting cost justification for 
all budget categories of the Federal grant request.Use the budget 
format discussed in Section V(B)3(3), above. (See Appendix C.)
    (7) A two-page (maximum) abstract containing the following 
information: The project title, the names and affiliations of all 
investigators, and a summary of the objectives, expected results, and 
study design described in the proposal.
    (8) A project description/narrative statement addressing the rating 
factors for award of funding under this program section of the 
SuperNOFA. The narrative statement must be numbered in accordance with 
each factor for award (Rating Factors 1 through 5). The response to the 
rating factors should not exceed a total of 25 pages for each research 
topic area.
    (9) Any important attachments, appendices, references, or other 
relevant information may accompany the project description, but must 
not exceed twenty (20) pages for the entire application.
    (10) The resumes of the principal investigator and other key 
personnel. Resumes shall not exceed three pages each, and are limited 
to information that is relevant in assessing the qualifications of key 
personnel to conduct and/or manage the proposed research.
    (11) Copy of State Clearing House Approval Notification (see 
application kit to determine if applicable).

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(1) and (5) of the HUD 
regulations, activities assisted under this program are categorically 
excluded from the requirements of the National Environmental Policy Act 
of 1969 (42 U.S.C. 4321) and are not subject to environmental review 
under the related laws and authorities.

IX. Authority

    These grants are authorized under sections 1051 and 1052 of the 
Residential Lead-Based Paint Hazard Reduction Act of 1992, which is 
Title X of the Housing and Community Development Act of 1992.

Appendix A--Relevant Publications and Guidelines

    To secure any of the documents listed, call the listed telephone 
number (generally, the telephone numbers are not toll-free).

Regulations

    1. Worker Protection: OSHA publication--Telephone: 202-693-1888 
(OSHA Regulations) (available for a charge)--Government Printing 
Office--Telephone: 202-512-1800 (not a toll-free number):

--General Industry Lead Standard, 29 CFR 1910.1025 (Document Number 
869022001124). Can be downloaded from the Internet without charge 
from www.osha-slc.gov/OshStd__data/1910__1025.html.
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices A, 
B, C, and D (Document Number 869022001141). Can be downloaded from 
the Internet without charge from www.osha-slc.gov/OshStd__data/
1926__0062.html.

    2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations) 
(available for a charge)--Telephone 1-800-424-9346, or, from the 
Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free 
number). Can be downloaded from the Internet without charge from 
www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
    3. Lead; Requirements for Lead-Based Paint Activities in Target 
Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745, 
subparts L and Q (EPA) (State Certification and Accreditation 
Program for those engaged in lead-based paint activities)--
Telephone: 1-202-554-1404 (Toxic Substances Control Act Hotline) 
(not a toll-free number). Can be downloaded from the Internet 
without a charge from www.epa.gov/opptintr/lead/index.html.
    4. Requirements for Notification, Evaluation and Reduction of 
Lead-Based Paint Hazards in Federally Owned Residential Property and 
Housing Receiving Federal Assistance; Final Rule: 24 CFR part 35, 
subparts A through R, published September 15, 1999, at Federal 
Register pages 50201 through 50231(HUD)--Telephone: 1-800-424-LEAD 
(National Lead Information Center). Can be downloaded from the 
Internet without a charge from www.hud.gov/lea/leadwnlo.html or 
www.epa.gov/lead/leadbase.htm.
    5. U.S. Environmental Protection Agency. Lead; Identification of 
Dangerous Levels of Lead; Proposed Rule. Federal Register: 63 FR 
30302-30355, June 3, 1998. TSCA Hotline: 202-554-1404 (not a toll-
free number). Can be downloaded from the Internet without a charge 
from www.epa.gov/lead/leadhaz.htm.

Guidelines

    1. Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing; HUD, June 1995, and amended September, 1997. 
(available for a charge)--Telephone: 800-245-2691. Can be downloaded 
from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
    2. Preventing Lead Poisoning in Young Children; Centers for 
Disease Control, October 1991: Telephone: 888-232-6789.
    3. Screening Young Children for Lead Poisoning: Guidance for 
State and Local Public Health Officials, November 1997; Centers for 
Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can 
be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.

Reports and Articles

    1. Putting the Pieces Together: Controlling Lead Hazards in the 
Nation's Housing, (Summary and Full Report); HUD, July 1995 
(available for a charge)--Telephone 800-245-2691. Can be downloaded 
from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
    2. Comprehensive and Workable Plan for the Abatement of Lead-
Based Paint in Privately Owned Housing: Report to Congress; HUD, 
December 7, 1990 (available for a charge)--Telephone 800-245-2691.
    3. A Field Test of Lead-Based Paint Testing Technologies: 
Summary Report (Summary also available); U.S. Environmental 
Protection Agency, May 1995. EPA 747-R-95-002a (available at no 
charge)--Telephone 800-424-5323. Can be downloaded from the Internet 
without a charge from www.epa.gov/lead/summary.txt.
    4. Urban Soil Lead Abatement Demonstration Project. EPA 
Integrated Report, U.S. Environmental Protection Agency, April, 
1996. EPA/600/P-93-001aF (available from National Technical 
Information Service (NTIS) for a charge)--Telephone 800-553-6847. An 
abstract and additional ordering information can be downloaded from 
the Internet without a

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charge from www.epa.gov/nceawww1/lead.htm.
    5. Luk, K.K., Grohse, P.M., Hodson, L.L., Binstock, D.A., Van 
Hise, C.C., and Gutknecht, W.F., ``Standard Operating Procedures for 
the Field Analysis of Lead in Paint, Bulk Dust, and Soil by 
Ultrasonic, Acid Digestion and Colorimetric Measurement,'' EPA 600/
R-93/200, U.S. Environmental Protection Agency, Research Triangle 
Park, NC, 1993. Available from the NTIS (NTIS #PB94-121738).
    6. Williams, E.E., Van Hise, C.C., and Gutknecht, W.F., 
``Evaluation of the Performance of Reflectance and Electrochemical 
Technologies for the Measurement of Lead in Characterized Paints, 
Bulk Dusts, and Soils,'' EPA 600/R-95/093, U.S. Environmental 
Protection Agency, Research Triangle Park, NC, 1996. Available from 
the NTIS (NTIS #PB97-126437).
    7. Grohse, P.M., Van Hise, C.C., Wilson, B.M., Luk, K.K., 
Binstock, D.A., and Gutknecht, W.F., ``Standard Operating Procedure 
for the Field Analysis of Lead in Dust Collected by Vacuum and on 
Wipes by Ultrasonic, Acid Digestion, and Colorimetric Measurement,'' 
EPA 600/R-95/151, U.S. Environmental Protection Agency, Research 
Triangle Park, NC, 1998. Available from the NTIS (NTIS #PB98-
140734).
    8. Roberts, J.W., Crutcher, E.R., 3rd, Crutcher, E.R. 4th, 
Glass, G., and Spittler, T.M., ``Quantitative Analysis of Road and 
Carpet Dust on Shoes,'' in Measurement of Toxic and Related 
Pollutants, Air & Waste Management Association, Pittsburgh, PA, 
(1996). pp. 829-835.
    9. Roberts, J.W., Clifford, W.S., Glass, G., and Hummer, P.G., 
``Reducing Dust, Lead, Dust Mites, Bacteria, and Fungi in Carpets by 
Vacuuming'', Arch Environ. Contam. Toxicol., 36, 477-484 (1999).
    10. Ashley, K., ``Ultrasonic Extraction and Field-Portable 
Anodic Stripping Voltammetry of Lead from Environmental Samples,'' 
Electroanalysis, 7, No. 12, 1995, p 1189.
    11. Bornschein, R., Clark, S., Pan, W., and Succop, P. (1990) 
Midvale Community Lead Study. University of Cincinnati Medical 
Center Final Report.
    12. Greene, T., Ernhart, C., and Boyd, T. (1992) ``Contributions 
of Risk Factors to Elevated Blood and Dentine Lead in Preschool 
Children.'' Science of the Total Environment. 115(3):249-260.
    13. Hunt, A., Johnson D.L., Watt, J.M., and Thornton, I. (1992) 
Characterizing the Sources of Particulate Lead in House Dust by 
Automated Scanning Electron Microscopy. Environmental Science and 
Technology. 26(8):1513-1522.
    14. National Center for Lead-Safe Housing and University of 
Cincinnati Department of Environmental Health. (1997) Evaluation of 
the HUD Lead-Based Paint Hazard Control Grant Program: Fifth Interim 
Report. Washington, DC: U.S. Department of Housing and Urban 
Development.
    15. Schwartz, J., and Levin, R. (1991) ``The Risk of Lead 
Toxicity in Homes with Lead Paint Hazards.'' Environmental Research. 
54(1):1-7.
    16. Stark, A., Quah, R., Meigs, J., and Delouise, E. (1982) 
``The Relationship of Environmental Lead to Blood-Lead Levels in 
Children.'' Environmental Research. 27:372-383.
    17. U.S. EPA. (1995) Seasonal Rhythms of Blood-Lead Levels: 
Boston, 1979-1983. EPA747-R94-003. Washington, DC: U.S. 
Environmental Protection Agency.
    18. Yaffee, Y., C.P. Flessel, J.J. Wesolowski, A. Del Rosario, 
G.N. Guirguis, V. Matias, T.E. Degarmo and G.C. Coleman. 1983. 
Identification of lead sources in California children using the 
stable isotope ratio technique. Arch. Env. Health. 38(4): 237-245.
    19. Gwiazda, R., Woolard, D., and Smith, D. Improved lead 
isotope ratio measurements in environmental and biological samples 
with a double focussing magnetic sector inductively coupled plasma 
mass spectrometer (ICP-MS), J. Anal. At. Spect., 13:1233-1238, 1998.
    20. Woolard D., Franks R., Smith D. An inductively coupled 
plasma-magnetic sector mass spectrometry method for stable lead 
isotope traces studies. J. Anal. At. Spectrom 13:1015-1019 (1998).
    21. K. Ashley, K.J. Mapp and M. Millson, ``Ultrasonic Extraction 
and Field-Portable Anodic Stripping Voltammetry for the 
Determination of Lead in Workplace Air Samples''; Am. Ind. Hyg. 
Assoc. J. 59: 671-679 (1998).
    22. K. Ashley, R. Song, C.A. Esche, P.C. Schlecht, P.A. Baron, 
and T.J. Wise, ``Ultrasonic Extraction and Portable Anodic Stripping 
Voltammetric Measurement of Lead in Paint, Dust Wipes, Soil, and 
Air: An Interlaboratory Evaluation''; J. Environ. Monit., in press 
(1999).
    23. K. Ashley, ``On-Site Extraction and Anodic Stripping 
Voltammetric Determination of Lead''; Appl. Occup. Environ. Hyg. 13: 
94-98 (1998). ASTM PS 87, ``Provisional Standard Practice for 
Ultrasonic Extraction of Paint, Dust, Soil, and Air Samples for 
Subsequent Determination of Lead''; in Annual Book of ASTM 
Standards, Vol. 04.11. ASTM: West Conshohocken, PA (1998).
    24. ASTM PS 88, ``Provisional Standard Practice for 
Determination of Lead in Paint, Settled Dust, Soil, and Air 
Particulate by Field-Portable Electroanalysis''; in Annual Book of 
ASTM Standards, Vol. 04.11. ASTM: West Conshohocken, PA (1998).

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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FUNDING AVAILABILITY FOR THE HEALTHY HOMES INITIATIVE PROGRAM 
OVERVIEW (HHI)

    Purpose of the Program. The purpose of the Healthy Homes Initiative 
is to develop, demonstrate and promote cost effective, preventive 
measures to correct multiple safety and health hazards in the home 
environment which produce serious diseases and injuries in children. 
HUD is interested in reducing health threats to the maximum number of 
residents, including children, in a cost efficient manner.
    Available Funds. Approximately $6.5 million.
    Eligible Applicants. Research institutions, not-for-profit 
institutions, and for-profit firms located in the U.S., State and local 
governments, and Federally-recognized Indian Tribes. For-profit firms 
are not allowed to include a fee in the cost proposal (i.e., no profit 
can be made from the project). Federal agencies and federal employees 
are not eligible to apply for this program.
    Application Deadline. May 17, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this 
initiative, please review carefully the General Section of this 
SuperNOFA and the following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (an original and 
four copies) is due on or before 12:00 midnight, Eastern time, on May 
17, 2000, at the address shown below.
    See the General Section of the SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, overnight deliver, or hand carried).
    Address for Submitting Applications. For Mailed Applications. The 
address for mailed applications is: Department of Housing and Urban 
Development, Office of Lead Hazard Control, 451 Seventh Street, SW, 
Room P3206, Washington, DC 20410.
    For Overnight/Express Mail or Hand Carried Applications. The 
address for applications that are hand carried or sent via overnight/
express mail delivery is: HUD Office of Lead Hazard Control, Suite 
3206, 490 East L'Enfant Plaza, SW, Washington, DC 20024. Hand carried 
applications will be accepted at this address (490 East L'Enfant) up 
until 5:00 pm on the application due date.
    After 5:00 pm on the application due date, hand carried 
applications will be accepted until 12:00 midnight, in the South Lobby 
of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410.
    For Application Kits. You may obtain an application kit from the 
SuperNOFA Information Center at 1-800-HUD-8929, or the TTY number at 1-
800-HUD-2209. When requesting an application kit, please refer to HHI. 
Please be sure to provide your name, address (including zip code), and 
telephone number (including area code). Alternatively, you may obtain 
an application kit by downloading it from the internet at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Ms. Ellen Taylor, Planning and Standards Division, Office of Lead 
Hazard Control, at the address above; telephone (202) 755-1785, 
extension 116, or Ms. Karen Williams, Grants Officer, extension 118 
(these are not toll-free numbers). Hearing- and speech-impaired persons 
may access the above telephone numbers via TTY by calling the toll-free 
Federal Information Relay Service at 1-800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $6.5 million will be available in FY 2000. Grants 
will be awarded on a competitive basis following evaluation of all 
proposals according to the Rating Factors described in section V(B). 
HUD anticipates that approximately 4 to 8 grants will be awarded, 
ranging from approximately $250,000 to approximately $2,500,000.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. (1) Background. In the FY 2000 Budget, HUD 
received a second year of funding to continue the Healthy Homes 
Initiative (sometimes referred to as the ``Initiative'' or ``HHI'') 
that protects children from housing conditions responsible for multiple 
diseases and injuries. The Initiative departs from the more traditional 
approach of attempting to correct one hazard at a time (e.g., asbestos, 
radon). In April 1999, HUD submitted to Congress a preliminary plan 
containing a full description of the Initiative. This description 
(Summary and Full Report) is available on the HUD website at 
www.HUD.gov/lea.
    The Healthy Homes Initiative builds upon HUD's existing housing-
related health and safety issues, including lead hazard control, 
building structural safety, electrical safety, and fire protection to 
address multiple childhood diseases and injuries related to housing in 
a more coordinated fashion. A coordinated effort is feasible because a 
limited number of building deficiencies contribute to many hazards. 
Substantial savings are possible using this approach, because separate 
visits to a home by an inspector, public health nurse, or outreach 
worker can add significant cost to efforts to eliminate hazards.
    In addition to deficiencies in basic housing facilities that may 
impact health, changes in the U.S. housing stock and more sophisticated 
epidemiological methods and biomedical research have led to the 
identification of new and often more subtle health hazards in the 
residential environment ( e.g., indoor air quality hazards). While such 
hazards will tend to be found disproportionately in housing that is 
substandard (e.g. structural problems, lack of adequate heat, etc.), 
such housing-related environmental hazards may also exist in housing 
that is otherwise of good quality. Appendix A to the HHI program 
section of the SuperNOFA briefly describes the housing-associated 
health and injury hazards HUD considers key targets for intervention. 
Appendix B to the HHI program section of the SuperNOFA lists the 
references that serve as the basis for the information provided in this 
Healthy Homes Initiative section of this SuperNOFA.
    HUD is interested in promoting approaches that are cost-effective 
and efficient and that result in the reduction of health threats for 
the maximum number of residents for the long run, and in particular 
low-income children. The overall goals and objectives of the HHI are:
    (1) Mobilize public and private resources, involving cooperation 
among all levels of government, the private sector, and community-based 
organizations to develop the most promising, cost-effective methods for 
identifying and controlling housing-based hazards.
    (2) Build local capacity to operate sustainable programs that will 
continue to prevent and, where they occur, minimize and control 
housing-based hazards in low and very low income residences when HUD 
funding is exhausted.
    (3) Affirmatively further fair housing and environmental justice.

[[Page 9580]]

    (B) Healthy Homes Activities. Through the Healthy Homes Initiative, 
HUD will establish a baseline assessment of available risk reduction 
techniques and research on the control of key hazards described in 
Appendix A, and initiate projects to promote implementation of 
techniques demonstrated to be successful. HUD has decided to initiate 
the HHI projects through this competition. There are three categories 
of grants being awarded. These are:
     Demonstration projects implementing housing assessment, 
maintenance, renovation and construction techniques to identify and 
correct housing-related illness and injury risk factors,
     Outreach projects disseminating healthy homes information 
and replicating successful interventions, and
     Research projects developing new methods of evaluation and 
control of housing-based hazards.
    HUD will evaluate proposals based on the elements described below. 
Although you are expected to focus your efforts in one of the three 
categories, the activities of a proposed project may address categories 
other than the primary focus. Applicants are required to be specific as 
to the locations they are targeting their intervention activities to 
occur and the residents, individuals or groups targeted to receive 
interventions and the organizations targeted to continue to operate 
effective intervention strategies over the life of the award and 
hereafter.
    (1) Demonstration Projects. Objectives to be addressed by these 
projects are:
    (a) Identification of target areas and homes where intervention 
would be appropriate.
    (b) Identification and evaluation of effective methods of hazard 
abatement and risk reduction.
    (c) Development of appropriately-scaled, flexible, cost-effective 
and efficient intervention strategies that take into account the range 
of conditions likely to be encountered in older housing, and that 
maximize the number of housing units that receive an intervention.
    (d) Development of methodologies for evaluating intervention 
effectiveness.
    (e) Development of local capacity in target areas and target groups 
to operate sustainable programs to prevent and control housing-based 
hazards, especially in low and very-low income residences.
    (f) Development of a cost-effective protocol for identifying homes 
that are candidates for interventions, identifying hazards in these 
homes, and screening out homes where structural or other condition 
factors (e.g., cost) make interventions infeasible or impractical.
    (2) Outreach Projects. These projects must address:
    (a) Development and delivery of public outreach to prevent and 
eradicate both emerging and well-recognized housing-related childhood 
diseases and injuries, and promote the use of identified solutions.
    (b) Increased identification and control of housing based hazards 
through education and outreach to specific high-risk communities and 
other identified audiences such as health care deliverers, pregnant 
women, children, residential construction contractors, maintenance 
personnel, housing inspectors, real estate professionals, home buyers 
and homeowners.
    (c) Implementation of media strategies to use print, radio and 
television to increase public awareness of housing related hazards that 
threaten children.
    (d) Dissemination of materials that inform parents and caregivers 
about housing related hazards and enable them to take prompt corrective 
action.
    (3) Research Projects. Objectives to be addressed by these projects 
are:
    (a) Investigation of the epidemiology of housing-related hazards 
and illness and injury.
    (b) Development and assessment of low-cost test methods and 
protocols for identification and assessment of housing-related hazards.
    (c) Development and assessment of cost-effective methods for 
reducing or eliminating housing-related hazards.
    (d) Evaluation of the effectiveness of housing interventions and 
public outreach campaigns, and barriers and incentives affecting future 
use of the most cost-effective strategies.
    (f) Investigation of the environmental health effects on children 
living in deteriorated housing and the impact on their development and 
productivity.
    (C) Eligible Activities. The following direct activities and 
support activities are eligible under this grant program.
    (1) Direct Project Elements (activities conducted by you and any 
sub-recipients):
    (a) Performing evaluations of eligible housing to determine the 
presence of housing-based hazards (e.g., mold growth, allergens, 
unvented appliances, exposed steam pipes or radiators, damaged lead-
based paint) through the use of generally accepted testing procedures.
    (b) Conducting medical examinations of young children for 
conditions caused or exacerbated by exposure to hazards where this is 
considered essential to your project, and there are no alternative 
sources to cover these costs.
    (c) Conducting housing interventions to remediate existing housing-
based hazards and address conditions that could result in their 
recurrence. Any lead hazard evaluation and control work shall be 
conducted by certified performers in accordance with the HUD Guidelines 
for the Evaluation and Control of Lead-Based Paint Hazards in Housing 
(``Guidelines'') and applicable regulations. You may obtain the 
Guidelines and applicable regulations by downloading them from the 
internet at http://www.hud.gov/lea. All pest control activities should 
incorporate the principles and methods of integrated pest management 
(IPM).
    (d) Carrying out temporary relocation of families and individuals 
during the period in which intervention is conducted and until the time 
the affected unit receives clearance for reoccupancy. Residents 
relocated must be guaranteed the choice of returning to the unit after 
the intervention.
    (e) Performing medical testing recommended by a physician or 
applicable occupational or public health agency for individuals in 
hazardous conditions and environmental sampling to protect the health 
of the intervention workers, supervisors, and contractors.
    (f) Undertaking housing rehabilitation activities that are 
specifically required to carry out effective control of housing-based 
hazards, and without which the intervention could not be completed and 
maintained. Grant funds under this program may also be used to control 
lead-based paint hazards.
    (g) Conducting clearance testing and analysis for lead, mold, 
carbon monoxide and/or other toxins as appropriate, with respect to 
generally accepted standards or criteria, or where not available, other 
appropriate levels justified in conjunction with the project.
    (h) Carrying out architectural, engineering and work specification 
development and other construction management services to control 
housing-based hazards and remediate existing hazards.
    (i) Providing training on safe maintenance practices to homeowners, 
renters, painters, remodelers, and housing maintenance staff working in 
low- or very-low income housing.
    (j) Providing cleaning supplies for hazard intervention and hazard 
control to community/neighborhood-based organizations for use by 
homeowners and tenants in low income housing, or to such homeowners, 
and tenants directly.
    (k) Conducting general or targeted community awareness or education

[[Page 9581]]

programs on environmental health and safety hazards. This activity 
would include training on safe maintenance and renovation practices, 
among other topics, and further fair housing and environmental justice 
goals. It would also include making materials available, upon request, 
in alternative formats for persons with disabilities (e.g., Braille, 
audio, large type), and in languages other than English that are common 
in the community, whenever possible.
    (l) Securing liability insurance for hazard intervention and hazard 
evaluation and control activities to be performed.
    (m) Supporting data collection, analysis, and evaluation of project 
activities. This activity is separate from administrative costs.
    (n) Conducting applied research activities directed at 
demonstration of cost-effective evaluation and intervention methods for 
assessing and preventing housing-based hazards.
    (o) Presenting research findings at a scientific or other 
conference at the request of HUD.
    (p) Maintaining a registry (updated at least monthly) of housing 
units in which housing-based hazards were not found during evaluation, 
and those in which such problems and hazards have been controlled. 
Units on the registry should be affirmatively marketed to families with 
young children (especially low income families) and such families 
should be given preference for occupancy when they are vacant.
    (q) Preparing quarterly progress reports, interim and final 
research reports, and an overall final grant report detailing 
activities (e.g., number of units tested, types of interventions 
provided, evaluation of most cost efficient methodologies by type of 
unit), findings, and recommended future actions for cost effective 
interventions, at the conclusion of grant activities.
    (2) Support Elements.
    (a) Your administrative costs.
    (b) Program planning and management costs of sub-grantees and other 
sub-recipients.
    (D) Ineligible Activities. (1) Purchase of real property.
    (2) Purchase or lease of equipment having a per unit cost in excess 
of $5,000, unless prior written approval is obtained from HUD.
    (3) Medical treatment costs.

IV. Program Requirements

    In addition to program requirements listed in the General Section 
of the SuperNOFA, you, the applicant must comply with the following 
requirements:
    (A) Budgeting--Administrative Costs. There is a 10% maximum for 
administrative costs. The application kit contains specific information 
on allowable administrative costs.
    (B) Period of Performance. The period of performance cannot exceed 
36 months.
    (C) Coastal Barrier Resources Act. Pursuant to the Coastal Barrier 
Resources Act (16 U.S.C. 3501), funds may not be used for properties 
located in the Coastal Barrier Resources System.
    (D) Flood Disaster Protection Act. Under the Flood Disaster 
Protection Act of 1973 (42 U.S.C. 4001-4128), funds may not be used for 
construction, reconstruction, repair or improvement of a building or 
mobile home which is located in an area identified by the Federal 
Emergency Management Agency (FEMA) as having special flood hazards 
unless:
    (1) The community in which the area is situated is participating in 
the National Flood Insurance Program in accordance with the applicable 
regulations (44 CFR parts 59-79), or less than a year has passed since 
FEMA notification regarding these hazards; and
    (2) Where the community is participating in the National Flood 
Insurance Program, flood insurance on the property is obtained in 
accordance with section 102(a) of the Flood Disaster Protection Act (42 
U.S.C. 4012a(a)). You are responsible for assuring that flood insurance 
is obtained and maintained for the appropriate amount and term.
    (E) National Historic Preservation Act. The National Historic 
Preservation Act of 1966 (16 U.S.C. 470) (NHPA) and the regulations at 
36 CFR part 800 apply to the mold intervention and related hazard 
control activities that are undertaken pursuant to this program. HUD 
and the Advisory Council for Historic Preservation have developed an 
optional Model Agreement for use by grantees and State Historic 
Preservation Officers in carrying out any lead hazard control 
activities under this program. This must be obtained from the SuperNOFA 
Clearinghouse.
    (F) Waste Disposal. Waste disposal will be handled according to the 
requirements of the Occupational Health and Safety Administration 
(OSHA) (e.g., 29 CFR part 1910 and/or 1926, as applicable), the 
Environmental Protection Agency (EPA) (e.g., 40 CFR parts 61, 260-282, 
300-374, and/or 700-799, as applicable), the Department of 
Transportation (e.g., 49 CFR parts 171-177), and/or appropriate State 
or local regulatory agency(ies). Disposal of wastes from intervention 
activities that contain lead-based paint but are not classified as 
hazardous will be handled in accordance with the HUD Guidelines.
    (G) Worker Protection Procedures. You must comply with the 
requirements of OSHA (e.g., 29 CFR part 1910 and/or 1926, as 
applicable), or the State or local occupational safety and health 
regulations, whichever are most stringent.
    (H) Written Policies and Procedures. You must have written policies 
and procedures for all phases of intervention, including evaluation, 
development of specifications, financing, occupant relocation, 
independent project inspection, and clearance testing (e.g., for mold, 
lead, carbon monoxide or other hazards, as applicable). You and all 
your subcontractors, sub-recipients, and their contractors must comply 
with these policies and procedures.
    (I) Clearance Testing. Clearance dust testing must be conducted 
according to the HUD Guidelines. You are required to meet the interim 
post-hazard control dust-wipe test clearance thresholds at 24 CFR 
35.1320 (published in the Federal Register at 64 FR 50218, September 
15, 1999). These standards are also in the application kit. Wipe tests 
shall be conducted by an appropriately certified individual who is 
independent of the lead hazard control contractor. Dust-wipe and soil 
samples and any paint samples to be analyzed by a laboratory, must be 
analyzed by a laboratory recognized by the EPA National Lead Laboratory 
Accreditation Program (NLLAP). Units treated shall not be reoccupied 
until clearance is achieved.
    (J) Continued Availability of Safe Housing to Low-Income Families. 
Units in which housing-based hazards have been controlled under this 
program shall be occupied by and/or continue to be available to low-
income residents.
    (K) Environmental Review. You must comply with HUD's regulations in 
24 CFR 50.3(h) in carrying out responsibilities regarding HUD's 
environmental review. Recipients of a grant under this NOFA will be 
given guidance in these responsibilities.
    (L) Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). Recipients of assistance must comply with section 3 of the 
Housing and Urban Development Act of 1968, 12 U.S.C. 1701u (Economic 
Opportunities for Low and Very Low-Income Persons in Connection with 
Assisted Projects) and the HUD regulations at 24 CFR part 135, 
including the reporting requirements of subpart E. Section 3 requires 
recipients to ensure that, to the greatest extent feasible, training, 
employment and other economic opportunities will be directed

[[Page 9582]]

to (1) low and very low income persons, particularly those who are 
recipients of government assistance for housing, and (2) business 
concerns which provide economic opportunities to low and very low 
income persons.
    (M) Data collection and provision. You must collect, maintain and 
provide to HUD the data necessary to document the various approaches 
used to evaluate and control housing-based hazards, including 
evaluation and control methods, building conditions, medical and 
familial information (with confidentiality of individually-identifiable 
information ensured) in order to determine the effectiveness and 
relative cost of these methods.
    (N) Certifications and Assurances. You must include the 
certifications and assurances listed in Section II(G) of the General 
Section of the SuperNOFA with your application.
    (O) Davis-Bacon Act. The Davis-Bacon Act does not apply to this 
program. However, if program funds are used in conjunction with other 
Federal programs in which Davis-Bacon prevailing wage rates apply, then 
Davis-Bacon provisions would apply to the extent required under the 
other Federal programs.

V. Application Selection Process

    Please see Section III of the General Section of this SuperNOFA. 
Applications that meet all of the threshold requirements will be 
eligible to be scored and ranked based on the total number of points 
allocated for each of the rating factors described below. Your 
application must receive a total score of at least 65 points to remain 
in consideration for funding.
    (A) Rating and Ranking. HUD intends to make awards to qualifying 
applications in the following order:
    STEP 1. An award will be made to the highest ranked application in 
each of the three categories listed in Section III.(B) of this program 
section of the SuperNOFA within the limits of funding availability. If 
there are insufficient funds to award in all categories, HUD will make 
awards in categories (1) through (3) in order.
    STEP 2. After following Step 1 if funding remains available, an 
award will be made in each of the categories (1) through (3) in order.
    STEP 3. After following Step 2 if funding remains available, awards 
will be made in rank order regardless of category.
    You must state the category for which you are applying. If an 
applicant wishes to apply under more than one category they must submit 
a separate application for each category. While you will not be 
penalized for not addressing all the specific objectives within a given 
category, if two applications have equal scores, HUD will first select 
the applicant whose project addresses the most objectives.
    (B) Factors for Award Used to Evaluate and Rate Applications. This 
section provides the factors for rating and ranking your application 
and the maximum points for each factor. The maximum number of points to 
be awarded is 102. This maximum includes two EZ/EC bonus points as 
described in the General Section of the SuperNOFA. Also, Section 
III(C)(2) of the General Section, which addresses a court-ordered 
consideration, is applicable to this program.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses your organizational capacity necessary to 
successfully implement your proposed activities in a timely manner. The 
rating of you or your staff includes any community-based organizations, 
sub-contractors, consultants, sub-recipients, and members of consortia 
that are firmly committed to your project. In rating this factor HUD 
will consider:
    (1) Your recent, relevant and successful demonstrated experience in 
undertaking eligible program activities. You must describe the 
knowledge and experience of the proposed overall project director and 
day-to-day program manager in planning and managing large and complex 
interdisciplinary programs, especially those involving housing 
rehabilitation, public health, or environmental programs. In your 
narrative response for this factor, you should include information on 
your program staff, their experience, commitment to the program, and 
position titles. Resumes of up to three (3) pages each and position 
descriptions for up to three personnel in addition to the project 
director and program manager, and a clearly delineated organizational 
chart for your project must be included as an appendix. Copies of job 
announcements (including salary range) should be included for any key 
positions that are currently vacant. Indicate the percentage of time 
that key personnel will devote to your project and any salary costs to 
be paid by funds from this program. Include descriptions of the 
experience and qualifications of subcontractors and consultants.
    (2) Your qualifications to carry out the proposed activities as 
evidenced by experience, academic background, training, and/or relevant 
publications of program staff.
    (3) Whether you have sufficient personnel or will be able to 
quickly retain qualified experts or professionals to begin your 
proposed program immediately and to perform your proposed activities in 
a timely and effective fashion. Describe how principal components of 
your organization will participate in or support your project. You 
should thoroughly describe capacity, as demonstrated by experience in 
initiating and implementing related environmental, health, or housing 
projects.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor addresses the extent to which there is a need for your 
proposed program activities to address documented problems, target 
area(s) and target groups.
    (1) Document a critical level of need for your proposed activities 
in the area where activities will be carried out. You should pay 
specific attention to documenting need as it applies to your target 
area(s), rather than the larger geographic area.
    (2) Your documentation should summarize available data linking 
housing-based hazards to disease or injuries to children in your target 
area(s). Examples of data that might be used to demonstrate need, 
include:
    (a) Economic and demographic data relevant to your target area(s), 
including poverty and unemployment rates;
    (b) Rates of childhood illnesses or injuries (e.g., asthma, burns) 
that could be caused or exacerbated by exposure to conditions in the 
home environment, among children residing in your target area(s), and/
or rates of environmentally-related disease or adverse health effects 
(e.g., hypertension, elevated blood lead levels) in your target 
area(s); and
    (c) Unavailability of other Federal, State or local funding or 
private sector resources that could be, or is used, to address the 
problem.
    (3) For the areas targeted for your project activities, provide 
data available in your jurisdiction's currently approved Consolidated 
Plan, or derived from 1990 Census Data, or derived from other sources 
(all data should be documented) that address:
    (a) The age and condition of housing;
    (b) The number and percentage of very-low and low income families 
with incomes less than 80% of the median income, as determined by HUD, 
for the area, with adjustments for smaller and larger families (See 
application kit for additional information).
    (c) To the extent that statistics and other data contained in your

[[Page 9583]]

community's Consolidated Plan or Analysis of Impediments to Fair 
Housing Choice (AI) support the extent of the problem, you should 
include references to the Consolidated Plan and the AI in your 
response.
    (d) Data documenting targeted groups that are traditionally 
underserved or have special needs. If the data presented in your 
response does not specifically represent your target area, you should 
discuss why the target areas are being proposed. If your application 
addresses needs that are in the Consolidated Plan, AI, court orders or 
consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements, you will receive more points than applicants 
that do not relate their program to identified need.
    (4) Applicants proposing research activities should provide a 
statement supporting the need for this research.

Rating Factor 3: Soundness of Approach (45 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. You should present information on the proposed 
approach for addressing housing-based hazards and describe how proposed 
activities would help HUD achieve its goals for this program area. For 
you to receive maximum points for this factor, there must be a direct 
relationship between the proposed activities, community or research 
needs, and the purpose of the program. The response to this factor 
should include the following elements:
    (1) Strategy (25 points). Describe your program goals and 
objectives and the strategy you will use in planning and executing the 
project. You should provide information on the general approach and 
overall plan employed:
    (a) Baseline Plan for Project Management (10 points). Include a 
management plan that:
    (i) Lists the project objectives, major tasks and activities. All 
specific activities necessary to complete the proposed project must be 
included in the task listing;
    (ii) Identifies appropriate performance goals and benchmarks;
    (iii) Provides a schedule for the assignment and completion of 
major tasks and activities, and a timeframe for delivery;
    (iv) Designates resources and identifies responsible entities; and
    (v) Provides an estimate of per unit (or other appropriate 
apportionment) costs (and a basis for those estimates) for the type of 
interventions that are planned.
    (b) Budget Justification (2 points). Your proposed budget will be 
evaluated for the extent to which it is reasonable, clearly justified, 
and consistent with the project management plan and intended use of 
program funds. HUD is not required to approve or fund all proposed 
activities. You must thoroughly document and justify all budget 
categories and costs (Part B of Standard Form 424A) and all major 
tasks. Describe clearly and in detail your budgeted costs for each 
required program element (major task) included in your overall plan.
    (c) Project Evaluation (8 points). You are required to identify and 
discuss the specific methods you will use to measure progress towards 
your goals, track and report results of interventions, and evaluate the 
effectiveness of interventions:
    (i) Discuss the performance goals for your project and identify 
specific outcome measures;
    (ii) Describe how the outcome information will be obtained, 
documented, and reported; and
    (iii) Identify the major milestones for your project, and describe 
how your progress towards these milestones will be tracked, recorded 
and reported.
    (d) Economic Opportunity (5 points). To the greatest extent 
feasible, Your project should promote job training, employment, and 
other economic opportunities for low-income and minority residents and 
businesses which are owned by and/or employ low-income and minority 
residents as defined in 24 CFR 135.5. You should:
    (i) Describe methods that will result in economic opportunities for 
residents and businesses in the community where activities will be 
carried out. Include information on how you will provide employment, 
business development, and contract opportunities;
    (ii) Describe how you or your partners will satisfy the 
requirements of section 3 of the Housing and Urban Development Act of 
1968 to give preference to hiring low- and very low-income persons or 
contracting with businesses owned by or employing low-and very-low 
income persons;
    (iii) Describe how your proposed project will further and support 
the policy priorities of the Department, including providing 
opportunities for self-sufficiency, particularly for persons enrolled 
in welfare-to-work programs; or providing educational and job training 
opportunities; and
    (iv) Describe the extent to which your proposed activities will 
occur in an Empowerment Zone or Enterprise Community (EZ/EC), if 
applicable.
    (2) Approach for Implementing the Project (20 points). Describe 
your overall approach for your proposed project. The description must 
include a discussion of specific planned program activities which 
address one or more of the following categories:
    (a) Demonstration activities.
    (i) Describe in detail how you will identify, select, prioritize, 
and enroll units of eligible housing in which you will undertake 
housing-based hazards interventions, how you will integrate safe work 
practices into housing maintenance, repair, and improvements, and then 
target such units to low-income families with young children. You 
should use all reasonably available sources of information on 
controlling housing-based hazards in buildings and protecting workers 
and occupants during and after the intervention process.
    (ii) Describe any assessment tools you would employ to establish 
baseline data.
    (iii) Provide the estimated total number of owner occupied and/or 
rental units in which you will conduct interventions.
    (iv) Describe your process for evaluating units of eligible housing 
in which you will undertake housing-based hazard interventions.
    (v) Describe any specialized testing or visual inspection that you 
will conduct during unit inspection with reference to source(s) of the 
protocol(s).
    (vi) Discuss efforts to incorporate cost-effective methods to 
address multiple environmental health and safety hazards, and describe 
the specific interventions you will utilize to control housing-based 
hazards before children are affected; and/or to control these hazards 
in units where children have already been treated for illnesses or 
injuries associated with housing-based hazards (e.g., burns, lead 
poisoning, asthma).
    (vii) Describe the process for your referral of children for 
medical case management if this is not ongoing.
    (viii) Describe your process for the development of work 
specifications for the selected interventions.
    (ix) Describe your management processes to be used to ensure the 
cost-effectiveness of the housing interventions, and provide cost 
estimates per intervention and per unit.
    (x) Discuss your contracting process to obtain contractors to 
conduct interventions in selected units.
    (xi) Describe your plan for the temporary relocation of occupants 
of units selected for intervention, if relocation is necessary, and how 
you will determine the need for relocation. Address the use of safe 
houses and other housing arrangements, storage of household goods, 
stipends, incentives, etc.

[[Page 9584]]

    (xii) Describe your plan for ensuring right of return and/or first 
referral for occupants of units selected for intervention who have had 
to move for intervention to occur.
    (xiii) Describe how you will affirmatively further fair housing.
    (xiv) Describe the financing strategy, including eligibility 
requirements, terms, conditions, and amounts available, to be employed 
in conducting housing-based hazards activities. You must discuss the 
way funds will be administered (e.g., use of grants, deferred loans, 
forgivable loans, other resources, private sector financing, etc.) as 
well as the agency which will administer the process.
    (b) Outreach Activities. This should include general and/or 
targeted efforts undertaken to assist your efforts in reducing exposure 
to housing-based hazards. You must describe:
    (i) Proposed methods of community outreach. These should include 
community awareness, education, training, and outreach programs in 
support of your work plan and objectives that are culturally sensitive, 
targeted, and linguistically appropriate.
    (ii) Proposed involvement of neighborhood or community-based 
organizations in the proposed activities. These activities may include 
outreach, community education, marketing, inspection, and housing 
evaluations and interventions.
    (iii) Proposed methods to reach high risk groups and communities, 
vulnerable populations and persons traditionally underserved (see 
Rating Factor 2(d)).
    (c) Research Activities.
    (i) Provide a detailed description of your proposed applied 
research activities. Your research designs should be feasible and 
display thorough knowledge of relevant scientific literature.
    (ii) Include an appropriate plan for managing, analyzing and 
archiving data.
    (iii) Describe how quality assurance and quality control are 
integrated into your research design to ensure the validity and quality 
of collected data.
    (iv) Describe technical qualifications and requirements for 
laboratories. To be eligible for points under this factor, any 
laboratories you use must successfully participate in the Clinical 
Laboratory Program, National Lead Laboratory Accreditation Program, 
and/or National Voluntary Laboratory Accreditation Program, or other 
applicable quality assurance program, which you demonstrate to be 
substantially equivalent.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other community 
resources (such as financing, supplies or services) which can be 
combined with HUD's resources to achieve project purposes.
    (1) In evaluating this factor, HUD will consider the extent to 
which you have partnered with other entities to secure additional 
resources to increase the effectiveness of your proposed project. 
Describe how other organizations will participate in or support your 
project. Resources may include funding or in-kind contributions (such 
as services or equipment) allocated to your proposed program. Resources 
may be provided by governmental entities, public or private 
organizations, or other entities willing to be your partner in this 
effort.
    (2) Each source of contributions (financial or in kind) must be 
supported by a letter of commitment from the contributing entity, 
whether a public or private source, which must describe the contributed 
resources that will be used in your program. Staff in-kind 
contributions should be given a market-based monetary value. If you 
fail to provide letters of commitment with specific details including 
the amount of the actual contributions, you will not get rating points 
for this factor. Each letter of commitment, memorandum of 
understanding, or agreement to participate shall include the 
organization's name and the proposed level of commitment and 
responsibilities as they relate to the proposed program. The commitment 
must be signed by an official legally able to make commitments on 
behalf of the organization.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which your program reflects a 
coordinated, community-based process of identifying needs and building 
a system to address the needs by using available HUD and other 
community resources. In evaluating this factor, HUD will consider:
    (1) The degree of coordination of your proposed project with those 
of other groups or organizations to best support and coordinate all 
activities, and the specific steps you will take to share information 
on solutions and outcomes with others. Any written agreements or 
memoranda of understanding in place must be described.
    (2) The extent to which you have developed linkages, or the 
specific steps you will take to develop linkages, to coordinate your 
activities so solutions are holistic and comprehensive. Linkages 
include those with other HUD, Federal, State, the Partnership for 
Advancing Technology in Homebuilding (PATH) (see Section VI(E) of the 
General Section of the SuperNOFA), or locally funded activities through 
meetings, information networks, planning processes, or other means.
    (3) The degree of coordination with housing rehabilitation, housing 
and health inspection, and other related housing programs.
    (a) Describe your plan for integrating and coordinating housing-
based hazards interventions with other housing-related activities 
(e.g., rehabilitation, weatherization, removal of code violations, and 
other similar work).
    (b) Describe your plans to consolidate housing-based hazards 
interventions with applicable housing codes and health regulations.
    (c) Describe your plans to generate and use public subsidies or 
other resources (such as revolving loan funds) to finance future 
interventions to prevent and control housing-based hazards, 
particularly in low- and very-low-income housing.
    (d) Detail the extent to which you will ensure that the needs of 
minorities and persons with disabilities will be addressed adequately 
during your intervention activities; and that housing in which 
environmental hazards have been addressed will remain available and 
affordable in the long run for low income, minority, large families, 
and for persons with disabilities.
    (4) If applicable, the application should demonstrate a knowledge 
of the target community's Consolidated Plan and/or Analysis of 
Impediments to Fair Housing Choice and detail the Consolidated Plan 
issue areas in which your organization participates. Describe the 
degree to which you have become actively involved (or if not currently 
active, the specific steps you will take to become active) in your 
community's Consolidated Planning process established to identify and 
address a need/problem that is related in whole or part, directly, or 
indirectly the activities you propose.

VI. Application Submission Requirements

    (A) Applicant Information. You should submit your application in 
accordance with the format and instructions contained in this program 
section of this SuperNOFA (the application kit repeats this 
information). The following is a checklist of required application 
contents. Your application must contain the items listed in this

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Section V(B). These items include the standard forms, certifications, 
and assurances listed in the General Section of the SuperNOFA that are 
applicable to this funding (collectively, referred to as the ``standard 
forms''). The standard forms can be found in Appendix B to the General 
Section of the SuperNOFA. The remaining application items that are 
forms (i.e., excluding such items as narratives), referred to as the 
``non-standard forms'' can be found as Appendix C to this program 
section of the SuperNOFA. The items are as follows:
    (1) Transmittal letter that summarizes your proposed program, 
provides the dollar amount requested, and identifies you and your 
partners in the application.
    (2) The name, mailing address, telephone number, and principal 
contact person. If you are a consortium of associates, sub-recipients, 
partners, major subcontractors, joint venture participants, or others 
contributing resources to the project, similar information shall also 
be provided for each of these entities and you must specify the lead 
entity.
    (3) Checklist and Submission Table of Contents.
    (4) Completed Forms HUD-2880, Applicant/Recipient Disclosure/Update 
Report; Certification Regarding Lobbying; and SF-LLL, Disclosure of 
Lobbying Activities, where applicable.
    (5) Standard Forms SF-424, 424A, 424B, and other certifications and 
assurances listed in this program section.
    (6) A narrative statement addressing the rating factors for award. 
The narrative statement must be numbered in accordance with each factor 
for award (Rating Factors 1 through 5). The response to the rating 
factors must not exceed a total of 25 pages. Any pages in excess of 
this limit will not be read.
    (7) Any attachments, appendices, references, or other relevant 
information that directly support the narrative may accompany it, but 
must not exceed twenty (20) pages for your entire application. Any 
pages in excess of this limit will not be read.
    (8) A detailed budget with supporting cost justification for all 
budget categories of your funding request (in accordance with Rating 
Factor 3(b)(1)). This information will not be counted towards the page 
limits.
    (9) The resumes and position descriptions of your project director 
and program manager and up to three additional key personnel, not to 
exceed three pages each (in accordance with Rating Factor 1). This 
information will not be counted towards the page limits.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    Activities assisted under this program are subject to HUD 
environmental review to the extent required under 24 CFR part 50. An 
award under the Healthy Homes Initiative does not constitute approval 
of specific sites where activities may be carried out. Following award 
execution, HUD will perform environmental reviews for activities to be 
carried out on properties proposed by your organization. You may not 
rehabilitate, convert, repair or construct a property, or commit or 
expend program funds or non-HUD funds for these program activities for 
any eligible property, until you receive written notification from the 
appropriate HUD official that HUD has completed its environmental 
review and the property has been approved. The results of environmental 
reviews may require that proposed activities be modified or proposed 
sites rejected.

X. Authority

    The authority for this program is the Departments of Veterans 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, 2000, Pub.L. 106-74, approved October 20, 1999, 113 
Stat. 1047.

Appendix A

    The following briefly describes the housing-associated health 
and injury hazards HUD considers key targets for intervention:
    Allergens and asthma: Experts estimate that 14 million Americans 
have asthma, with an associated annual cost of $14 billion. Asthma 
is now recognized as the leading cause of school and work absence, 
emergency room visits and hospitalization. For sensitized children, 
exposure to antigens from dust mites, certain pets, and cockroaches 
has been associated with more severe asthma. There is a 
preponderance of evidence showing a dose-response relationship 
between exposure and prevalence of asthma and allergies; some 
evidence also indicates that exposure to antigens early in life may 
predispose or hasten the onset of allergies and asthma Dust mites 
have been identified as the largest trigger for asthma and 
allergies. Cockroach allergens appear to be excessive in 30-50% of 
inner-city housing and affect 5-15% of the population, whereas dust 
mite appears to be the dominant allergen in other environments.
    Interventions known to have beneficial effects include 
installation of impervious mattress and pillow covers, which can 
reduce allergen exposure by 90%. Other dust mite control measures 
include dehumidification, laundering bedding, and removal of carpets 
and other dust sinks. Cleaning carpets with tannic acid solution has 
also been demonstrated to greatly reduce dust mites. Asthma 
prevention program costs have been estimated at about $500 per unit, 
which includes about $150 for educational interventions.
    Asbestos: Asbestos is a mineral fiber that has been used 
commonly in a variety of building construction materials and 
household products for insulation and as a fire-retardant. The 
Environmental Protection Agency (EPA) and the Consumer Product 
Safety Commission (CPSC) have banned most asbestos products. 
Manufacturers have also voluntarily limited uses of asbestos. Today, 
asbestos is most commonly found in older homes: in pipe and furnace 
insulation materials, asbestos shingles, millboard, textured paints 
and other coating materials, and floor tiles. Elevated 
concentrations of airborne asbestos can occur when asbestos-
containing materials (ACM) are disturbed by cutting, sanding or 
other remodeling activities. Improper attempts to remove these 
materials can release asbestos fibers into the air in homes, 
increasing asbestos levels and endangering people living in those 
homes. The most dangerous asbestos fibers are too small to be 
visible. After they are inhaled, they can remain and accumulate in 
the lungs. Asbestos can cause lung cancer, mesothelioma (a cancer of 
the chest and abdominal linings), and asbestosis (irreversible lung 
scarring that can be fatal). Most people with asbestos-related 
diseases were exposed to elevated concentrations on the job; some 
developed disease from exposure to clothing and equipment brought 
home from job sites. As with radon, dose-response extrapolations 
suggest that lower level exposures, as may occur when asbestos-
containing building materials deteriorate or are disturbed, may also 
cause cancer.
    Intact asbestos-containing materials are not a hazard; they 
should be monitored for damage or deterioration and isolated if 
possible. Repair of damaged or deteriorating ACM usually involves 
either sealing (encapsulation) or covering (enclosure) it. Repair is 
usually cheaper than removal, but it may make later removal of 
asbestos more difficult and costly. Repairs should be done only by a 
professional trained and certified to handle asbestos safely and can 
cost from a few hundred to a few thousand dollars; removal can be 
more expensive.
    Combustion products of heating and cooking appliances: Burning 
of oil, natural gas, kerosene, and wood for heating or cooking 
purposes can release a variety of combustion products of health 
concern. Depending upon the fuel, these may include carbon monoxide 
(a chemical asphyxiant), oxides of nitrogen (respiratory irritants), 
polycyclic aromatic hydrocarbons (e.g., the carcinogen 
benzo[a]pyrene), and airborne particulate matter (respiratory 
irritants). Carbon monoxide, an odorless gas, can be fatal. Nitrogen 
dioxide can damage the respiratory tract, and sulfur dioxide can 
irritate the eyes, nose and respiratory tract. Smoke and other 
particulates irritate the eyes, nose and throat, and can cause lung 
cancer.
    Improper venting and poor maintenance of heating systems and 
cooking appliances can

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dramatically increase exposure to combustion products. Experts 
recommend having combustion heating systems inspected by a trained 
professional every year to identify blocked openings to flues and 
chimneys; cracked or disconnected flue pipe; dirty filters; rust or 
cracks in the heat exchanger; soot or creosote build-up; and exhaust 
or gas odors. Installing a carbon monoxide detector is also 
recommended; however, such a detector will not detect other 
combustion by-products.
    Insect and Rodent pests: The observed association between 
exposure to cockroach antigen and asthma severity has already been 
noted above. In addition, cockroaches may act as vehicles to 
contaminate and environmental surfaces with certain pathogenic 
organisms. Rodents can transmit a number of communicable diseases to 
humans, either through bites, arthropod vectors, or exposure to 
aerosolized excreta. In addition, humans can become sensitized to 
proteins in rodent, urine, dander and saliva. Such sensitization may 
contribute to asthma severity among children. Insect and rodent 
infestation is frequently associated with substandard housing that 
makes it difficult to eliminate. Treatment of rodent and insect 
infestations often includes the use of toxic pesticides which may 
present hazards to occupants (see below). Integrated pest management 
(IPM) for rodents and cockroaches, which reduces the use of 
pesticides, is estimated to cost approximately $150 per unit. IPM 
control measures include sealing holes and cracks, removing food 
sources and use of traps.
    Lead: Exposure to lead, especially from deteriorating lead-based 
paint, remains one of the most important and best-studied of the 
household environmental hazards to children. Although blood lead 
levels have fallen nationally, a large reservoir of lead remains in 
housing. The most recent national survey, conducted from 1991-94, 
showed that nearly one million U.S. preschoolers still have elevated 
blood lead levels. Overall, the prevalence rate among all children 
under six years of age is 4.4%. Among low-income children living in 
older housing where lead-based paint is most prevalent, the rate 
climbs to 16%; and for African-American children living in such 
housing, it reaches 21%.
    HUD estimates that 64 million dwellings have some lead-based 
paint, and that 20 million have lead-based paint hazards. Of those, 
about 3.6 million have young children and of those, about 500,000 
units have inadequate cash flow to respond to lead-based paint 
hazards. Costs can range anywhere from $500 to $15,000 per unit. 
Corrective measures include paint stabilization, enclosure and 
removal of certain building components coated with lead paint, and 
cleanup and ``clearance testing'', which ensures the unit is safe 
for young children.
    Mold and moisture: An analysis of several pulmonary disease 
studies estimates that 25% of airways disease, and 60% of 
interstitial lung disease may be associated with moisture in the 
home or work environment. Moisture is a precursor to the growth of 
mold and other biological agents, which is also associated with 
respiratory symptoms. An investigation of a cluster of pulmonary 
hemosiderosis (PH) cases in infants showed PH was associated with a 
history of recent water damage to homes and with levels of the mold 
Stachybotrys atra (SA) in air and in cultured surface samples. 
Associations between exposure to SA and ``sick building'' symptoms 
in adults have also been observed. Other related toxigenic fungi 
have been found in association with SA-associated illness and could 
play a role. For sensitive individuals, exposure to a wide variety 
of common molds may also aggravate asthma. Addressing mold problems 
in housing requires coordination among the medical, public health, 
microbiological, housing, and building science communities.
    The cost of mold/moisture-related intervention work (e.g., 
integrated pest management, clean & tune furnace, remove debris, 
vent clothes dryer, cover dirt floor with impermeable vapor barrier) 
is a few hundred dollars, unless major modification of the 
ventilation system is needed. In Cleveland, mold interventions, 
including repairs to ventilation systems and basement flooring, in 
the most heavily-contaminated homes range from $500-$5,000, with 
some costs also being dedicated to lead hazard control 
simultaneously through its lead+asthma program.
    Pesticide residues: According to the EPA, 75 percent of U.S. 
households used at least one pesticide product indoors during the 
past year. Products used most often are insecticides and 
disinfectants. Another study suggests 80 percent of most people's 
exposure to pesticides occurs indoors and that measurable levels of 
up to a dozen pesticides have been found in the air inside homes. 
The amount of pesticides found in homes appears to be greater than 
can be explained by recent pesticide use in those households; other 
possible sources include contaminated soil or dust that migrates in 
from outside, stored pesticide containers, and household surfaces 
that collect and then release the pesticides. Pesticides used in and 
around the home include products to control insects (insecticides), 
termites (termiticides), rodents (rodenticides), molds and fungi 
(fungicides), and microbes (disinfectants). In 1990, the American 
Association of Poison Control Centers reported that some 79,000 
children were involved in common household pesticide poisonings or 
exposures. In households with children under five years old, almost 
one-half stored at least one pesticide product within reach of 
children. Exposure to chlorpyriphos (CP), a commonly used 
organophosphate insecticide, in the prenatal and early postnatal 
period may impair neurodevelopment. While CP is a biodegradable 
pesticide, substantial persistence of CP in house dust has been 
demonstrated. Exposure to high levels of cyclodiene pesticides, 
commonly associated with misapplication, has produced various 
symptoms, including headaches, dizziness, muscle twitching, 
weakness, tingling sensations, and nausea. In addition, EPA is 
concerned that cyclodienes might cause long-term damage to the liver 
and the central nervous system, as well as an increased risk of 
cancer.
    There are available data on hazard evaluation methods and 
remediation effectiveness regarding pesticide residues in the home 
environment.
    Radon progeny: The National Academy of Sciences estimates that 
approximately 15,000 cases of lung cancer per year are related to 
radon exposure. Epidemiologic studies of miners exposed to high 
levels of radon in inhaled air have defined the dose response 
relation for radon-induced lung cancer at high exposure levels. 
Extrapolation of these data has been used to estimate the excess 
risk of lung cancer attributable to exposure to radon gas at the 
lower levels found in homes. These estimates indicate that radon gas 
is an important cause of lung cancer deaths in the U.S. Excessive 
exposures are typically related to home ventilation, structural 
integrity and location.
    Radon measurement and remediation methods are well-developed, 
and the Environmental Protection Agency (EPA) recommends that every 
home be measured for radon. EPA estimates that materials and labor 
costs for radon reduction in an existing home are $800-$2500. 
Including radon resistant techniques in new home construction costs 
$350-$500, and can save up to $65 annually in energy costs, 
according to the EPA.
    Take home hazards from work/hobbies and work at home: When the 
clothing, hair, skin, or shoes of workers become contaminated with 
hazardous materials in the workplace, such contaminants may 
inadvertently be carried to the home environment and/or an 
automobile. Such ``take-home'' exposures have been demonstrated, for 
example, in homes of lead-exposed workers. In addition, certain 
hobbies or workplaces located in the home may provide an especially 
great risk of household contamination.
    Control methods include storing and laundering work clothes 
separately, and showering and changing before leaving work, or 
immediately after arriving home. Once a home becomes contaminated, 
cleaning floors and contact surfaces and replacing furnishings may 
be necessary to reduce exposures.
    Unintentional injuries/fire: Unintentional injury is now the 
leading cause of death and disability among children younger than 15 
years of age. In 1997, nearly 7 million persons in the United States 
were disabled for at least 1 full day by unintentional injuries 
received at home. During the same year, 28,400 deaths were 
attributable to unintentional home injuries, of which 1800 occurred 
among children 0-4 years of age. Among young children, three types 
of events accounted for more than 3/4 of deaths: fires/ burns, 
drownings, and mechanical suffocation. Falls and poisoning are the 
next most common.
    Home visitation protocols have been shown to be effective in 
reducing exposure to such hazards. The ``add-on'' cost of injury 
prevention measures, when combined with other housing interventions 
are estimated at about $100 per unit. This includes the cost of some 
injury prevention devices, such as smoke alarms, electrical socket 
covers, etc.

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APPENDIX B

References

    To secure any of the documents listed, call the listed telephone 
number (generally, the telephone numbers are not toll-free).

Regulations

    1. Worker Protection: OSHA publication--Telephone: 202-693-1888 
(OSHA Regulations) (available for a charge)--Government Printing 
Office--Telephone: 202-512-1800 (not a toll-free number):

--General Industry Lead Standard, 29 CFR 1910.1025 (Document Number 
869022001124). Can be downloaded from the Internet without a charge 
from www.osha-slc.gov/OshStd__data/1910__1025.html.
--Lead Exposure in Construction, 29 CFR 1926.62, and appendices A, 
B, C, and D (Document Number 869022001141). Can be downloaded from 
the Internet without a charge from www.osha-slc.gov/OshStd__data/
1926__0062.html.

    2. Waste Disposal: 40 CFR parts 260-268 (EPA regulations) 
(available for a charge)--Telephone 1-800-424-9346, or, from the 
Washington, DC, metropolitan area, 1-703-412-9810 (not a toll-free 
number). Can be downloaded from the Internet without a charge from 
www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/.
    3. Lead; Requirements for Lead-Based Paint Activities in Target 
Housing and Child-Occupied Facilities; Final Rule: 40 CFR part 745, 
Subparts L and Q (EPA) (State Certification and Accreditation 
Program for those engaged in lead-based paint activities)--
Telephone: 1-202-554-1404 (Toxic Substances Control Act Hotline) 
(not a toll-free number). Can be downloaded from the Internet 
without a charge from www.epa.gov/opptintr/lead/index.html.

Guidelines

    1. Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing; HUD, June 1995, and amended September, 1997. 
(available for a charge)--Telephone: 800-245-2691. Can be downloaded 
from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.
    2. Preventing Lead Poisoning in Young Children; Centers for 
Disease Control, October 1991: Telephone: 888-232-6789.
    3. Screening Young Children for Lead Poisoning: Guidance for 
State and Local Public Health Officials, November 1997; Centers for 
Disease Control and Prevention (CDC): Telephone: 888-232-6789. Can 
be downloaded from the Internet without a charge from www.hud.gov/lea/leadwnlo.html.

Reports

    Putting the Pieces Together: Controlling Lead Hazards in the 
Nation's Housing, (Summary and Full Report); HUD, July 1995 
(available for a charge) --Telephone 800-245-2691. Can be downloaded 
from the Internet without a charge from www.hud.gov/lea/leadwnlo.html
    The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, July 1995. Can be downloaded from the Internet 
without a charge from www.hud.gov/lea/leadwnlo.html
    3. Institute of Medicine. Indoor Allergens. Assessing and 
Controlling Adverse Health Effects. National Academy Press. 
Washington, D.C. 1993.
    4. Mott L., Our Children at Risk. Natural Resources Defense 
Council. Washington, D.C. 1997 Can be ordered from the Internet from 
WWW.nrdc.org.
    5. Rom W.N. Ed. Environmental and Occupational Medicine. Little, 
Brown and Co., Boston. 1992.
    6. President's Task Force on Environmental Health Risks and 
Safety Risks to Children. Asthma and The Environment: An Action Plan 
To Protect Children. Washington, D.C. 1999. Can be downloaded from 
the Internet without a charge from www.epa.gov/children.
BILLING CODE 4210-32-P

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APPENDIX C

    The non-standard forms, which follow, are required for your HHI 
application. They are the Checklist and Submission Table of Contents 
and the Total Budget (Federal Share and Matching Contribution, 
including instructions). 
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FUNDING AVAILABILITY FOR THE HOPE VI PROGRAM

Program Overview

    Purpose of the Program. HOPE VI Revitalization Grants. In 
accordance with section 24(a) of the U.S. Housing Act of 1937 (1937 
Act), the purpose of HOPE VI Revitalization grants is to assist public 
housing agencies (PHAs) to:
    (1) Improve the living environment for public housing residents of 
severely distressed public housing projects through the demolition, 
rehabilitation, reconfiguration, or replacement of obsolete public 
housing projects (or portions thereof);
    (2) Revitalize sites (including remaining public housing dwelling 
units) on which such public housing projects are located and contribute 
to the improvement of the surrounding neighborhood;
    (3) Provide housing that will avoid or decrease the concentration 
of very low-income families; and
    (4) Build sustainable communities.
    HOPE VI Demolition Grants. Demolition grants enable PHAs to 
expedite the demolition of severely distressed public housing units. 
Any subsequent new construction or revitalization of any remaining 
units must be funded from other resources, which may include a HOPE VI 
Revitalization Grant.
    Available Funds. Approximately $563.8 million, as allocated in 
accordance with Section II of this HOPE VI section of the SuperNOFA, 
below.
    Eligible Applicants. PHAs that meet the requirements at Section 
III(B) of this HOPE VI section of the SuperNOFA, below.
    Application Deadlines. Revitalization grant applications are due on 
May 18, 2000.
    Demolition grant applications are due on June 14, 2000.

Additional Information

    If you are interested in applying for a HOPE VI grant, please 
review the following information, the General Section of this 
SuperNOFA, and the HOPE VI Application Kit.

I. Application Due Dates, Application Kits, Further Information, 
and Technical Assistance.

    Application Due Dates. Revitalization grant applications are due at 
HUD Headquarters on or before 12:00 midnight, Eastern time, on May 18, 
2000.
    Demolition grant applications are due at HUD Headquarters on or 
before 12:00 midnight, Eastern time, on June 14, 2000.
    See Section VII(B)(3) of this HOPE VI section of the SuperNOFA, 
below, for important information regarding the application deadline and 
deficiency cure period for Demolition grant applications.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Send two copies of your 
completed application to HUD Headquarters, 451 Seventh Street, SW, Room 
4130, Washington, DC 20410, Attention: Elinor Bacon, Deputy Assistant 
Secretary for Public Housing Investments. In addition, send one copy of 
your completed application to your local HUD Field Office. A list of 
HUD Field Offices and their hours of operation is included as Appendix 
A of the General Section of this SuperNOFA. HUD will determine whether 
your application is timely filed based on the date and time of receipt 
at HUD Headquarters, not the date and time of receipt at your local 
Field Office.
    Applications Submitted to HUD Field Offices. If you wish to hand 
carry the required copy of your application to your local HUD Field 
Office, you may do so during normal business hours before the 
application deadline date. On the application deadline date, HUD Field 
Office business hours will be extended to 6:00 pm.
    Application Kits. HUD will mail an Application Kit to every 
eligible PHA. To obtain an Application Kit and any supplemental 
materials, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an Application Kit, 
please refer to HOPE VI and provide your name, address (including zip 
code), and telephone number (including area code). The Application Kit 
also will be available on the HUD Home Page (www.hud.gov).
    Further Information and Technical Assistance. You may call, fax or 
write Mr. Milan Ozdinec, Director, Office of Urban Revitalization, 
Department of Housing and Urban Development, 451 Seventh Street, SW, 
Room 4130, Washington, DC 20410; telephone (202) 708-2822; fax (202) 
401-2370 (these are not toll free numbers). Persons with hearing or 
speech impairments may call via TTY by calling the Federal Information 
Relay Service at 1-800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

------------------------------------------------------------------------
                                                        Funds available
                                      Allocation of    for award in this
        Type of assistance                funds         HOPE VI section
                                                        of the SuperNOFA
------------------------------------------------------------------------
Revitalization Grants.............       $513,800,000       $513,800,000
Demolition Grants.................         50,000,000         50,000,000
Technical Assistance..............         10,000,000  .................
Urban Institute Study.............          1,200,000  .................
                                   -------------------------------------
    Total.........................        575,000,000        563,800,000
------------------------------------------------------------------------

    (A) Revitalization Grants. (1) Allocation of Funds.
    (a) Approximately $513 million of the FY 2000 HOPE VI appropriation 
has been allocated to fund HOPE VI Revitalization grants and will be 
awarded in accordance with this HOPE VI section of the SuperNOFA.
    (b) The total amount you may request is limited to the sum of the 
amounts in paragraph (2) below or the amount in paragraph (3) below of 
this Section II(A), whichever is lower.
    (2) Total Grant Amount. You may submit one Revitalization grant 
application that requests up to $35 million. If you erroneously submit 
more

[[Page 9600]]

than one application, HUD will require you to identify which 
application you want HUD to review.
    (3) Revitalization Grant Limitations.
    (a) Total Development Cost (TDC). TDCs are limited by the HUD-
published TDC Cost Tables, which are issued for each fiscal year for 
the building type and bedroom distribution for the public housing 
replacement units. Use the TDCs in force at the time the SuperNOFA is 
published when making your TDC calculations. The total cost of 
development, including relocation costs, is limited to the sum of:
    (i) HUD's Total Development Costs (TDCs) up to 100 percent of HUD's 
published TDC limits for the costs of demolition and new construction, 
multiplied by the number of HOPE VI replacement units; and/or
    (ii) 90 percent of the TDC limits, multiplied by the number of 
public housing units after substantial rehabilitation and 
reconfiguration.
    (b) Community and Supportive Services. You may request an amount up 
to 15 percent of the total HOPE VI grant to pay the costs of community 
and supportive services, as described in Section IV(C)(2) of this HOPE 
VI section of the SuperNOFA, below. These costs are in addition to the 
TDC calculation in paragraph (a) above.
    (c) Demolition and Site Remediation Costs of Unreplaced On-site 
Units. You may request an amount necessary for demolition and site 
remediation costs of units that will not be replaced on-site. This cost 
is in addition to the TDC calculation in subparagraph (a) above.
    (d) Extraordinary Site Costs.
    (i) You may request a reasonable amount to pay extraordinary site 
costs necessary to complete the proposed revitalization. These costs 
are in addition to the TDC calculation in paragraph (a) above. 
Extraordinary site costs may be incurred in the remediation and 
demolition of existing property, as well as in the development of new 
and rehabilitated units. Examples of such costs include, but are not 
limited to: extraordinary hazard abatement; removal or replacement of 
extensive underground utility systems; extensive rock and/or soil 
removal and replacement; construction of streets and other public 
improvements dealing with unusual site conditions such as slopes, 
terraces, water catchments, lakes, etc.; and dealing with flood plain 
and other environmental remediation issues.
    (ii) Extraordinary site costs must be justified and verified by an 
engineer or architect licensed by his or her state licensing board who 
is not an employee of the housing authority or the city. The engineer 
or architect must provide his or her license number and state of 
registration on the certification.
    (4) Revitalization Site and Unit Application Guidelines.
    (a) Your application may request funds for one public housing 
project (i.e., a project with one development number).
    (b) Your application may request funds for more than one project if 
those projects are immediately adjacent to one another or within a 
quarter-mile of each other. If you include more than one project in a 
single application, you must provide a map that clearly indicates that 
the projects are within a quarter-mile of each other.
    (c) Your application may request funds for a scattered site public 
housing project. An application involving scattered site properties 
(regardless of whether the scattered sites are under multiple project 
numbers) must fall within a one square mile area, except that you may 
identify a larger site if you can show that all of the targeted 
scattered site units are located within the hard edges (e.g., major 
highways, railroad tracks, lakeshore, etc.) of a neighborhood.
    (d) You may request funds for as few or as many units as you wish 
in your application. HUD will review requests for small numbers of 
units on an equal basis with requests for large numbers of units.
    (e) You may submit a Revitalization application that targets the 
same project that was targeted in a previously-funded HOPE VI 
Revitalization grant. However, you may not apply for new HOPE VI funds 
for units in that project that were funded in the previous grant, even 
if the previous grant turned out to be inadequate to fund all of the 
units originally targeted. For example, if a project has 700 units, and 
you were awarded a HOPE VI Revitalization grant to revitalize 300 of 
those units, you may submit a new Revitalization application to 
revitalize the remaining 400 units. You may not apply for supplemental 
funds to revitalize the original 300 units.
    (f) You may not request HOPE VI Revitalization funds to replace 
units if you have previously received HOPE VI or other public housing 
funds to replace those same units.
    (g) You may use any non-public housing funds to supplement public 
housing funds for any project cost.
    (h) Your application must disclose all prior HUD public housing 
grant assistance received for the project(s) you have targeted for the 
physical revitalization related to the proposed revitalization 
activities. Do not include Modernization funds used for prior 
rehabilitation activities unrelated to the proposed HOPE VI 
revitalization activities.
    (B) Demolition Grants. (1) Allocation of Funds.
    (a) Up to $50 million of the FY 2000 HOPE VI appropriation has been 
allocated to fund HOPE VI Demolition grants and will be awarded in 
accordance with this HOPE VI section of the SuperNOFA.
    (b) If all of these funds are not needed for demolition of severely 
distressed public housing, unused funds will be reallocated to fund 
eligible HOPE VI Revitalization applications, in rank order.
    (c) HUD reserves the right to carry over unused funds to the next 
fiscal year if they are inadequate to feasibly fund the next-ranked 
Demolition or Revitalization application.
    (2) Demolition Grant Limitations. 
    (a) Demolition. You may request up to $5,000 per unit for 
demolition and other eligible related costs; and
    (b) Relocation. You may request up to $3,000 in relocation costs 
for each unit that is occupied as of the date of HOPE VI Demolition 
grant application submission, in accordance with Section III(C)(2)(e) 
of this HOPE VI section of the SuperNOFA, below; and
    (c) Extraordinary Site Costs.
    (i) You may request a reasonable amount to pay extraordinary site 
costs necessary to complete the proposed demolition. These costs are in 
addition to the TDC calculation in Section II(A)(3)(a) of this HOPE VI 
section of the SuperNOFA, above. Examples of such costs include, but 
are not limited to: extraordinary hazard abatement; extensive rock and/
or soil removal and replacement; removal of extensive underground 
utility systems; dealing with unusual site conditions such as slopes, 
terraces, water catchments, lakes, etc.; and dealing with flood plain 
and other environmental remediation issues.
    (ii) Extraordinary site costs must be justified and verified by an 
engineer or architect licensed by his or her state licensing board who 
is not an employee of the housing authority or the city. The engineer 
or architect must provide his or her license number and state of 
registration on the certification.
    (d) Nondwelling Facilities. You may request reasonable amounts to 
pay for demolition of significant nondwelling facilities related to the 
demolition of dwelling units. These costs must be included as part of 
an application for funding of demolition of public housing units; you 
may not apply for them by themselves. Examples of such costs include, 
but are not limited to, the

[[Page 9601]]

demolition of heating plants, community buildings, or streets. Such 
costs must also be verified by an engineer or architect, as described 
in subparagraph (c)(ii) above.
    (3) Demolition Site and Unit Application Guidelines. (a) You may 
submit multiple HOPE VI Demolition grant applications.
    (b) You may target units in only one public housing project per 
application.
    (c) You may submit more than one application targeting units in a 
single housing project.
    (d) You may request funds for as many or as few units in an 
application as you wish.
    (e) You may request Demolition grant funds in combination with a 
previously-awarded Revitalization grant or an FY 2000 Revitalization 
grant application, in accordance with Section VII(A)(1) (d) and (e) of 
this HOPE VI section of the SuperNOFA, below. The requested HOPE VI 
Demolition grant funds, in combination with HOPE VI Revitalization 
grant funds, may not exceed the TDC limit as provided in Section 
(II)(A)(3)(a), above.
    (C) Section 8. (1) If you will need Section 8 assistance in order 
to carry out necessary relocation in conjunction with proposed 
revitalization or demolition, you must state the number of certificates 
needed in your HOPE VI application and include a completed Section 8 
Application (HUD-52515) with your HOPE VI application. The Section 8 
Application Form is appended to this HOPE VI section of the SuperNOFA, 
and also can be found in the HOPE VI Application Kit and through 
HUDCLIPS (www.hudclips.org). If you are selected for HOPE VI funding, 
the HUD Field Office will detach the Section 8 application and process 
it in accordance with Section 8 Guidelines. HUD will award Section 8 
assistance needed for HOPE VI sites after the HOPE VI selections have 
been made and the Revitalization Plan is approved.
    (2) If you have already applied for Section 8 assistance for the 
targeted units, you will submit a copy of your Section 8 application 
with your HOPE VI application.
    (3) If you have previously received Section 8 assistance to 
relocate residents from the targeted severely distressed units, you may 
still apply for a HOPE VI Revitalization grant to physically replace 
those same units or a HOPE VI Demolition grant to demolish the units 
without replacement.
    (4) You may request Section 8 assistance to provide either 
temporary or permanent relocation to families during the demolition, 
rehabilitation, or construction of the severely distressed project.
    (5) You may request Section 8 assistance for all units covered 
under a HOPE VI Revitalization or Demolition application that will not 
be replaced with hard units.
    (D) Technical Assistance. The FY 2000 appropriation for HOPE VI 
allocated $10 million to provide Technical Assistance in the planning, 
development, and implementation of the HOPE VI program. Those funds 
will be administered by the Office of Public Housing Investments.
    (E) Urban Institute Study. The FY 2000 HOPE VI appropriation 
allocated $1.2 million to the Urban Institute to conduct an independent 
study on the long-term effects of the HOPE VI program on former 
residents of distressed public housing developments. HUD will execute a 
contract for this study with the Urban Institute in a separate action.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The HOPE VI Program through its 
revitalization funding component assists PHAs in improving the living 
environment for public housing residents of severely distressed public 
housing projects through the demolition, rehabilitation, 
reconfiguration, or replacement of obsolete public housing projects (or 
portions thereof), in revitalizing sites in which public housing sites 
are located, and providing housing that avoids or decreases the 
concentration of very low-income families. The demolition funding 
component of the HOPE VI Program enables PHAs to expedite the 
demolition of severely distressed public housing units.
    (B) Eligible Applicants. In accordance with section 24(j) of the 
1937 Act, the term ``applicant'' means:
    (1) Any PHA that is not designated as ``troubled'' pursuant to 
section 6(j)(2) of the 1937 Act;
    (2) Any PHA for which a private housing management agent has been 
selected, or a receiver has been appointed, pursuant to section 6(j)(3) 
of the 1937 Act; and
    (3) Any PHA that is designated as ``troubled'' pursuant to section 
6(j)(2) of the 1937 Act and that:
    (a) Is designated as troubled principally for reasons that will not 
affect its capacity to carry out a revitalization program;
    (b) Is making substantial progress toward eliminating the 
deficiencies of the agency that resulted in its troubled status; or
    (c) Is otherwise determined by HUD to be capable of carrying out a 
revitalization program.
    (C) Eligible Activities. (1) Eligible Revitalization Activities. 
HOPE VI Revitalization grants may be used for activities to carry out 
revitalization programs for severely distressed public housing in 
accordance with section 24(d) of the 1937 Act. The following is a list 
of activities that are eligible using HOPE VI Revitalization grant 
funds. Other activities may also be eligible at future dates as 
Congress may authorize. If HOPE VI Revitalization grant funds are used 
for any of the following activities, you must conduct them in 
accordance with the following program requirements.
    (a) Demolition of buildings (dwelling units and nondwelling 
facilities), in whole or in part, including the abatement of 
environmentally hazardous materials such as asbestos. Section 24(g) of 
the 1937 Act provides that severely distressed public housing 
demolished pursuant to a Revitalization Plan is not subject to the 
provisions of section 18 of the 1937 Act or regulations at 24 CFR part 
970. Instead, if you are selected to receive a HOPE VI Revitalization 
grant, HUD will use information in your HOPE VI Revitalization 
application to determine whether the proposed demolition can be 
approved. If you are not selected to receive a HOPE VI Revitalization 
grant, the information in your application will not be used to process 
a request for demolition. Please note that demolition is not a required 
element of a HOPE VI Revitalization application.
    (b) Disposition of a severely distressed public housing site, by 
sale or lease, in whole or in part, in accordance with section 18 of 
the 1937 Act and implementing regulations at 24 CFR part 970. A long 
term lease of one year or more which is not incident to the normal 
operation of the development is considered a disposition.
    (c) Rehabilitation, redesign, or reconfiguration of a severely 
distressed public housing project, including the site on which the 
project is located, in accordance with 24 CFR part 968 or successor 
part, as applicable.
    (d) New construction of public housing replacement rental housing, 
both on-site and off-site, in accordance with 24 CFR part 941 or 
successor part, including mixed-finance development in accordance with 
subpart F.
    (e) Appropriate replacement homeownership assistance for displaced 
public housing residents or other public housing-eligible low-income 
families. Consistent with the general programmatic requirements set 
forth in

[[Page 9602]]

24 CFR part 906 and subject to the 80 percent of Area Median Income 
(AMI) low-income family limitations under the 1937 Act, assistance may 
include:
    (i) Downpayment or closing cost assistance;
    (ii) Provision of second mortgages; and/or
    (iii) Construction or permanent financing for new construction, 
acquisition, or rehabilitation costs related to homeownership 
replacement units.
    (f) Acquisition of rental replacement units in existing or new 
apartment buildings, single family subdivisions, etc., with or without 
rehabilitation, in accordance with 24 CFR part 941 or successor part.
    (g) Public housing development through the acquisition of land in 
accordance with 24 CFR part 941 or successor part.
    (h) Major rehabilitation, other physical improvements, or new 
construction of community facilities primarily intended to facilitate 
the delivery of community and supportive services for residents of the 
targeted development and residents of off-site replacement housing.
    (i) Necessary management improvements, including transitional 
security activities.
    (j) Reasonable costs for administration, planning, technical 
assistance, and fees and costs which are deemed to be incremental costs 
of implementing the development as specifically approved by HUD, such 
as fees for architectural and engineering work, program management (if 
any), and reasonable legal fees. Please note that your project will be 
subject to HUD guidance and policies on soft costs when issued.
    (k) Community and supportive services, including all activities 
that will promote upward mobility, self-sufficiency, and improved 
quality of life for the residents of the public housing project 
involved, including literacy training, job training, day care, 
transportation, and economic development activities, as further 
described in Section IV(C)(2) of this HOPE VI section of the SuperNOFA, 
below.
    (l) Economic development activities that promote the economic self-
sufficiency of residents under the revitalization program, including 
the costs of land acquisition for economic development-related 
activities (provided the PHA enters into a long-term ground lease to 
govern the development and use of such land is consistent with HUD 
requirements), and infrastructure and site improvements associated with 
developing retail/commercial/office facilities. HOPE VI grant funds may 
not be used to pay hard development costs or to buy equipment for 
retail or commercial facilities.
    (m) Leveraging other resources, including additional housing 
resources, retail supportive services, jobs, and other economic 
development uses on or near the project that will benefit future 
residents of the site.
    (n) Relocation, including reasonable moving expenses, for residents 
displaced as a result of the revitalization of the project.
    (i) Relocation carried out as a result of rehabilitation under a 
Revitalization Plan is subject to the Uniform Relocation Assistance and 
Real Property Policies Act (42 U.S.C. 4601 et seq.; 49 CFR part 24) 
(URA) and regulations at 24 CFR 968.108 or successor part.
    (ii) Relocation carried out as a result of acquisition under a 
Revitalization Plan is subject to the URA and regulations at 24 CFR 
941.207 or successor part.
    (iii) Relocation carried out as a result of disposition under a 
Revitalization Plan is subject to section 18 of the 1937 Act as 
amended.
    (iv) Relocation carried out as a result of demolition under a 
Revitalization Plan is subject to the URA.
    (o) Rental assistance under Section 8.
    (2) Eligible Demolition Activities. The following is a list of 
specific activities that are eligible using HOPE VI Demolition grant 
funds. If HOPE VI Demolition grant funds are used for any of the 
following activities, you must conduct them in accordance with the 
following program requirements.
    (a) Demolition of dwelling units in buildings, in whole or in part, 
including the abatement of environmentally hazardous materials such as 
asbestos, in accordance with section 18 of the 1937 Act as amended.
    (b) Demolition of nondwelling facilities, if demolition is directly 
related to the demolition of dwelling units.
    (c) Minimal site restoration after demolition and subsequent site 
improvements to benefit the remaining portion of the project in order 
to provide project accessibility or to make the site more marketable.
    (d) Reasonable costs for administration, planning, technical 
assistance, and fees and costs which are deemed to be incremental costs 
of carrying out the demolition as specifically approved by HUD.
    (e) Relocation and other assistance related to the permanent 
relocation of families.
    (i) You may request up to $3,000 for each family to be displaced by 
the demolition to carry out relocation activities. HUD recognizes that 
it is as important to provide relocating families with such services in 
demolition-only situations as to provide such services in connection 
with HOPE VI revitalization grants. You are encouraged to partner with 
other agencies, using alternative funding, for further assistance in 
achieving relocation objectives.
    (ii) The goals of your relocation plan must include helping 
families to fully understand the choices open to them for alternative 
housing throughout the jurisdiction, to secure units in neighborhoods 
of their choice, to participate in programs that will lead to self-
sufficiency, to acquire the skills to live in the selected community, 
and sustain their new living arrangement for the foreseeable future. 
Programs should be designed to smooth the transition from public to 
private rental housing, both for relocatees and for members of their 
new communities. The Office of Public Housing Investments is developing 
relocation guidance that will pertain to these relocation activities.
    (iii) Services should include providing one-on-one move counseling, 
providing a reasonable time between notification and date to vacate 
units, and ensuring that Section 8 housing complies with the Section 8 
requirements regarding lead-based paint and other hazardous materials. 
If necessary, HOPE VI funds may be used to modify Section 8 relocation 
units to make them accessible for residents with disabilities.
    (iv) Relocation not pursuant to a HOPE VI Revitalization Plan that 
is carried out in conjunction with a Section 18 demolition application 
is subject to the requirements of the URA and section 18 of the 1937 
Act.
    (v) Relocation not pursuant to a HOPE VI Revitalization Plan that 
is carried out as a result of demolition in conjunction with a 
Mandatory Conversion Plan approved by HUD in accordance with 24 CFR 
part 971 is subject to the requirements of the URA.
    (vi) Relocation as a result of demolition pursuant to a HOPE VI 
Revitalization Plan approved by HUD is subject to the URA.

IV. Program Requirements

    (A) HOPE VI Application Requirements. In addition to the Fair 
Housing requirements provided in Section II(B) of the General Section 
of this SuperNOFA, your HOPE VI application must comply with the 
following program requirements:

[[Page 9603]]

    (1) Severe Distress. The targeted public housing project or 
building in a project must be severely distressed. In accordance with 
section 24(j)(2) of the 1937 Act, the term ``severely distressed public 
housing'' means a public housing project (or building in a project) 
that:
    (a) Requires major redesign, reconstruction or redevelopment, or 
partial or total demolition, to correct serious deficiencies in the 
original design (including inappropriately high population density), 
deferred maintenance, physical deterioration or obsolescence of major 
systems, and other deficiencies in the physical plant of the project;
    (b) Is a significant contributing factor to the physical decline of 
and disinvestment by public and private entities in the surrounding 
neighborhood;
    (c)(i) Is occupied predominantly by families who are very low-
income families with children, are unemployed, and dependent on various 
forms of public assistance; or
    (ii) Has high rates of vandalism and criminal activity (including 
drug-related criminal activity) in comparison to other housing in the 
area;
    (d) Cannot be revitalized through assistance under other programs, 
such as the program for capital and operating assistance for public 
housing under the Act, or the programs under sections 9 and 14 of the 
1937 Act (as in effect before the effective date under section 503(a) 
of the Quality Housing and Work Responsibility Act of 1998 (Pub. L. 
105-276, approved October 21, 1998, referred to as the Public Housing 
Reform Act), because of cost constraints and inadequacy of available 
amounts; and
    (e) In the case of individual buildings, is sufficiently separated 
from the remainder of the project of which the building is part to make 
use of the building feasible for revitalization; or
    (f) That was a project described in paragraphs (a) through (e) 
above of this Section IV(A) that has been legally vacated or 
demolished, but for which HUD has not yet provided replacement housing 
assistance (other than tenant-based assistance).
    (2) Appropriateness. In accordance with section 24(e)(1) of the 
1937 Act, an application for any HOPE VI grant must demonstrate the 
appropriateness of the proposal in the context of the local housing 
market relative to other alternatives.
    (3) Litigation. You may not have any litigation pending which would 
preclude timely startup of activities.
    (4) Desegregation Orders. You must be in full compliance with any 
desegregation or other court order related to Fair Housing (e.g., Title 
VI of the Civil Rights Act of 1964, the Fair Housing Act, and section 
504 of the Rehabilitation Act of 1973) that affects your public housing 
program and that is in effect on the date of application submission.
    (5) Flood Insurance. In accordance with the Flood Disaster 
Protection Act of 1973 (42 U.S.C. 4001-4128), your application may not 
propose to provide financial assistance for acquisition or construction 
(including rehabilitation) of properties located in an area identified 
by the Federal Emergency Management Agency (FEMA) as having special 
flood hazards, unless:
    (a) The community in which the area is situated is participating in 
the National Flood Insurance program (see 44 CFR parts 59 through 79), 
or less than one year has passed since FEMA notification regarding such 
hazards; and
    (b) Where the community is participating in the National Flood 
Insurance Program, flood insurance is obtained as a condition of 
execution of a Grant Agreement and approval of any subsequent 
demolition or disposition application.
    (6) Coastal Barrier Resources Act. In accordance with the Coastal 
Barrier Resources Act (16 U.S.C. 3501), your application may not target 
properties in the Coastal Barrier Resources System.
    (B) HOPE VI Post-Award Requirements. If you are selected for 
funding, in addition to the Fair Housing requirements provided in 
Sections II(C) and (D) of the General Section of this SuperNOFA, your 
HOPE VI program must comply with the following requirements:
    (1) Internet Access. Grantees must have access to the Internet and 
provide HUD with email addresses of key staff and contact people.
    (2) Program Income. Grantees that expect to receive program-related 
income prior to grant closeout (e.g., from sale of homeownership 
replacement units or the disposition of improved land), must reflect 
this income in their HOPE VI budgets, use the program income before 
requesting additional cash payments from the HOPE VI grant, and use the 
program income for program purposes, in accordance with 24 CFR 85.25 
and the HOPE VI Grant Agreement.
    (3) Labor Standards. (a) Revitalization Grants. Davis-Bacon or HUD-
determined wage rates apply to development or operation of revitalized 
housing to the extent required under section 12 of the 1937 Act. Davis-
Bacon wage rates apply to demolition followed by construction on the 
site
    (b) Demolition Grants. HUD-determined wage rates apply to 
demolition followed only by filling in the site and establishing a 
lawn.
    (c) Under section 12 of the 1937 Act, wage rate requirements do not 
apply to individuals who:
    (i) Perform services for which they volunteered;
    (ii) Do not receive compensation for those services or are paid 
expenses, reasonable benefits, or a nominal fee for the services; and
    (iii) Are not otherwise employed in the work involved (24 CFR part 
70).
    (d) If other Federal programs are used in connection with your HOPE 
VI activities, labor standards requirements apply to the extent 
required by the other Federal programs on portions of the project that 
are not subject to Davis-Bacon rates under the Act.
    (4) Section 3. Grantees must comply with the requirements of 
section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 
1701u) (Employment Opportunities for Lower Income Persons in Connection 
with Assisted Projects) and its implementing regulation at 24 CFR part 
135, including the reporting requirements of subpart E. Section 3 
requires that, to the greatest extent feasible, HOPE VI Grantees ensure 
that training, employment, and other economic opportunities will be 
directed to low- and very low-income persons, particularly those who 
are recipients of government assistance for housing, and business 
concerns which provide economic opportunities to low-and very low-
income persons. More information about Section 3 can be found at the 
following HUD website--www.hud.gov/fhe/sec3over.html.
    (5) MBE/WBE. Grantees must adopt the goal of awarding a specified 
percentage of the dollar value of the total of the HOPE VI contracts to 
be awarded during subsequent fiscal years to minority business 
enterprises and take appropriate affirmative action to assist resident-
controlled and women's business enterprises, in accordance with the 
requirements of Executive Orders 11246, 11625, 12432, and 12138.
    (6) OMB Circulars and Administrative Requirements. Grantees and 
their team members must comply with the following administrative 
requirements related to the expenditure of Federal funds. OMB Circulars 
can be found at www.whitehouse.gov/omb/grants/
index.htmlcirculars. The Code of Federal Regulations can be 
found at www.access.gpo.gov/nara/cfr/index.html.
    (a) Administrative requirements applicable to PHAs are:

[[Page 9604]]

    (i) 24 CFR part 85 (Administrative Requirements for Grants and 
Cooperative Agreements to State, Local and Federally Recognized Indian 
Tribal Governments), as modified by 24 CFR part 941 or successor part, 
subpart F, relating to the procurement of partners in mixed finance 
developments, except when inconsistent with the provisions of the FY 
2000 HUD Appropriations Act or other applicable Federal statutes. 
Requests for Proposals (RFPs) and Requests for Qualifications (RFQs) 
must reflect pertinent language from the HOPE VI section of this 
SuperNOFA; e.g., seeking diversity, accessibility, fair housing 
requirements, etc.
    (ii) OMB Circular A-87 (Cost Principles for State, Local and Indian 
Tribal Governments);
    (iii) 24 CFR 85.26 (audit requirements).
    (b) Administrative requirements applicable to non-profit 
organizations are:
    (i) 24 CFR part 84 (Grants and Agreements with Institutions of 
Higher Education, Hospitals, and other Non-Profit Organizations);
    (ii) OMB Circular A-122 (Cost Principles for Non-Profit 
Organizations):
    (iii) 24 CFR 84.26 (audit requirements).
    (c) Administrative requirements applicable to for profit 
organizations are:
    (i) 24 CFR part 84 (Grants and Agreements with Institutions of 
Higher Education, Hospitals, and other Non-Profit Organizations);
    (ii) 48 CFR part 31 (contract cost principles and procedures);
    (iii) 24 CFR 84.26 (audit requirements).
    (7) Environmental Review. (a) If you are selected for funding, the 
responsible entity, as defined in 24 CFR 58.2(a)(7), must assume the 
environmental review responsibilities for projects being funded by HOPE 
VI. If you object to the responsible entity conducting the 
environmental review, on the basis of performance, timing or 
compatibility of objectives, HUD will review the facts and determine 
who will perform the environmental review. At any time, HUD may reject 
the use of a responsible entity to conduct the environmental review in 
a particular case on the basis of performance, timing or compatibility 
of objectives, or in accordance with 24 CFR 58.77(d)(1). If a 
responsible entity objects to performing an environmental review, or if 
HUD determines that the responsible entity should not perform the 
environmental review, HUD may designate another responsible entity to 
conduct the review or may itself conduct the environmental review in 
accordance with the provisions of 24 CFR part 50. After selection by 
HUD for Joint Review, you must provide any documentation to the 
responsible entity (or HUD, where applicable) that is needed to perform 
the environmental review.
    (b) If you are selected for funding, you must have a Phase I 
environmental site assessment completed in accordance with the American 
Society for Testing and Material (ASTM) Standards E 1527-97, as 
amended, for each affected site. A Phase I assessment is required 
whether the environmental review is completed under 24 CFR part 50 or 
24 CFR part 58. The results of the Phase I assessment must be included 
in the documents that must be provided to the responsible entity (or 
HUD) for the environmental review. If the Phase I assessment recognizes 
environmental concerns or if the results are inconclusive, a Phase II 
environmental site assessment will be required. You may not carry out 
activities with respect to the Development, or with respect to any off-
site replacement public housing, until HUD has approved a request for 
release of funds or has completed an environmental review on each 
affected site, in accordance with either 24 CFR part 58 or 24 CFR part 
50.
    (c) If the environmental review is completed before HUD approval of 
the HOPE VI Revitalization Plan (RP) and you have submitted your 
Request for Release of Funds (RROF), the RP approval letter shall state 
any conditions, modifications, prohibitions, etc. as a result of the 
environmental review, including the need for any further environmental 
review. You must carry out any mitigating/remedial measures required by 
HUD, or select an alternate eligible property, if permitted by HUD. If 
the remediation plan is not approved by HUD and a fully-funded contract 
with a qualified contractor licensed to perform the required type of 
remediation is not executed, HUD reserves the right to determine that 
the grant is in default.
    (d) If the environmental review is not completed and/or you have 
not submitted the RROF before HUD approval of the RP, the RP approval 
letter will instruct you to refrain from undertaking, or obligating or 
expending funds on, physical activities or other choice-limiting 
actions, until HUD approves your RROF and the related certification of 
the responsible entity (or HUD has completed the environmental review). 
The RP approval letter also will advise you that the approved RP may be 
modified on the basis of the results of the environmental review.
    (e) In accordance with the Grant Agreement, the costs of 
environmental reviews and hazard remediation are eligible costs under 
the HOPE VI Program.
    (8) Lead-Based Paint Testing and Hazard Reduction. All property 
assisted under a HOPE VI grant is covered by the Lead-Based Paint 
Poisoning Prevention Act (24 U.S.C. 4821 et seq. and regulations at 24 
CFR part 35 and 24 CFR part 965, subpart H, as they may be amended from 
time to time, and 24 CFR 968.110(k) or successor part.
    (C) Revitalization Application Requirements. Your HOPE VI 
Revitalization application must comply with the following requirements:
    (1) Public Meetings. (a) General Requirements. (i) You must conduct 
at least one training session for residents on the HOPE VI development 
process and at least three public meetings with residents and the 
broader community to involve them in a meaningful way in the process of 
planning the revitalization and preparing the application.
    (ii) At least two meetings must be held after the publication date 
of this HOPE VI NOFA, one of which must be held after the plan which 
will form the basis of the application is established, so that 
residents and the community are fully informed about the basics of the 
proposed Revitalization Plan.
    (iii) As practical and applicable, the meetings should be conducted 
in English and the language(s) most appropriate for the community.
    (iv) You must ensure that meeting places are accessible for persons 
with disabilities.
    (b) Issues to be Discussed. You must cover all of the following 
issues during the course of the three public meetings:
    (i) The HOPE VI planning and implementation process;
    (ii) The proposed physical plan, including site and unit design;
    (iii) The extent of proposed demolition;
    (iv) Planned community and supportive services;
    (v) Other proposed revitalization activities;
    (vi) Relocation issues, including relocation planning, mobility 
counseling, and maintaining the HOPE VI community planning process 
during the demolition and reconstruction phases where temporary 
relocation is involved;
    (vii) reoccupancy plans and policies, including site-based waiting 
lists; and (viii) Section 3 and employment opportunities to be created 
as a result of redevelopment activities.
    (2) Community and Supportive Services. (a) General. Each HOPE VI

[[Page 9605]]

Revitalization application must propose community and supportive 
service (CSS) programs that are designed to help residents achieve 
self-sufficiency, upward mobility, economic independence with 
sustainable ``living wage'' jobs, educational achievement, and improved 
quality of life for the maximum number of public housing residents in 
the existing project and in the revitalized community. This section 
lists the requirements for CSS programs, the kinds of programs that 
should be included in your CSS plan, and the types of organizations 
that you should consider when developing your CSS team, creating 
partnerships, and developing resources to fund your CSS programs. You 
will refer to this section of the NOFA when describing your CSS 
Capacity and Experience (Rating Factor 1(2)), Quality of CSS Plan 
(Rating Factor 3(6)), and CSS Resources (Rating Factor 4(2)).
    (b) Subgrant Agreements. (i) If you wish to form a formal 
partnership with a private nonprofit agency(ies) for the provision of 
specific CSS programs or activities, you may do so by entering into a 
subgrant agreement with the selected agency(ies).
    (ii) While you are not required to undertake a competitive 
procurement under 24 CFR part 85 to select a subgrantee, HUD 
nevertheless requires your assurance that you have:
    (A) evaluated alternative service providers for the specific 
services to be provided,
    (B) selected the entity that you reasonably believe will most 
effectively provide such services, and
    (C) ensured that the amount to be awarded under the subgrant 
agreement is consistent with the cost principles of OMB Circular A-87.
    (iii) HUD encourages you to leverage your HOPE VI grant funds by 
selecting subgrantees that will provide, in addition to the agreed upon 
fee-for-service amount, in-kind services on a gratis basis (e.g., 
leased space at no cost, etc.).
    (iv) The selected nonprofit subgrantee must comply with the 
requirements of 24 CFR part 84.
    (v) You may not enter into a subgrant agreement with a for-profit 
entity or community and supportive services coordinator. Instead, you 
must conduct a competitive procurement for the services of such 
entities under 24 CFR part 85. However, if you can demonstrate that the 
services to be provided by the proposed for-profit entity or by the 
proposed community and supportive services coordinator can be obtained 
only from that source, you may request HUD approval to carry out a non-
competitive procurement under 24 CFR 85.36(d)(4).
    (c) Requirements of Community and Supportive Services Programs. (i) 
Community and Supportive Services (CSS) program objectives must be 
results-oriented, with quantifiable goals and outcomes that can be used 
to measure progress, make changes in the program as necessary, and 
demonstrate the success of the program.
    (ii) CSS activities must be developed in response to a rigorous 
resident needs identification process and directly respond to the 
identified needs.
    (iii) CSS programs must be of an appropriate scale, type, and 
variety to meet the needs of all residents (including adults and 
children) of the severely distressed project, including residents 
remaining on-site, residents who will relocate permanently to other PHA 
units or Section 8 housing, residents who will relocate temporarily 
during the construction phase, and new residents of the revitalized 
units.
    (iv) Non-public housing residents may also participate in CSS 
programs, as long as the primary users of the programs are residents as 
described in subparagraph (iii) above.
    (v) Your plan must include procedures to track HOPE VI site 
residents who relocate to alternative housing to assure that everything 
possible is done to support them to become self-sufficient and live 
successfully in the alternative housing of their choice.
    (vi) CSS programs such as life skills training must be designed to 
begin promptly after grant award so that residents who will be 
relocated have time to participate and benefit from such programs 
before leaving the site.
    (vii) Resident training programs must begin promptly after grant 
award and Section 3 firms must be in place quickly so that residents 
are trained in time to take advantage of employment opportunities such 
as jobs and other contractual opportunities in the pre-development, 
demolition, and construction phases of the revitalization.
    (viii) Modern computer technology must be integrated into the 
education program.
    (ix) CSS activities must be coordinated with the efforts of other 
service providers in your locality, including non-profit organizations, 
educational institutions, and state and local programs.
    (x) CSS activities must be consistent with state and local welfare 
reform requirements and goals. The social and learning environment must 
encourage and enable low-income residents to achieve long-term self-
sufficiency, particularly persons enrolled in welfare-to-work programs. 
To that end, it is crucial that local welfare agencies and workforce 
development agencies are active members of your HOPE VI partnership. 
Many HOPE VI residents are directly affected by Temporary Assistance to 
Needy Families (TANF), making these self-sufficiency efforts critical 
to their success.
    (xi) CSS activities must be well integrated with the physical 
development process, both in terms of timing and the provision of 
facilities to house on-site service and educational programs.
    (d) CSS Programs and Activities may include, but are not limited 
to:
    (i) Education programs that promote learning and serve as the 
foundation for young people from infancy through high school 
graduation, helping them to succeed in academia and the professional 
world. Such programs, which include after school programs, mentoring, 
and tutoring, must be created with strong partnerships with public and 
private educational institutions.
    (ii) Adult educational activities, including remedial education, 
literacy training, tutoring for completion of secondary or post-
secondary education, assistance in the attainment of certificates of 
high school equivalency, and English as a Second Language courses, as 
needed.
    (iii) Job readiness and retention programs which frequently are key 
to securing private sector commitments to the provision of jobs.
    (iv) Employment training programs that include results-based job 
training, preparation, counseling, development, placement, and follow-
up assistance after job placement.
    (v) Life skills training on topics such as parenting, consumer 
education, and family budgeting, aided by the creation and operation of 
on-site credit unions.
    (vi) Motivational and self-empowerment training.
    (vii) Homeownership counseling that is designed so that services 
can begin promptly after grant award so that, to the maximum extent 
possible, qualified residents will be ready to purchase new 
homeownership units when they are completed.
    (viii) Health care services.
    (ix) Substance/alcohol abuse treatment and counseling.
    (x) Domestic violence prevention.
    (xi) Child care services which provide sufficient hours of 
operation for parents to achieve self-sufficiency goals; serve 
appropriate ages as needed to facilitate parental access to education 
and job

[[Page 9606]]

opportunities; and stimulate children to learn.
    (xii) Transportation as necessary to enable all family members to 
participate in available CSS programs and/or to commute to their places 
of employment. (xiii) Entrepreneurship training and mentoring, with the 
goal of establishing resident-owned businesses.
    (e) CSS Partnerships and Resources. The following is a list of the 
kinds of organizations and agencies that can provide your CSS program 
with in-kind, financial, and other types of resources necessary to 
carry out and sustain your CSS program.
    (i) Local Boards of Education, public libraries, local community 
colleges, institutions of higher learning, non-profit or for-profit 
educational institutions and public/private mentoring programs that 
will lead to new or improved educational facilities and improved 
educational achievement of young people in the revitalized development, 
from birth through higher education.
    (ii) Programs that support HUD's Bridging the Digital Divide policy 
initiative, as described in Section VI(F) of the General Section, such 
as Neighborhood Networks Centers, which provide on-site access to 
computer and training resources. These Centers, originally designed for 
HUD-insured and HUD-assisted properties, have helped hundreds of 
residents improve computer technology skills which in turn has 
increased job and education opportunities. If you are awarded a HOPE VI 
Revitalization grant, you will be required to adapt the Neighborhood 
Networks Initiative to your HOPE VI project. HUD will make technical 
assistance available to each PHA where needed. More information on the 
requirements of the Neighborhood Network Center Program is available on 
the Neighborhood Networks website (www.hud.gov/nnw/nnwindex.html).
    (iii) National corporations, local businesses, and other large 
institutions such as hospitals that can commit to provide entry-level 
jobs. Employers may agree to train residents or commit to hire 
residents after they complete jobs preparedness or training programs 
that are provided by you, other partners, or the employer itself. Such 
private sector and non-profit partners must be given the opportunity to 
participate in the development of your CSS programs to assure that they 
will result in adequate training to prospective employees.
    (iv) Job development organizations which link private sector or 
non-profit employers with low-income prospective employees.
    (v) Workforce Development Agencies.
    (vi) Organizations that provide residents with job readiness and 
retention training and support.
    (vii) Economic development agencies such as the Small Business 
Administration, which provide entrepreneurial training and small 
business development centers.
    (viii) Where applicable, Empowerment Zone and Enterprise Community 
Boards.
    (ix) Programs that integrate employment training, education, and 
counseling and where creative partnerships with local boards of 
education, state charter schools, TANF, foundations, and private 
funding sources have been or could be established, such as:
    (A) Youthbuild (www.hud.gov:80/cpd/econdev/ythhome.html)
    (B) Step-Up (www.hud.gov:80/progdesc/stepup.html)
    (C) AmeriCorps (www.cns.gov/americorps) See Section VI(B) of the 
General Section of this SuperNOFA for more information on AmeriCorps.
    (x) Sources of capital such as foundations, banks, and charitable, 
fraternal, and business organizations.
    (xi) TANF Agencies/welfare departments.
    (xii) Non-profit organizations such as the Girl Scouts and the 
Urban League, both of which have Memoranda of Agreement (MOA) with HUD. 
Copies of MOAs can be found on the HOPE VI Home Page (www.hud.gov/pih/programs/ph/hope6/hope6.html).
    (xiii) Civil rights organizations.
    (xiv) Local area agencies on aging, if applicable.
    (xv) Local agencies and organizations serving persons with 
disabilities.
    (xvi) Faith-based organizations.
    (xvii) Federal, state, and local crime prevention programs and 
policy efforts, such as:
    (A) Local law enforcement agencies;
    (B) Your local United States Attorney;
    (C) HUD's ``One Strike and You're Out'' (www.hud.gov:80/progdesc/
1strike.html);
    (D) HUD's ``Officer Next Door'' initiative (www.hud.gov:80/ond/
ond.html);
    (E) The local the Department of Justice ``Weed and Seed'' Program 
task force (if the targeted project is located in a designated Weed and 
Seed area) (www.ojp.usdoj.gov/eows);
    (F) HUD's ``Operation Safe Home'' Program; and
    (G) HUD's Drug Elimination Programs.
    (f) Endowment Trust for Community and Supportive Services. In 
accordance with Section 24(d)(2) of the 1937 Act, you may deposit up to 
15 percent of the HOPE VI grant amount (the maximum amount of the grant 
allowable for CSS programs) in an endowment trust to provide community 
and supportive services over such period of time as you determine. The 
amount you request will be provided to you by HUD in a lump sum. Funds 
must be invested in a wise and prudent manner, i.e., funds may be 
invested in deposits, certificates of deposit, and other types of 
securities that are deposited in an account insured by the United 
States of America. Endowment funds (together with any interest earned) 
may only be used for eligible and necessary CSS programs pursuant to 
Section III(C)(1)(k), above, of this HOPE VI section of the SuperNOFA. 
You may use amounts in an endowment trust in conjunction with other 
amounts donated or otherwise made available to the trust for similar 
purposes.
    (D) Revitalization Post-Award Requirements. If you are selected for 
funding, your HOPE VI Revitalization program must comply with the 
following requirements:
    (1) Match. (a) Overall Match. In accordance with section 24(c) of 
the 1937 Act, if you are selected for funding, you must supplement your 
HOPE VI Revitalization grant with funds from other sources equal to not 
less than 5 percent of the HOPE VI funds provided. You will make this 
certification by signing the HOPE VI Revitalization Applicant 
Certifications. The certification form is included in the HOPE VI 
Application Kit, and the text of the certifications is included as 
Appendix A to this HOPE VI section of the SuperNOFA, below.
    (b) Additional Community and Supportive Services Match. In addition 
to supplemental amounts provided in accordance with subparagraph (a) 
above, if you are selected for funding and propose to use more than 5 
percent of your HOPE VI grant for community and supportive services 
(you may use up to 15 percent of your grant for such services), you 
must certify that you will provide supplemental funds from sources 
other than HOPE VI in an amount equal to not less than 5 percent of the 
HOPE VI funds budgeted for community and supportive services. You will 
make this certification by signing the HOPE VI Revitalization Applicant 
Certifications. The certification form is included in the HOPE VI 
Application Kit, and the text of the certifications is included as 
Appendix A to this HOPE VI section of the SuperNOFA, below.
    (c) Matching Funds. In accordance with section 24(c)(2) of the 1937 
Act, in calculating the amount of supplemental

[[Page 9607]]

funds provided by a Grantee for purposes of subparagraphs (a) and (b) 
above, you may include amounts from other Federal sources, any State or 
local government sources, any private contributions, the value of any 
donated material or building, the value of any lease on a building, the 
value of the time and services contributed by volunteers, and the value 
of any other in-kind services or administrative costs provided. Other 
Federal sources may include funds provided by the MROP, Comprehensive 
Grant, CIAP, or Public Housing Capital Fund Programs or other HUD-
provided public housing funds, including funds derived from program 
income.
    (2) Replacement Units. (a) Rental units will be deemed to be public 
housing replacement units and qualify for operating subsidy only if:
    (i) The units, when combined with any proposed homeownership 
replacement units, if any, do not exceed the total number of units 
demolished and/or disposed of at the targeted severely distressed 
project; and
    (ii) The units are to be placed under Annual Contributions Contract 
and operated as public housing units.
    (b) Homeownership units will be deemed replacement units only if 
they, when combined with ACC rental units, do not exceed the total 
number of units demolished and/or disposed of at the targeted severely 
distressed project and otherwise meet the requirements listed in 
Section III(C)(1)(e), above, of this HOPE VI section of the SuperNOFA.
    (c) HOPE VI funds may not be used to develop market rate units or 
affordable housing units which do not qualify as public housing or 
homeownership replacement units, as described in subparagraphs (a) and 
(b) above.
    (3) Timeliness of Construction. (a) If you are selected for 
funding, you must proceed within a reasonable timeframe, as indicated 
below. In determining reasonableness of such timeframe, HUD will take 
into consideration those delays caused by factors beyond your control.
    (b) You must enter into a binding Development Agreement within 12 
months from the date of HUD's approval of the Revitalization Plan (RP), 
as described in Section VIII(A)(4) of this HOPE VI section of the 
SuperNOFA, below. This time period may not exceed 18 months from the 
date the Grant Agreement is executed.
    (c) You must complete construction within 48 months from the date 
of HUD's approval of the RP. This time period for completion may not 
exceed 54 months from the date the Grant Agreement is executed.
    (d) In accordance with section 24(i) of the 1937 Act, if you do not 
proceed within a reasonable timeframe, as described in paragraphs (a) 
through (c) above, HUD shall withdraw any grant amounts that you have 
not obligated. HUD shall redistribute any withdrawn amounts to one or 
more other applicants eligible for HOPE VI assistance or to one or more 
other entities capable of proceeding expeditiously in the same locality 
in carrying out the Revitalization Plan of the original Grantee.
    (4) Building Standards. (a) All activities that include 
construction, rehabilitation, lead-based paint removal, and related 
activities must meet or exceed local building codes.
    (b) New construction must comply with the latest HUD-adopted Model 
Energy Code issued by the Council of American Building Officials. In 
addition, HUD encourages you to set higher standards for energy and 
water efficiency in HOPE VI new construction, which can achieve utility 
savings of 30 to 50 percent with minimal extra cost. Upon request, HUD 
will provide technical assistance and training in design and financing 
to assist your authority, architects, and contractors in improving 
resource efficiency.
    (c) HUD encourages you to design programs that incorporate 
sustainable construction and demolition practices, such as the 
dismantling or ``deconstruction'' of public housing units, recycling 
demolition debris, and reusing salvage materials in new construction. 
For articles on the concept of deconstruction, go to the U.S. Forest 
Service website (www.fpl.fs.fed.us/query.asp) and enter deconstruction 
as the search term.
    (d) Your new construction must comply with the accessibility 
standards of the Fair Housing Act, section 504 of the Rehabilitation 
Act of 1973, the Americans with Disabilities Act of 1990, and the 
Architectural Barriers Act of 1968.
    (e) HUD encourages you to use PATH technologies in the construction 
and delivery of replacement housing. PATH (Partnership for Advancing 
Technology in Housing) is a voluntary initiative that seeks to 
accelerate the creation and widespread use of advanced technologies to 
radically improve the quality, durability, environmental performance, 
energy efficiency, and affordability of our Nation's housing. Further 
information about PATH can be found in Section VI.(E) of the General 
Section of this SuperNOFA and on the PATH website (www.pathnet.org/about/about.html).
    (f) There must not be any environmental factors such as sewer 
moratoriums that would preclude development in the requested locality.
    (5) Environmental Justice. Executive Order 12898 requires that 
public housing may be developed only in environmentally sound and 
desirable locations that will avoid disproportionately high and adverse 
environmental effects on minority and low-income communities.
    (E) Demolition Application Requirements: Eligible Units. Severely 
distressed public housing units to be demolished with HOPE VI 
Demolition grant funds must meet one of the following criteria:
    (1) Units targeted in an approved or submitted Conversion Plan 
(i.e., a plan for removal of units from the public housing inventory in 
accordance with the requirements at 24 CFR 971.7(b)). Refer to Section 
VII(A)(1)(a) and (b), below, of this HOPE VI section of the SuperNOFA.
    (2) Units targeted in an application for demolition which was 
developed in accordance with section 18 of the 1937 Act, as amended, 
and approved by HUD by the HOPE VI Demolition application deadline. 
Refer to Section VII(A)(1)(c), below, of this HOPE VI section of the 
SuperNOFA.
    (3) Units that were targeted for demolition in a previously-
approved HOPE VI Revitalization application, in accordance with Section 
VII(A)(1)(d), below, of this HOPE VI section of the SuperNOFA, where 
the use of additional demolition funds will not result in exceeding 
TDC.
    (4) Units that are included in an FY 2000 HOPE VI Revitalization 
application, in accordance with Section VII(A)(1)(e), below, of this 
HOPE VI section of the SuperNOFA, where the use of additional 
demolition funds will not result in exceeding TDC.
    (F) Demolition Post-Award Requirements. If you are selected for 
funding, your HOPE VI Demolition program must comply with the following 
requirements:
    (1) Timeliness of Demolition. (a) If you are selected for funding, 
you must complete the proposed demolition within a reasonable 
timeframe, which is two years from the date of Grant Agreement 
execution. HUD will take into consideration delays caused by factors 
beyond your control when enforcing this requirement.
    (b) In accordance with section 24(i) of the 1937 Act, if you do not 
proceed within a reasonable timeframe, in the determination of HUD, HUD 
shall withdraw any grant amounts that you have not obligated. HUD shall

[[Page 9608]]

redistribute any withdrawn amounts to one or more other applicants 
eligible for HOPE VI assistance or to one or more other entities 
capable of proceeding expeditiously in the same locality in carrying 
out the activities of the original Grantee.
    (2) Match. In accordance with section 24(c)(3) of the 1937 Act, if 
assistance will be used only for demolition of public housing (without 
replacement), you are exempt from the match requirement.

V. Threshold Criteria

    (A) All HOPE VI Applications. In addition to the Compliance with 
Fair Housing and Civil Rights Laws threshold requirement listed in 
Section II(B) of the General Section of this SuperNOFA, your HOPE VI 
application must meet the following HOPE VI Threshold Criteria to be 
considered for funding.
    (1) Eligible Applicant. You must be an eligible PHA, as defined in 
Section III(B), above, of this HOPE VI section of the SuperNOFA. If HUD 
has designated your housing authority as troubled pursuant to section 
6(j)(2) of the 1937 Act, HUD's Troubled Agency Recovery Centers will 
use documents and information available to it to determine whether you 
qualify as an eligible applicant under Section III(B) of this HOPE VI 
section of the SuperNOFA.
    (2) Severe Distress. (a) The targeted public housing project, or 
buildings in a project, must be severely distressed.
    (b) To meet the severe distress requirement, you must certify that 
the public housing project or building in a project targeted in your 
HOPE VI application meets the definition of severe distress provided in 
Section IV(A)(1) of this HOPE VI section of the SuperNOFA (in 
accordance with section 24(j)(2) of the 1937 Act). You will make this 
certification by signing the HOPE VI Revitalization Applicant 
Certifications. The Certifications are included in the HOPE VI 
Application Kit, and the text of the Certifications is included as 
Appendix A to this HOPE VI section of the SuperNOFA.
    (c) A severely distressed project that has been legally vacated or 
demolished (but for which HUD has not yet provided replacement housing 
assistance, other than tenant-based assistance) must also satisfy the 
requirements of paragraph (b) above as to the condition of the site 
before vacation or demolition.
    (3) Appropriateness of Proposal. In accordance with section 
24(e)(2) of the 1937 Act, your application must demonstrate the 
appropriateness of your proposal in the context of the local housing 
market relative to other alternatives. Examples of inappropriate 
proposals would be to build on or off-site replacement public housing 
in isolated or non-residential areas, or in a soft-rental market. 
Examples of how you can demonstrate appropriateness of your 
Revitalization proposal follow. However, HUD will carry out the actual 
determination on a case-by-case basis.
    (a) Your application might demonstrate appropriateness of your 
proposal in terms of marketability if it proposes the maximum range of 
incomes and housing types (rental vs. homeownership, market rate vs. 
public housing, townhouse vs. detached house, etc.) possible given 
local conditions.
    (b) Your application might demonstrate that the land is being used 
for the highest and best use, given market conditions and the social 
goals of your agency.
    (c) Your application might demonstrate that there is a demand for 
the physical development you propose, including residential public, 
subsidized and market rate units, community facilities, and economic 
development and retail structures.
    (B) Revitalization Threshold Criteria. (1) Physical Distress. (a) 
Your application must include a certification that the project meets 
the definition of severe physical distress as defined in Section 
IV(A)(1)(a), above, of this HOPE VI section of the SuperNOFA. The 
certification must be signed by an engineer or architect licensed by 
their state licensing board. The engineer or architect must provide his 
or her license number and state of registration on the certification. 
The engineer or architect may not be an employee of the housing 
authority or the city. The certification must be signed on or before 
the application deadline date. If you have neglected to include this 
certification in your application, you will have an opportunity to 
submit the certification, but it must still be signed on or before the 
application deadline date. You may not submit a certification signed 
after the deadline date in order to cure this deficiency.
    (b) A severely distressed project that has been legally vacated or 
demolished (but for which HUD has not yet provided replacement housing 
assistance, other than tenant-based assistance) must also satisfy the 
requirements of paragraph (a) above as to the condition of the site 
before vacation or demolition.
    (2) Separability. In accordance with section 24(j)(2)(A)(v) of the 
1937 Act, if you propose to target only individual buildings of a 
project for revitalization, you must demonstrate to HUD's satisfaction 
that the severely distressed public housing is sufficiently separated 
from the remainder of the project of which the building is part to make 
use of the building feasible for revitalization. You must demonstrate 
that the site plan and building designs will provide defensible space 
for the occupants of the revitalized building(s) and that the 
properties which remain will not have a negative influence on the 
revitalized buildings(s), either physically or socially. Separations 
may include a road, berm, catch basin, or other recognized neighborhood 
distinction.
    (3) Public Meetings. (a) You must conduct at least one training 
session and at least three public meetings in accordance with Section 
IV(C)(1), above, of this HOPE VI section of the SuperNOFA. To 
demonstrate that you have conducted the required public meetings, you 
must include the following evidence of each meeting in your 
application:
    (i) The notices announcing the meetings. In addition to other means 
of notification, at least one notice for each meeting must be placed in 
a commercial newspaper or journal that serves both the public housing 
project and the broader community.
    (ii) A copy of the first page of the meeting sign-in sheets for 
each meeting, and a certification of the number of signatures collected 
for each meeting.
    (iii) A signed and notarized copy of the minutes which summarizes 
the discussion. Do not submit a transcript of the meeting. Please note 
that all pages of the minutes will be counted toward your total page 
limit for attachments, as provided in Section IX(A)(2) of this HOPE VI 
section of the SuperNOFA.
    (b) Submission of the documentation required of the meetings is a 
curable item and is not rated. If you fail to properly document that 
you have conducted all of the required meetings, after being provided 
with the opportunity to correct any deficiencies in accordance with 
Section VI(B) of this HOPE VI section of the SuperNOFA, below, your 
application will not be eligible for funding. You may not conduct a 
required meeting after the application deadline date in order to cure a 
deficiency identified by HUD.
    (C) Demolition Threshold Criteria. Each required element of a HOPE 
VI Demolition grant application is a threshold requirement. Your 
application will not be eligible for funding unless each requirement 
listed in Section IX(B) of this HOPE VI section of the SuperNOFA, 
below, is included in your application. HUD will give you the 
opportunity to submit any missing

[[Page 9609]]

information up to the application deadline date, as provided in Section 
VII(B) of this HOPE VI section of the SuperNOFA, below.

VI. Revitalization Application Selection Process

    (A) Revitalization Application Evaluation. (1) HUD's selection 
process is designed to ensure that HOPE VI Revitalization grants are 
awarded to eligible PHAs with the most meritorious applications and 
serious need.
    (2) In accordance with Section III(E)(4) of the General Section of 
this SuperNOFA, in the event that HUD commits an error that, when 
corrected, would result in the selection of an otherwise eligible 
applicant, HUD may select that application for funding when sufficient 
funds become available.
    (3) Although Section III(B) of the General Section of this 
SuperNOFA states that only applications that meet all threshold 
requirements are eligible to be rated, HUD will rate all HOPE VI 
Revitalization applications submitted by Public Housing Authorities, 
regardless of whether the applicants are eventually deemed to be 
eligible applicants in accordance with Section III(B), above, of this 
HOPE VI section of the SuperNOFA or whether the applications meet the 
threshold requirements of Sections V(A) and (B) of this HOPE VI section 
of the SuperNOFA. This will be done:
     (a) To provide applicants with the most complete evaluations of 
their applications as possible;
    (b) To provide applicants with technical assistance for any future 
applications; and
    (c) Because HUD will conduct eligibility review, threshold review, 
completeness review, and rating concurrently, and determinations of 
threshold eligibility are often not finalized before rating begins.
    Regardless of score, however, HUD will not select an application 
for funding that is submitted by an ineligible applicant or that does 
not meet all of the threshold requirements of Sections V(A) and (B) 
above.
    (B) Threshold and Completeness Review. HUD will screen each 
application to determine if it is complete and meets the threshold 
criteria in Sections V(A) and (B), above. In accordance with Section V 
of the General Section of this SuperNOFA, after the application 
deadline HUD may not consider any unsolicited information that you may 
want to provide. However, after your application has been screened, HUD 
may contact you to clarify an item in your application or to give you 
an opportunity to correct a technical deficiency. HUD may not seek 
clarification of items or responses that improve the substantive 
quality of your response to any rating factor. Examples of curable 
technical deficiencies include your failure to include a required 
certification or a missing signature. If HUD identifies a technical 
deficiency, it will notify you by fax of the clarification or 
deficiency. You must submit information to cure the deficiency to HUD 
within 14 calendar days from the date of HUD notification. If the 
deficiency is not corrected within this time period, HUD will reject 
your application as incomplete, and it will not be eligible for 
funding. Note, however, that in accordance with Section VI(A)(3), 
above, of this HOPE VI section of the SuperNOFA, HUD has committed to 
rate each application, regardless of its eligibility.
    (C) Preliminary Rating and Ranking. (1) Rating. HUD will 
preliminarily review and rate each eligible application on the basis of 
the rating factors described in Section VI(F) of this HOPE VI section 
of the SuperNOFA, below, and assign a score to each application.
    (2) Ranking. After preliminary review, applications will be ranked 
in score order. Applications will be deemed ``competitive'' if they 
have a preliminary score above a base score that encompasses all 
applications that represent approximately twice the amount of funds 
available.
    (D) Final Panel Review. A Final Review Panel will:
    (1) Assess each competitive application;
    (2) Assign the final scores; and
    (3) Recommend for funding the most highly-rated eligible 
applications up to the amount of available funding.
    (4) HUD reserves the right to make adjustments to funding in 
accordance with Section III(E) of the General Section of this 
SuperNOFA.
    (5) In accordance with the FY 2000 HOPE VI appropriation (Title II 
of Pub. Law 106-74, 113 Stat. 1047, approved October 20, 1999), HUD may 
not grant competitive advantage to applications that propose to use 
HOPE VI grant funds to undertake HOPE VI activities in order to settle 
litigation or pay judgments.
    (E) Tie Scores. If two or more applications have the same score and 
there are insufficient funds to select all of them, HUD will select for 
funding the application(s) with the highest score for Rating Factor 3, 
Soundness of Approach. If a tie still remains, HUD will select for 
funding the application(s) with the highest score for the Rating Factor 
2, Need. HUD will select further tied applications on the basis of 
their scores in Capacity, Leveraging Resources, and Comprehensiveness 
and Coordination rating factors, in that order.
    (F) Revitalization Application Rating Factors. The following are 
the factors HUD will use to rate and rank your HOPE VI Revitalization 
application and the maximum points for each factor. The maximum number 
of points for each Revitalization application is 102, which includes 
two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as 
described in Section III(C)(1) of the General Section of this 
SuperNOFA.

Rating Factor 1: Capacity (20 Points)

    This factor measures the capability and record of your team to 
manage large-scale redevelopment or modernization projects, manage 
effective community and supportive service programs, manage private 
and/or public housing, and obligate funds in a timely manner.
    The term ``your team,'' unless otherwise specified, includes the 
HOPE VI Coordinator and PHA staff; alternative entity(ies) you choose 
to serve as your representatives(s) to manage the physical 
redevelopment, administer community and supportive services and 
management improvements, and manage the property after completion; 
developers; program managers; property managers; subcontractors; 
consultants; and any other public and private entities identified and/
or proposed to carry out program activities. HUD will also evaluate the 
diversity of your team and program participants.
    For each aspect of the revitalization effort (physical 
redevelopment, community and supportive services, and property 
management), HUD will evaluate the extent to which you have (or will 
have) the capacity to carry out the work yourself and/or select and 
manage outside entities. HUD will award the most points to applications 
that demonstrate the highest degree of capacity to implement activities 
in a timely manner upon grant award, whether the capacity is within the 
PHA or by members of team with overall management by the PHA.
    HUD does not require you to select a developer and/or program 
manager, if any, prior to submission of your application, although you 
may choose to do so. Rather, HUD will evaluate your current capacity to 
implement a large scale revitalization; or your ability to identify 
needs in your current staffing and fill such gaps internally or 
externally in order to successfully

[[Page 9610]]

implement your proposed program; and/or your proposed method and 
criteria for securing a program manager and/or development partner to 
implement your plan; and your current or planned capacity to manage 
such entity(ies). If you are selected for funding, HUD may require you 
to use an outside entity as directed by HUD to carry out the 
revitalization activities.
    (1) Revitalization Capacity and Experience: 7 Points. (a) You will 
receive 5 to 7 points if:
    (i) You and/or the outside development team you have procured, or 
expect to procure, demonstrate, using specific data or other 
documentation, where applicable, extensive knowledge and recent, 
successful experience and capacity in planning, implementing, and 
managing previous large scale revitalization activities, including 
physical development, financing, leveraging, and partnership 
activities. Revitalization activities carried out by this team were 
completed on-schedule and within budget, and you do not have any 
outstanding capital program audit findings.
    (ii) If you have not yet procured an entity to develop the proposed 
plan, you have a feasible plan for securing such an entity and your 
description of what you will include in the Request For Proposal (RFP) 
or Request for Qualifications (RFQ), as appropriate, to secure such 
services is well articulated and will result in the selection of a 
highly capable entity.
    (iii) If you were awarded a HOPE VI grant(s) previously, you have 
demonstrated that the progress of activities is on schedule and you 
have the capacity to manage an additional HOPE VI revitalization 
project. HUD will evaluate the current status of development, and your 
explanation of any delays in implementation of your HOPE VI grant(s), 
including planning or construction delays. HUD will use information on 
file to verify any information you provide regarding current HOPE VI 
grant status.
    (iv) You have demonstrated that implementation of your plan can 
begin immediately after grant award.
    (b) You will receive 1 to 4 points if you describe and demonstrate 
that your method and criteria for selecting a team is good, your 
current HOPE VI activity is mostly on schedule, and you have the 
ability to begin implementing your plan with minor adjustments and 
additional planning after grant award.
    (c) You will receive 0 points if you cannot describe and 
demonstrate that you can procure a qualified team, your current HOPE VI 
grant is behind schedule, and you do not demonstrate your ability to 
implement your plan quickly upon grant award, or there is inadequate 
information in your application to rate this factor.
    (2) Community and Supportive Services Capacity and Experience: 5 
Points.
    (a) You will receive 4 to 5 points if you demonstrate, using 
specific data or other documentation, where applicable, that:
    (i) Your team has recent, successful experience in planning, 
implementing, and managing the types of community and supportive 
service (CSS) programs proposed in your application;
    (ii) PHA staff has the qualifications and experience to manage and 
coordinate activities of other staff and partners;
    (iii) You have strong relationships and commitments with a wide 
variety of partners, including TANF and Workforce Development Agencies, 
that have excellent experience providing the kinds of services 
proposed.
    (b) You will receive 2 to 3 points if you demonstrate and document 
limited experience and capacity in the above elements (paragraphs 
(a)(i) through (a)(iii) above).
    (c) You will receive 1 point if you demonstrate minimal experience 
and capacity in the above elements (paragraphs (a)(i) through (a)(iii) 
above).
    (d) You will receive 0 points if you demonstrate no experience or 
capacity in the above elements or if there is inadequate information in 
the application to score this factor.
    (3) Property Management Capacity and Experience: 4 Points. Property 
management activities may be the responsibility of the PHA, or an 
entity that is part of the development team. You may also procure a 
separate entity to carry out property management activities.
    (a) You will receive 3 to 4 points if you demonstrate that you and/
or your property management entity currently have excellent knowledge 
and recent, successful experience in property management of market 
rate, affordable, and/or public housing. If you will procure outside 
property management expertise, you have demonstrated outstanding 
capacity to secure an entity with excellent experience by thoroughly 
describing the qualifications you will include in the RFP to procure 
such services. HUD will evaluate your team's current property 
management experience, or your capacity to procure an entity with 
excellent experience with regard to each of the following elements:

(i) Property maintenance
(ii) Rent collection
(iii) MTCS reporting
(iv) Site-based management experience
(v) Tenant grievances
(vi) Evictions
(vii) Occupancy rate
(viii) Unit turnaround
(ix) Preventive maintenance
(x) Work order completion
(xi) Project-based budgeting

    (b) You will receive 1 to 2 points if you demonstrate that you or 
your management entity currently have moderate management capacity with 
respect to the above elements. If you will seek outside property 
management expertise, the qualifications you describe in the RFP to 
procure such services are likely to result in the procurement of an 
entity with moderate management capacity with respect to the above 
elements.
    (c) You will receive 0 points if you demonstrate that you or your 
management entity currently has little management capacity with respect 
to the above elements, or the qualifications you describe to procure a 
management team are unlikely to result in the procurement of an entity 
with moderate management capacity with respect to the above elements, 
or if there is inadequate information in your application to score this 
factor.
    (4) Diversity: 1 Point. You will receive 1 point if you clearly 
articulate an achievable plan for including minority(ies), women, and/
or individuals with disabilities in the overall planning, development, 
and management team that will be involved in the HOPE VI revitalization 
effort. HUD encourages cost-effective joint ventures to provide 
opportunities for such diverse firms, individuals, and/or employees.
    (5) Obligation of Modernization Funds: 3 Points. HUD will evaluate 
the extent to which you have obligated modernization amounts in a 
timely manner.
    (a) You will receive 3 points if you have obligated at least 90 
percent of your FY 1998 and prior year Modernization (e.g., 
Comprehensive Improvement Assistance Program or Comprehensive Grant 
Program) amounts by the quarter ending before the HOPE VI 
Revitalization application deadline date. HUD will use the LOCCS 
disbursement system as of the quarter ending before the application 
deadline date to verify your obligation rate.
    (b) You will receive 2 points if you have obligated between 70 and 
89 percent of your Modernization funds.
    (c) You will receive 1 point if you have obligated between 50 and 
69 percent of your Modernization funds.

[[Page 9611]]

    (d) You will receive 0 points if you have obligated less than 50 
percent of your Modernization funds or if there is inadequate 
information in the application to rate this factor.

Rating Factor 2: Need (20 Points)

    This factor addresses the extent of the need for the revitalization 
program; the potential impact of the proposed revitalization on the 
surrounding neighborhood, the need for funding under the HOPE VI 
program, the identification of need in the community, and the need for 
affordable housing in the community.
    (1) Need for Revitalization: 7 Points. All applicants must certify 
that the public housing targeted for revitalization is severely 
distressed, in accordance with Section V(A)(2) of this HOPE VI section 
of the SuperNOFA, above. For this rating factor, HUD will evaluate the 
extent of the severe distress of the targeted units and the urgency of 
addressing the severe distress. HUD will evaluate your description and 
documentation of the severity of the physical distress in terms of the 
deficiencies listed below. If the targeted units have already been 
demolished, HUD will evaluate your description of the condition of the 
site before demolition.
    (a) You will receive 7 points if you demonstrate that the extent of 
the distress and the need for revitalization satisfies all 4 of the 
following criteria:
    (i) There are major structural and system deficiencies in its 
infrastructure, roofs, electrical, plumbing, and mechanical systems, 
lead based paint, settlement, and other deficiencies in Housing Quality 
Standards;
    (ii) There are major site deficiencies, including poor soil 
conditions, inadequate drainage, deteriorated laterals and sewers, and 
inappropriate topography;
    (iii) There are design deficiencies, including inappropriately high 
population density, room, and/or unit size and configurations; 
isolation; indefensible space; inaccessibility for persons with 
disabilities with regard to individual units, entrance ways, and/or 
common areas;
    (iv) There are environmental conditions that make the site or a 
portion of the site and its housing structures unsuitable for 
residential use.
    (b) You will receive 5 to 6 points if you demonstrate that the 
extent of the distress and the need for revitalization satisfies 3 of 
the 4 above criteria.
    (c) You will receive 0 points if you demonstrate that the extent of 
the distress and the need for revitalization satisfies less than 3 of 
the above criteria.
    (2) Impact on Neighborhood: 6 Points. HUD will evaluate the extent 
to which the severely distressed public housing negatively impacts the 
surrounding neighborhood and how revitalization through HOPE VI, 
including retail, office, and other economic development, as 
appropriate, will enhance the neighborhood in which the project is 
located and enhance economic opportunities for residents. In making 
this determination, HUD will evaluate your narrative, crime statistics, 
photographs or renderings, socio-economic data, trends in property 
values, evidence of property deterioration and abandonment, evidence of 
underutilization of surrounding properties, and other indications of 
neighborhood distress and/or disinvestment that you provide in your 
application to demonstrate your case.
    (a) You will receive 5 to 6 points if you can demonstrate that 
revitalization of the severely distressed project with HOPE VI funds 
will greatly improve the surrounding neighborhood and community.
    (b) You will receive 3 to 4 points if you can demonstrate that 
revitalization of the severely distressed project with HOPE VI funds 
will greatly improve the overall health of the surrounding neighborhood 
and community, i.e., the proposed revitalization has only limited 
likelihood of spurring significant neighborhood revitalization 
activities or preventing decline.
    (c) You will receive 1 to 2 points if you can demonstrate that 
revitalization of the severely distressed project will have a minor 
impact on the surrounding neighborhood and community.
    (d) You will receive 0 points if, based on the data submitted, HUD 
determines that the proposed project and/or the surrounding 
neighborhood is so severely deteriorated that even if the public 
housing site is revitalized, it will neither stop the decline nor have 
any impact on the surrounding neighborhood and community. You will also 
receive 0 points if there is not enough information in your application 
to rate this factor.
    (3) Need for Funding: 3 Points. HUD will evaluate the extent to 
which you could undertake the proposed revitalization activities 
without a HOPE VI grant. HUD will use data from the latest quarterly 
obligation report available at the time of the application deadline 
date to confirm the amount of unobligated FY 1998 and prior year 
Modernization funds currently available that could be used to carry out 
the proposed revitalization activities.
    (a) You will receive 3 points if the unobligated balance of your FY 
1998 and prior year Modernization funds is up to 25 percent of the 
amount of HOPE VI funds requested.
    (b) You will receive 2 points if your unobligated balance is 26-50 
percent of the amount of HOPE VI funds requested.
    (c) You will receive 1 point if your unobligated balance is 51-75 
percent of the amount of HOPE VI funds requested.
    (d) You will receive 0 points if your unobligated balance is 76 to 
100 percent or greater than the amount of HOPE VI funds requested or if 
there is inadequate information to rate this factor.
    (4) Identification of Need by the Community: 2 Points
    This factor addresses whether the need for the revitalization of 
severely distressed public housing is identified in your jurisdiction's 
Consolidated Plan, and whether severely distressed public housing is 
identified as an impediment to fair housing choice in your 
jurisdiction's Analysis of Impediments to Fair Housing Choice (AI). 
Information on the Consolidated Plan can be found on the HUD Home Page 
(www.hud.gov/cpd/conplan.html).
    (a) You will receive 2 points if: (i) You cite language from your 
community's Consolidated Plan that identifies revitalization of 
severely distressed public housing as an urgent need in the community, 
and you cite language from your community's AI that identifies severely 
distressed public housing as an impediment to fair housing choice; or
    (ii) If the Consolidated Plan/AI are applicable to your 
jurisdiction but they do not identify severely distressed public 
housing as an urgent need or an impediment to fair housing choice, you 
have explained in detail why severe distress of public housing is not 
identified, described your efforts to alert the jurisdiction to the 
need for revitalization, and worked with the jurisdiction to amend the 
Consolidated Plan and AI to include revitalization of severely 
distressed public housing as an urgent need; or
    (iii) If the Consolidated Plan/AI are not applicable to your 
jurisdiction, you have used other sound and reliable data sources to 
show that the community has identified the need for revitalization of 
severely distressed public housing and the urgency in meeting the need. 
Types of other sources include, but are not limited to, census reports, 
continuum of care gaps analysis, law enforcement agency crime reports, 
and your PHA Five-Year and Annual Plan.
    (b) You will receive 1 point if your community's Consolidated Plan/
AI does not identify the revitalization of severely distressed public 
housing or

[[Page 9612]]

identify the severely distressed public housing as an impediment to 
fair housing choice, and you have not provided a strong explanation of 
why they are not included. If the Consolidated Plan/AI are not 
applicable to you community, you have not thoroughly documented your 
level and urgency of need through other sound and reliable sources.
    (c) You will receive 0 points if you have not made any efforts to 
include severely distressed public housing in the Consolidated Plan or 
AI. If the Consolidated Plan/AI are not applicable to your community, 
you have not documented your level and urgency of need through other 
data sources. Or, there is not enough information in your application 
to rate this factor.
    (5) Need for Affordable Housing in the Community: 2 Points. HUD 
will evaluate the extent to which you have demonstrated that there is a 
need for affordable housing in the community, and there is an 
inadequate supply of other affordable housing available to accommodate 
families receiving tenant-based assistance under Section 8.
    (a) You will receive 2 points if you have:
    (i) Documented the need for affordable housing in the community 
with statistics and analyses contained in a data source(s) that is 
sound and reliable, including information on market rental costs as 
compared to Section 8 fair market rents (FMRs); and
    (ii) Provided a thorough analysis that demonstrates that the supply 
of other affordable housing is inadequate to accommodate families that 
would be displaced if the targeted severely distressed project was 
demolished and not replaced. Your analysis must be documented by a 
comparison of the number of Section 8-eligible rental apartment 
listings in a newspaper of general circulation in the community over 
the most recent complete month prior to the HOPE VI application 
deadline date compared to the number of units needed if the site were 
to be demolished and residents relocated within the community.
    (b) You will receive 1 point if your analysis is less than thorough 
but nevertheless demonstrates a general need for affordable housing in 
the community.
    (c) You will receive 0 points if your analysis fails to show a need 
for affordable housing in the community or you do not provide enough 
information to rate this factor.

Rating Factor 3: Soundness of Approach (40 Points)

    This rating factor evaluates the quality of the main components of 
your plan to revitalize severely distressed public housing. It includes 
the quality of design, feasibility of activities, your efforts to 
lessen concentration, and your relocation plan. It also evaluates your 
community and supportive services plan, your efforts to reach out to 
residents and members of the community, proposed management principles 
and policies, and your plans to evaluate your program. HUD will also 
evaluate your efforts to affirmatively further fair housing.
    (1) Overall Quality of Plan: 5 Points. HUD will evaluate your 
entire application to rate this factor.
    (a) You will receive 4 to 5 points if you demonstrate that all 
aspects of your plan, including your physical, social, and economic 
approach, are the most appropriate possible given your local 
conditions, constraints, and opportunities, i.e. your application 
demonstrates no flaws in each of the following elements:

(i) Design and planning;
(ii) Cost effectiveness of proposed revitalization activities;
(iii) Appropriateness in the context of the broader community;
(iv) Integration of housing and non-housing aspects of your strategy;
(v) Appropriateness in the context of local housing markets;
(vi) The likelihood that a HOPE VI grant will result in a revitalized 
site that will enhance the neighborhood in which the project is located 
and enhance economic opportunities for residents.

    (b) You will receive 3 points if your plan has flaws in one of the 
above elements.
    (c) You will receive 0 points if your plan has flaws in more than 
one of the above elements, or there is insufficient information in the 
application to rate this factor.
    (2) Design: 3 Points. HUD is seeking excellence in design. We urge 
you to carefully select your architects and/or planners and to enlist 
local affiliates of national architectural and planning organizations 
and/or the department of architecture at a local college or university 
to assist you in assessing qualifications of design professionals and/
or participating on a selection panel that will result in the 
procurement of excellent design services.
    Your proposed site plan, new units, and other buildings must be 
designed to blend into and enrich the surrounding neighborhood and 
promote mixed-income, mixed-use communities. Local architecture and 
design elements and amenities should be incorporated into the new or 
rehabilitated homes so that the revitalized sites and structures will 
blend into the broader community and appeal to the market segments for 
which they are intended. Housing, community facilities, and economic 
development space must be well integrated. You must select a design 
team that has the ability to produce such design and/or demonstrate 
that you have the capacity to secure such a team.
    HUD encourages you to propose enhancements to the natural 
environment such as tree and shrub planting to address natural resource 
issues such as erosion, stormwater management, and water quality that 
will result in physical improvements to the site; convert public open 
space now devoid of green vegetation to a natural, inviting, and more 
livable environment; and plan for the sustainability of such resources 
after the revitalization activities are completed. Through an MOU 
between the Department of Agriculture and HUD, technical assistance to 
develop a natural resource stewardship program is available to public 
housing authorities. See the General Section of the SuperNOFA for more 
information on Urban Forestry. Further information can be found on the 
Forest Service website (www.fs.fed/us/research/rvur/urban/
urbanforestry/urbanforest.htm).
    (a) You will receive 3 points if your proposed site plan, new 
units, and buildings demonstrate that:
    (i) You have proposed a plan that incorporates design elements and 
amenities into the revitalized homes that will enable them to blend 
into and enrich the neighborhood and appeal to intended market 
segments;
    (ii) Your proposed housing, community facilities, and economic 
development space are thoroughly integrated into the community; and
    (iii) Your plan proposes extensive and appropriate enhancements of 
the natural environment.
    (b) You will receive 2 points if your proposed site plan, new 
units, and buildings demonstrate design that adequately addresses the 
elements above.
    (c) You will receive 1 point if your proposed design addresses the 
above elements in only a perfunctory manner.
    (d) You will receive 0 points if your proposed design does not 
address the above elements or there is inadequate information to rate 
this factor.
    (3) Feasibility of Plan: 5 Points. In awarding points under this 
rating factor, HUD will consider the following:

[[Page 9613]]

    (a) Market. You will receive 1 point if you demonstrate that there 
is a market for the revitalized and/or replacement units of the type, 
number, and size proposed.
    (i) Your demonstration of the need for non-public housing units 
will be based on a preliminary market assessment letter prepared by an 
independent, third party, credentialed market resource firm or 
professional.
    (ii) Your demonstration of the need for public housing units will 
be based on the number and percentage of existing families on site that 
are projected to return and the number of families on your public 
housing and Section 8 waiting list(s).
    (b) Hard Development Costs. You will receive 1 point if: (i) Your 
projected hard development costs are realistic and developed through 
the use of technically competent methodologies, including cost 
estimating services;
    (ii) Your cost estimates represent an economically viable 
preliminary plan for designing, planning and carrying out your proposed 
activities in accordance with local costs of labor, materials, and 
services; and
    (iii) Your proposed hard costs are comparable to industry standards 
for the kind of construction to be performed in the proposed geographic 
area.
    (c) Soft costs. You will receive 1 point if your projected soft 
costs (developer's fees, PHA administration costs, legal fees, program 
manager's fees, consultants' fees, etc.) are comparable to industry 
standards, justified, and you have demonstrated how you will control 
such costs. HUD is particularly concerned that soft costs be minimized 
and will review carefully the proposed soft cost structure. HUD will 
review your means of keeping soft costs at a minimum so that the 
maximum HOPE VI resources go into physical development and transforming 
the lives of the residents.
    (d) Coherence and Consistency. You will receive up to 2 points if 
the information and strategies described in your application are 
coherent and internally consistent, particularly the data provided for 
types and numbers of units, budgets and other financial estimates, and 
other numerical information. It is critical that you carefully review 
all numbers for unit mix, costs, etc. to make sure that all numbers are 
consistent throughout the application. HUD will make this determination 
based on your entire application.
    (4) Lessen Concentration: 3 Points. This factor addresses how the 
activities you propose are designed to lessen concentration of low-
income households, create opportunities for desegregation and 
accessibility, and offer viable housing choices to displaced residents. 
In awarding points under this rating factor, HUD will consider the 
following:
    (a) On-site housing. You will receive 1 point if your proposed unit 
mix (i.e., rental vs. homeownership, public housing, market, and 
subsidized units) will significantly reduce the isolation and/or 
concentration of low-income residents and/or significantly achieve a 
mixed-income, well functioning community on the revitalized site.
    (b) Off-site housing. You will receive 1 point if your plans for 
off-site housing will lessen concentration of low-income residents and 
create opportunities for desegregation by locating such housing in 
neighborhoods with low levels of poverty and/or concentrations of 
minorities. You are encouraged to maximize off-site hard units as 
replacement housing and to locate such units such that they do not 
cause an over-concentration of low-income housing. You do not have to 
identify the precise location of off-site units in your application to 
receive full points for this subfactor, but you must identify the types 
of neighborhoods where such housing will be planned and demonstrate the 
feasibility of such off-site development (i.e., land is available at a 
price which allows economic feasibility, community acceptance is 
likely, etc.).
    (c) Access to Services. You will receive 1 point if, for both on-
site and any off-site units, your overall plan will result in increased 
access to municipal services, jobs, mentoring opportunities, 
transportation, and educational facilities; i.e., the physical plan and 
self-sufficiency strategy are well integrated and strong linkages will 
be established with the appropriate Federal and state and local 
agencies, non-profits, and the private sector to achieve such access.
    (5) Relocation and Section 8: 5 Points. In order to receive any 
points for this rating factor, you must propose to use Section 8 
assistance as a means of temporary and/or permanent relocation of 
families currently living in the targeted units. To receive points, you 
must go beyond the requirements of the Uniform Relocation Act and 
propose a comprehensive, results-based plan in which residents are 
actively involved. In awarding points under this rating factor, HUD 
will consider the following:
    (a) Relocation Support. You will receive up to 2 points if you 
thoroughly describe your team's plan and capacity to effectively 
implement the following elements of relocation support:
    (i) Provide counseling to residents who choose Section 8 assistance 
that will help them to fully understand the full range of housing 
opportunities available to them in neighborhoods throughout the 
jurisdiction and to find housing in non-poverty areas.
    (ii) Conduct programs designed to prepare residents for the 
transition to private rental housing, including one-on-one move 
counseling and life skills training, so that they may sustain their new 
living arrangement for the foreseeable future.
    (iii) Ensure that Section 8 housing complies with the Section 8 
requirements regarding lead-based paint and other hazardous materials.
    (iv) If necessary, propose to use HOPE VI or other funds to modify 
Section 8 relocation units to make them accessible for residents with 
disabilities.
    (b) Community Outreach. You will receive 1 point if you thoroughly 
describe your plan and your team's capacity to effectively involve 
faith-based, non-profit and/or other institutions, organizations, and/
or individuals in the community to which relocatees choose to move, in 
order to ease the transition and minimize the impact on the 
neighborhood. HUD will view favorably innovative programs such as 
community mentors, support groups, and the like.
    (c) Self-sufficiency. You will receive 1 point if you thoroughly 
describe your team's plan and capacity to provide effective, results-
based community and supportive service program support to Section 8 
relocatees to achieve and maintain self-sufficiency.
    (d) Tracking. You will receive 1 point if you thoroughly describe 
your team's plan and capacity to develop an effective tracking system 
that will enable you (and/or your CSS partners) to identify and track 
relocatees from the site to be revitalized and make regular follow-up 
services available to families receiving Section 8 assistance.
    (6) Community and Supportive Services: 5 Points. This factor 
evaluates the quality of your proposed CSS plan. It is important that 
you review Section IV(C)(2)(c) of this HOPE VI section of the 
SuperNOFA, above, for a detailed description of the requirements of a 
CSS program, and Section IV(C)(2)(d) for a list of possible CSS 
programs and activities. You are encouraged to go beyond these lists 
and create CSS programs that break new ground by responding to unique 
needs in your community and which may serve as national models for 
self-sufficiency and educational achievement.
    (a) You will receive 4 to 5 points if: (i) You propose a high-
quality, results-

[[Page 9614]]

oriented plan that includes strong components of the basic elements of 
education, job training, and services that will enable all affected 
residents to transform their lives;
    (ii) The plan is well coordinated with strong, experienced service 
providers;
    (iii) The plan was developed using an effective needs assessment; 
and
    (iv) Mechanisms are in place to effectively measure the goals of 
the program and evaluate success.
    (b) You will receive 2 to 3 points if your plan has a flaw in one 
of the elements listed in paragraphs (i) through (iv) above.
    (c) You will receive 1 point if your plan has a flaw in more than 
one of the elements listed above.
    (d) You will receive 0 points if you merely repeat information from 
the NOFA or if there is inadequate information to rate this factor.
    (7) Resident and Community Outreach and Involvement: 4 Points. In 
addition to the Threshold requirement for public meetings provided in 
Section V(B)(3) of this HOPE VI section of the SuperNOFA, above, this 
rating subfactor evaluates the extent of involvement of residents and 
the broader community in the development and proposed implementation of 
your revitalization program. HUD will evaluate the nature, extent, and 
quality of the resident and community outreach and involvement you have 
achieved by the time your application is submitted, as well as your 
plans for continued and/or additional outreach and involvement. HUD 
will evaluate your efforts to include affected residents and members of 
the surrounding community in the planning, implementing, and management 
of your proposed revitalization activities. In awarding points under 
this factor, HUD will consider the following:
    (a) Collaboration and Inclusiveness. You will receive 1 point if 
you demonstrate that you have communicated regularly and significantly 
with affected residents and members of the surrounding community about 
your application that and you have:
    (i) Provided affected residents with substantive opportunities to 
participate in the development of your HOPE VI plan;
    (ii) Included all other interested parties, especially members of 
the surrounding community, in the development of your plans and 
application; and
    (iii) Developed specific plans for continued involvement and 
participation of residents and the broader community in the planning 
and implementation of revitalization activities if your application is 
successful.
    (b) Logistics. You will receive 1 point if you demonstrate that you 
have:
    (i) Scheduled informational and planning meetings with affected 
residents and other interested parties during the development of your 
application at frequent and convenient times, meeting at least the 
requirements of Section IV(C)(1) of this HOPE VI section of the 
SuperNOFA, above;
    (ii) Announced meetings (consistent with Section IV(C)(1), above) 
in ways that are designed to generate the most participation. Methods 
of announcing upcoming meetings include, but are not limited to:
    (A) Publishing notices of meetings in newspapers of local 
distribution;
    (B) Hand distributing flyers to residences and locations likely to 
attract notice;
    (C) Posting meeting information in adequate time to allow residents 
and other interested parties to plan to attend.
    (iii) Provided day care and, where necessary, transportation to and 
from the meetings.
    (c) Communication. You will receive 1 point if you demonstrate that 
you have communicated effectively with affected residents and members 
of the surrounding community by:
    (i) Providing reasonable training and technical assistance on the 
HOPE VI development process and general principles of development to 
affected residents to enable them to participate meaningfully in the 
development of your application, and developing plans to provide 
further training and technical assistance if your application is 
successful;
    (ii) Providing information to and receiving input from affected 
residents and other interested parties about your planned 
revitalization;
    (iii) Incorporating input and recommendations of interested 
parties, especially affected residents, to the extent possible, into 
your application;
    (iv) Generating support for your application among interested 
parties;
    (v) Providing status reports on the development of your application 
to residents; and
    (vi) Providing that appropriate HUD communications are made 
available to affected residents and the broader community (i.e., a copy 
of the NOFA; notification of any HUD video conferences regarding the 
NOFA; computer access to the HUD website, etc.
    (d) Dissention. You will receive 1 point if you have acknowledged 
and attempted to address any dissenting viewpoints among affected 
residents and other interested parties. If there has been no opposition 
to your plan you will automatically earn this point. You will not earn 
this point if you do not acknowledge that any such opposition has been 
raised and/or you do not make efforts to address such opposition. Where 
there is resident or community opposition to the plan, HUD will 
evaluate your analysis of the reasons for and extent of the opposition, 
and your current and proposed plans for dealing with the opposition. 
HUD will only consider letters of dissent that are received by HUD at 
least ten days before the HOPE VI application deadline date and which 
indicate that copies have been sent to you.
    (8) Operation and Management Principles and Policies: 3 Points. 
Revitalization activities using HOPE VI Revitalization grant funds must 
be for severely distressed public housing projects. Accordingly, 
certain proposed activities are subject to statutory requirements 
applicable to public housing projects under the 1937 Act, other 
statutes, and the Annual Contributions Contract (ACC). Within such 
restrictions, HUD seeks innovative solutions to the long-standing 
problems of severely distressed public housing projects. You may 
request, for the revitalized development, a waiver of HUD regulations 
(that are not statutory requirements) governing rents, income 
eligibility, or other areas of public housing management that will 
permit you to undertake measures that enhance the long-term viability 
of a development revitalized under this program.
    (a) You will receive 3 points if you demonstrate your team's plan 
and capacity to carry out each of the following 10 elements listed in 
the ``Self-Sufficiency and Economic Diversity'' and ``Safety and 
Security'' categories below.
    (b) You will receive 2 points if you demonstrate your team's plan 
and capacity to carry out 7 of the 10 elements, which must include the 
first three elements in the ``Self-Sufficiency and Economic Diversity'' 
category.
    (c) You will receive 1 point if you demonstrate your team's plan 
and capacity to carry out 5 of the 10 elements.
    (d) You will receive 0 points if demonstrate your team's plan and 
capacity to carry out fewer than 5 elements, and the operation and 
management principles you propose to implement at the revitalization 
site are not likely to result in improved management, or there is 
insufficient

[[Page 9615]]

information in the application to rate this factor.
    Self-Sufficiency and Economic Diversity. You must propose operation 
and management principles and policies to be applied to on-and/or off-
site public housing and any on-site or adjacent assisted housing that 
will encourage residents to move in, move up, and move on. Such 
principles must:
    1. Reward work and promote family stability by promoting positive 
incentives such as income disregards and ceiling rents;
    2. Promote economically and demographically diverse living 
patterns, e.g., inclusion of persons of different races/ethnic groups, 
families with or without children, persons with disabilities and able-
bodied persons, and the elderly, by:

--Instituting a system of local preferences adopted in response to 
local housing needs and priorities, e.g., preferences for victims of 
domestic violence, residency preferences, disaster victims;
--Aggressively pursuing affirmative marketing which attracts 
individuals with a broad spectrum of incomes and attracts all segments 
of the eligible population to the project on a nondiscriminatory basis; 
and
--Reaching out to persons with disabilities;

    3. Encourage self-sufficiency by including lease requirements that 
promote resident involvement in the tenants association, community 
service, self-sufficiency, and transition from public housing;
    4. Complement self-sufficiency programs and result in a mix of 
residents in the revitalized development who have a range of incomes;
    5. Create strong, stable, well-run communities by implementing 
site-based waiting lists for the redeveloped public housing and/or 
following project-based management principles.
    Safety and Security. You must demonstrate that your proposed 
operation and management principles and policies will provide greater 
safety and security for residents and community by:
    1. Instituting strict screening requirements such as credit checks, 
references, home visits, and criminal records checks;
    2. Strictly enforcing lease and eviction provisions;
    3. Enhancing on-going efforts to eliminate drugs and crime from 
neighborhoods through collaborative efforts with local law enforcement 
agencies, the local United States Attorney, and Federal, state, and 
local crime prevention programs, and program policy efforts such as 
``One Strike and You're Out'' (www.hud.gov:80/progdesc/1strike.html), 
the ``Officer Next Door'' initiative (www.hud.gov:80/ond/ond.html), the 
local the Department of Justice ``Weed and Seed'' Program task force if 
the targeted project is located in a designated Weed and Seed area 
(www.ojp.usdoj.gov/eows); HUD's ``Operation Safe Home'' Program, and/or 
HUD's Drug Elimination Programs;
    4. Improving the safety and security of residents through the 
implementation of defensible space principles, anti-crime measures, and 
the installation of physical security systems such as surveillance 
equipment, control engineering systems, etc.;
    5. Improving the safety of children by promoting the principles of 
Healthy Homes. Healthy Homes activities are described in Section VI(D) 
of the General Section of this SuperNOFA, the HOPE VI Application Kit, 
and on HUD's Healthy Homes website at www.hud.gov/hhchild.html.
    (9) Affirmatively Furthering Fair Housing: 5 Points. You must 
affirmatively further fair housing through the physical design of the 
revitalized units, the location of new units, marketing of housing that 
will encourage diversity, and tenant selection and assignment 
strategies that promote fair housing choice. You are strongly 
encouraged to work with local advocacy groups which represent 
individuals with disabilities, the elderly, and other special needs 
populations to further these goals.
    Definitions of accessibility and adaptability can be found at 24 
CFR 8.3. This section can be found at www.access.gpo.gov/nara/cfr/cfr-retrieve.html. In awarding points under this rating factor, HUD will 
consider the following:
    (a) Accessibility: 2 points. The design of your proposed site plan, 
non-residential structures and facilities, and the new construction 
and/or rehabilitation of housing must conform to the civil rights 
statutes and regulations required in Section II(B) of the General 
Section of this SuperNOFA. Information on accessibility can be found on 
HUD's Fair Housing Home Page (www.hud.gov/fairhsg1.html). Over and 
above the accessibility requirements:
    (i) You will receive 2 points if you propose to implement all of 
the following suggested accessibility priorities:
    (A) Make at least 5 percent of for-sale units accessible to 
individuals with mobility disabilities and 2 percent of for-sale units 
accessible to individuals who have visual or hearing disabilities;
    (B) Provide one-bedroom accessible rental units for single 
individuals with disabilities so that they can live in the revitalized 
community;
    (C) Provide for accessibility modifications, where necessary, to 
Section 8 units of residents who relocate from the targeted project due 
to revitalization activities;
    (D) Where playgrounds are planned, propose ways to make them 
accessible to children with disabilities, over and above statutory and 
regulatory requirements;
    (E) Where possible, design units with accessible front entrances.
    (ii) You will receive 1 point if you do not propose to implement 
all of the accessibility priorities above but you provide a detailed 
description why you cannot implement one or more of the priorities;
    (iii) You will receive 0 points if you do not propose to implement 
all of the accessibility priorities and you do not describe in detail 
why you cannot implement one or more of the priorities; or there is 
insufficient information in your application to rate this factor.
    (b) Adaptability. You will receive 1 point if your physical plan 
meets the adaptability standards adopted by HUD at 24 CFR 8.3 that 
apply to those units not otherwise covered by the accessibility 
requirements. The elements of adaptability are included in the HOPE VI 
Application Kit Glossary.
    (c) Visitability. You will receive 1 point if your physical plan 
meets the visitability standards adopted by HUD that apply to units not 
otherwise covered by the accessibility requirements. The elements of 
visitability are described in Section VI(C) of the General Section of 
this SuperNOFA and in the HOPE VI Application Kit Glossary.
    (d) Diversity. You will receive 1 point if your program activities 
aid a broad range of eligible residents, including the elderly, persons 
with disabilities, etc. In addition, HUD will evaluate your efforts to 
increase community awareness of the need for and benefits from 
diversity, in a culturally sensitive manner through education and 
outreach, as applicable. Your marketing and outreach activities must be 
targeted to all segments of the population on a nondiscriminatory 
basis, promote housing choice and opportunity throughout your 
jurisdiction, and contribute to the deconcentration of minority and 
low-income neighborhoods.
    HUD will evaluate your description of specific steps you will take 
to:

[[Page 9616]]

    (i) Address the elimination of impediments to fair housing that 
were identified in your jurisdiction's Analysis of Impediments to Fair 
Housing Choice or in any examination of your own programs you may have 
carried out that identified impediments to fair housing choice within 
those programs;
    (ii) Remedy discrimination in housing; or
    (iii) Promote fair housing rights and fair housing choice.
    (10) Evaluation: 2 Points. In order to earn points under this 
rating factor, you must propose to work with local university(ies) and/
or other institutions of learning, foundations, and/or others to 
evaluate the performance and impact of your proposed HOPE VI 
revitalization. Where possible, HUD encourages you to form partnerships 
with Historically Black Colleges and Universities (HBCUs); Hispanic-
Serving Institutions (HBIs); Community Outreach Partnership Centers 
(COPCs); the Alaskan Native/Native Hawaiian Institution Assisting 
Communities Program (as appropriate); and others in HUD's University 
Partnerships Program.
    (a) Documentation. You will receive 1 point if you provide a 
support letter(s) to document the willingness of an institution(s) to 
participate, and its proposed approach to carry out the evaluation. The 
letter must address the following areas for evaluation:
    (i) The impact of your HOPE VI effort on the lives of the 
residents;
    (ii) The nature and extent of economic development generated in the 
community;
    (iii) The effect of the revitalization effort on surrounding 
communities, including spillover revitalization activities, property 
values, etc.; and
    (iv) Your success at integrating the physical and social aspects of 
your strategy and achieving the goals stated in your application.
    (b) Oversight. You will receive 1 point if you:
    (i) Provide a comprehensive description of your team's evaluation 
plan;
    (ii) Demonstrate excellent capacity to be involved and/or support 
the evaluation; and
    (iii) Indicate how the evaluation will be funded.

Rating Factor 4: Leveraging Resources (10 Points)

    Match vs. Leverage. There is an important difference between the 
terms match and leverage. In accordance with Section IV(D)(1) of this 
HOPE VI section of the SuperNOFA, above, all HOPE VI Revitalization 
grant funds are subject to a matching requirement. By signing the HOPE 
VI Revitalization Applicant Certifications (Appendix A to this program 
section, below), you will certify that, if selected for funding, you 
will provide matching funds which, combined with HUD funds, will enable 
you to carry out revitalization activities, including community and 
supportive services programs. If selected for funding, you will be 
required to show evidence of matching resources through your quarterly 
reports as your project proceeds. Evidence of match is not required up 
front in your application.
    Leverage, on the other hand, consists of firm and projected 
commitments of funds that you can demonstrate now, at the application 
stage. While you are not required to provide any evidence that you have 
leveraged funds, you will not receive points for the leveraging rating 
factor unless you provide evidence of currently-available or projected 
funds to be leveraged.
    HUD will rate your application based on the amount of funds and 
other resources that will be leveraged by the HOPE VI Grant, as 
measured by the ratio of HOPE VI dollars requested to the value of the 
financial, in-kind, and/or other assistance for proposed activities 
which can be added to HUD funds to achieve program purposes, in 
specific amounts that are committed or projected from your partners and 
other entities if HOPE VI funds are awarded. Endorsements or general 
letters of support from organizations or vendors alone will not count 
as leverage.
    In your application, you must provide evidence of each proposed 
resource by including a letter of commitment, memorandum of 
understanding, and/or agreement to participate, including any 
conditions to which the leverage may be subject. HUD recognizes that in 
some cases, firm commitments cannot be made at the application stage. 
In such a case, the entity must describe why the firm commitment cannot 
be made at the current time and must affirm that your PHA and your HOPE 
VI project meet eligibility criteria for receiving the resource. This 
is particularly important with regard to Low Income Housing Tax Credits 
(LIHTC), where forward commitments are typically not possible. All 
letters of commitment must include the donor organization's name, the 
specific resource proposed, the dollar amount of the financial or in-
kind resource, and the purpose of that resource. The commitment must be 
signed by an official of the organization legally authorized to make 
commitments on behalf of the organization. HUD will evaluate the 
strength of commitment that the letters articulate and calculate the 
ratio of HUD funds to leveraged funds that HUD deems acceptably 
documented.
    (1) Physical Development Resources: 6 Points. HUD seeks to fund 
mixed-finance developments that use HOPE VI funds to leverage the 
maximum amount of other physical development funds, particularly from 
private sources, that will result in revitalized public housing, other 
types of assisted and market rate housing, and retail and economic 
development.
    (a) Types of funds. Physical development funds may include, but are 
not limited to: (i) Equity (including syndication proceeds);
    (ii) Mortgage secured loans and other debt;
    (iii) Insured loans;
    (iv) Donations and contributions;
    (v) Housing trust funds;
    (vi) Homeowner loans;
    (vii) Funds committed to build private sector housing in connection 
with the HOPE VI revitalization program;
    (viii) Low Income Housing Tax Credits (LIHTC). If you proposed to 
use tax credits as a part of your financing, you must include in your 
application a letter from your State or local Housing Finance Agency 
that provides information from the allocation plan regarding the total 
amount and type (4 percent vs. 9 percent) of tax credits available, any 
setasides available for PHAs, per project funding limits, the schedule 
of funding rounds, verification that your project meets eligibility 
criteria, phasing, and other pertinent information that will enhance 
your project's likelihood to receive the desired tax credits. If your 
application includes a letter from a Housing Finance Agency which 
addresses these issues, the tax credits will be considered documented 
and you may count it in your development resources leverage ratio. If 
your application does not include such a letter, the amount of tax 
credit dollars you propose will not be counted as leverage.

    (b) Sources of funds. You must actively enlist other stakeholders 
who are vested in and can provide significant financial assistance to 
your revitalization effort. Sources of development resources may 
include:

(i) Public, private, and non-profit entities;
(ii) State and local Housing Finance Agencies;
(iii) Local governments, which may provide commitments of funds for the 
physical development costs of schools, libraries, economic development 
and/or commercial facilities;

[[Page 9617]]

(iv) The city's housing and/or redevelopment agency or other 
functioning agency. HUD will consider this to be a separate entity with 
which you are partnering if your PHA is also a redevelopment agency or 
otherwise has citywide responsibilities;

    (A) You are strongly urged to seek a pledge of Community 
Development Block Grant (CDBG) funds from your city or county for 
improvements to public infrastructure work such as streets, water 
mains, etc. related to the revitalization effort. Information on CDBG 
can be found on the HUD Home Page (www.hud.gov/cpd/cpd/cpdprog.html);
    (B) The city or county may provide HOME funds to be used in 
conjunction with HOPE VI funds, but HOME funds may not be used in 
conjunction with Public Housing Capital Program funds. Information 
about the HOME Program can be found on the HOME website (www.hud.gov/cpd/home/homeweb.html);
    (v) Foundations;
    (vi) Financial institutions, banks or insurers.
    (c) Other HUD Public Housing Funds. Although you may commit other 
Federal public housing funds such as Capital Fund grants, Comprehensive 
Grant Program, MROP, etc. to meet your match requirement if you are 
selected for funding, your commitment of these types of funds will not 
count towards your leverage ratio for the purposes of rating your 
application.
    (d) Rating. You will receive 6 points if the ratio of requested 
HOPE VI funds to documented, committed leveraged development funds is 
at least 1:4.
    You will receive 5 points if the ratio is 1:3.
    You will receive 4 points if the ratio is 1:2.5.
    You will receive 3 points if the ratio is 1:2.
    You will receive 2 points if the ratio is 1:1.5.
    You will receive 1 point if the ratio is 1:1.
    You will receive 0 points if the ratio is less than 1:1 or if there 
is inadequate information in the application to rate this factor.
    (2) Community and Supportive Services Resources: 4 Points. In order 
to achieve quantifiable self-sufficiency results, you must form 
partnerships with organizations that are skilled in the delivery of 
services to residents of public housing and that can provide 
commitments of resources to support those services. Leveraging scarce 
HOPE VI CSS funds with other funds and services is critical to the 
sustainability of CSS programs so that they will continue after the 
HOPE VI funds have been expended.
    (a) Types of resources. Resources may include financial resources 
such as Federal, State, or local government grants or private 
contributions. Resources may also include in-kind contributions such as 
the value of any donated material or building; the value of any lease 
on a building; the value of the time and services contributed by 
volunteers, and the value of any other in-kind services or 
administrative costs, such as staff salaries and benefits, supplies, 
and municipal or county government services or infrastructure which are 
critical to the successful transformation of the project and of the 
lives of its residents.
    (b) Sources of resources. (i) See Section IV(C)(2)(e) of this HOPE 
VI section of the SuperNOFA for a list of the kinds of organizations, 
agencies, and other possible resource providers that you may form 
partnerships or other relationships with to obtain resources for your 
CSS programs.
    (ii) In accordance with Section IV(C)(2)(b) of this HOPE VI section 
of the SuperNOFA, above, you may enter into subgrantee agreements with 
organizations, provided that the costs, if any, are verified by an 
outside entity and the subgrantee is also bringing significant 
resources to the project.
    (c) Rating. The number of points you receive will depend on the 
amount of funds and other resources to be leveraged by the grant, as 
measured by the leverage ratio of HOPE VI dollars requested for CSS 
programs to the dollar value of the resources committed from other 
sources for CSS programs. A letter of general commitment without a 
dollar figure of committed resources included will not be counted as a 
resource for this rating factor.
    You will receive 4 points if the ratio of HOPE VI funds requested 
for CSS programs to documented, committed CSS funds leveraged from 
other sources is 1:2 or higher.
    You will receive 3 points if the ratio is between 1:1.5 and 1:1.9.
    You will receive 2 points if the ratio is between 1:1 and 1:1.49.
    You will receive 0 points if the ratio is less than 1:1 or if there 
is inadequate information in your application to rate this factor.

Rating Factor 5: Coordination and Community Planning (10 Points)

    This factor evaluates your efforts to address the need for 
revitalized public housing in a holistic and comprehensive manner by 
coordinating the revitalization of public housing with the overall 
plans for revitalization and related activities in the broader 
community, and participating in or committing to participate in the 
community's Consolidated Planning process.
    (1) Coordination of Revitalization Activities: 5 Points. (a) This 
factor evaluates your efforts to coordinate with other agencies, not to 
provide services, but to ensure that your activities are consistent 
with other revitalization, development, economic development, 
transportation, and other similar activities in the neighborhood, 
surrounding community, and the city or county at large. Public housing 
revitalization must not happen in a vacuum, and it is critical that all 
parties work together to share information and coordinate activities in 
order to develop plans that complement and reinforce other activities, 
both ongoing and planned for the future.
    (b) HUD will evaluate your efforts to take specific steps to:
    (i) Coordinate your proposed activities with related activities of 
other agencies, groups, or organizations outside the scope of those 
covered by the Consolidated Plan.
    (ii) Develop comprehensive solutions that best complement, support 
and coordinate other revitalization and related activities, such as 
plans for changes in transportation, infrastructure, land use, and 
other issues that may affect the planned public housing revitalization 
plans.
    (iii) Participate in planning efforts to share information about 
solutions and outcomes with relevant agencies through meetings, 
information networks, planning processes or other mechanisms.
    (c) Rating. (i) You will receive 3 to 5 points if you provide 
letters, memoranda of agreement, or other documentation from 
organizations and agencies that describe your relationships and 
coordination efforts and indicate that you have made extensive efforts 
to coordinate with a variety of related groups.
    (ii) You will receive 2 points if you document that you have made 
some efforts to coordinate your proposed activities with related 
groups, but your overall effort does not include a variety of different 
kinds of groups and/or you do not show strong evidence of active 
coordination.
    (iii) You will receive 1 point if your efforts to coordinate with 
related groups are not comprehensive and/or your relationships are not 
well documented or committed.

[[Page 9618]]

    (iv) You will receive 0 points if you have not provided evidence 
that you have coordinated with related groups, or there is insufficient 
information in the application to rate this factor.
    (2) Participation in Consolidated Plan AI Process: 5 Points.
    This factor evaluates your efforts to participate in your 
community's Consolidated Planning process (including the Analysis of 
Impediments to Fair Housing Choice) and to include the revitalization 
of severely distressed public housing as a need identified in the 
Consolidated Plan. (A certification of consistency with the 
Consolidated Plan is a required element of each HOPE VI Revitalization 
application.)
    (a) You will receive 4 to 5 points if you demonstrate that:
    (i) You have actively participated in the Consolidated Planning 
process, as evidenced by citing the inclusion of the need for 
revitalized public housing from the Consolidated Plan in your 
application.
    (ii) Your participation in the Consolidated Planning process has 
ensured that your HOPE VI revitalization plans are tied to other 
revitalization planned in the broader community and the jurisdiction as 
a whole, and that they are consistent with plans or organizing efforts 
in the immediate, surrounding neighborhood. If not, you have provided 
an adequate description of why they are not.
    (iii) If the Consolidated Plan is not applicable to your community, 
you have demonstrated that you have participated in other community-
wide planning efforts.
    (b) You will receive 1 to 3 points if you have demonstrated that 
you have participated in the Consolidated Planning process, but the 
Plan does not address the revitalization of severely distressed public 
housing.
    (c) You will receive 0 points if you have demonstrated some 
understanding of the Consolidated Planning process, but have made only 
marginal or no effort to participate. If the Consolidated Plan is not 
applicable to your community, you have demonstrated only marginal or no 
effort to participate in other community-wide planning efforts. You 
also will receive 0 points if there is inadequate information in the 
application to rate this factor.

Empowerment Zone/Enterprise Community Bonus (2 Points)

    You will receive up to 2 bonus points if you propose to revitalize 
severely distressed public housing that is located in a Federally-
designated Empowerment Zone (EZ), Enterprise Community (EC), or Urban 
Enhanced Enterprise Community (also referred to as EC). To be eligible 
for the bonus points, activities must serve EZ/EC residents and the 
application must include a certification that activities are consistent 
with the strategic plan for the EZ or EC. A listing of eligible EZs and 
ECs is appended to the General Section of the SuperNOFA, and also can 
be found on the HUD Home Page (www.hud.gov). Note that if the public 
housing project is located in a similar economic development area 
designated by your state or city, but is not located in a Federally-
designated EZ or EC, your application will not be eligible for these 
bonus points.

VII. HOPE VI Demolition Grant Application Selection Process

    (A) HOPE VI Demolition Grant Funding Categories. HUD will select 
HOPE VI Demolition grant applications on a first-come, first-served 
basis, by an application's Priority Group and Ordinal. HOPE VI 
Demolition grant applications are not rated.
    (1) Priority Groups. You must identify each HOPE VI Demolition 
grant application by its appropriate Priority Group, as described 
below. Each application must target units of a single Priority Group, 
e.g., do not include Priority Group 1 units in the same application as 
Priority Group 2 units.
    (a) Priority Group 1: A HOPE VI Demolition grant application that 
targets units included in an approved Conversion Plan (i.e., plan for 
removal of units from the public housing inventory in accordance with 
the requirements at 24 CFR 971.7(d)). Please note that the term 
``Conversion Plan'' used in this HOPE VI section of the SuperNOFA is 
the plan required by 24 CFR part 971. The Conversion Plan must be 
approved by HUD on or before the HOPE VI Demolition grant application 
deadline date under this HOPE VI section of the SuperNOFA.
    (b) Priority Group 2: A HOPE VI Demolition grant application that 
targets units included in a Conversion Plan that you have submitted to 
HUD on or before the HOPE VI Demolition grant application deadline 
date, or targets units that, at HUD's sole determination under section 
537(b) of the Public Housing Reform Act of 1998, are subject to the 
removal requirements of 24 CFR part 971 and can be expected to be 
demolished in accordance with the time schedule required by Section 
IV(F)(1) of this HOPE VI section of the SuperNOFA, above.
    (i) If you submit a HOPE VI Demolition grant application for units 
that are targeted in a Conversion Plan that was submitted under 24 CFR 
part 971 but not yet approved (Priority Group 2), and HUD subsequently 
approves the Conversion Plan before the HOPE VI Demolition grant 
application deadline date, you may submit a revised application and it 
will be reclassified as Priority Group 1. HUD will change the Ordinal 
to the Ordinal corresponding to the date that the revised application 
was received.
    (ii) If you submit a Conversion Plan but HUD determines that the 
targeted project does not qualify for conversion under 24 CFR part 971, 
your HOPE VI Demolition grant application will not be eligible for 
funding. Please check with your local HUD Office to confirm that your 
targeted project is eligible for conversion under part 971 before 
submitting a HOPE VI Demolition grant application based on submission 
of a Conversion Plan.
    (c) Priority Group 3: A HOPE VI Demolition grant application that 
targets units included in a HUD-approved application for demolition 
that was developed in accordance with section 18 of the 1937 Act, as 
amended.
    (i) Your Section 18 demolition application must be approved by HUD 
by the HOPE VI Demolition Application deadline. You are advised that in 
order to allow for sufficient time for a Section 18 demolition 
application to be processed, you should submit your Section 18 
demolition application to HUD's Special Application Center (SAC) no 
later than March 14, 2000. If your Section 18 demolition application 
does not meet the statutory requirements of Section 18, including the 
requirement for HUD Field Office approval of the Interim or PHA Plan as 
required by 24 CFR part 903, HUD will not approve the Section 18 
demolition application and your HOPE VI Demolition grant application 
will not be eligible for funding.
    (ii) If you have submitted a Section 18 demolition application to 
the SAC but it has not yet been approved by HUD when you submit your 
HOPE VI Demolition grant application, your HOPE VI application will not 
be considered complete and you will not receive an Ordinal until your 
Section 18 demolition application is approved.
    (iii) If HUD has previously approved your Section 18 demolition 
application but HUD later rescinded the approval, your Section 18 
demolition application will not be considered approved by HUD and your 
HOPE VI Demolition grant application will not be eligible for funding.
    (d) Priority Group 4. (i) A HOPE VI Demolition grant application 
that requests funds for the demolition of units that were targeted for 
demolition

[[Page 9619]]

in a previously-approved HOPE VI Revitalization application but for 
which supplemental funds are needed qualifies as a Priority Group 4 
application.
    (ii) A HOPE VI Demolition grant application that requests funds for 
the demolition of units that were not originally targeted for 
demolition in a previously-approved HOPE VI Revitalization application 
but that are located in the same project and at the same site that will 
be revitalized using an existing Revitalization grant qualifies as a 
Priority Group 4 application.
    (iii) The requested HOPE VI Demolition grant funds, in combination 
with the existing HOPE VI Revitalization grant funds, may not exceed 
the TDC limit as provided in Section II(A)(3)(a) of this HOPE VI 
section of the SuperNOFA, above.
    (iv) If a Priority Group 4 HOPE VI Demolition application is 
selected for funding, HUD will approve the planned demolition in its 
approval of your Revitalization Plan (RP) for the Revitalization grant. 
If the RP has already been approved, HUD will amend the existing RP 
approval to include approval of the proposed demolition.
    (v) A Section 18 demolition application is not required for a 
Priority Group 4 HOPE VI Demolition application.
    (e) Priority Group 5. (i) A HOPE VI Demolition grant application 
that requests supplemental funds in conjunction with an FY 2000 
Revitalization application for a site that has not previously been 
covered by a HOPE VI Revitalization Plan qualifies as a Priority 5 
application. The units identified for demolition in the HOPE VI 
Demolition application may be the same or different units from those 
budgeted in the FY 2000 HOPE VI Revitalization application.
    (ii) The requested HOPE VI Demolition grant funds, in combination 
with the requested HOPE VI Revitalization grant funds, may not exceed 
the TDC limit as provided in Section II(A)(3)(a) of this HOPE VI 
section of the SuperNOFA, above.
    (iii) If your HOPE VI Revitalization application is not approved, 
the corresponding HOPE VI Priority Group 5 Demolition application will 
be ineligible for funding.
    (iv) If your HOPE VI Demolition application is not approved but 
your HOPE VI Revitalization application is selected for funding, you 
must be able to show that the Revitalization activities are feasible 
without the requested HOPE VI demolition funds.
    (v) A Section 18 demolition application is not required for a 
Priority Group 5 HOPE VI Demolition grant application.
    (vi) If you choose, you may also submit a separate HOPE VI 
Demolition application for the same units identified in your Priority 
Group 5 Demolition grant application, accompanied by an approval of a 
Section 18 demolition application. This separate HOPE VI Demolition 
application would be assigned Priority Group 3. You are cautioned, 
however, that if your HOPE VI Revitalization application is not 
selected for funding but your Priority 3 HOPE VI Demolition application 
is selected for funding, your Section 18 demolition application will be 
processed and you will be expected to carry out the demolition despite 
the lack of revitalization funds, since you have identified them as 
severely distressed.
    (2) Ordinals. Upon receipt, HUD will assign each HOPE VI Demolition 
grant application an Ordinal (i.e., ranking number) that reflects the 
date HUD Headquarters received the application. Ordinals correspond to 
business days, starting with the date HUD receives the first Demolition 
grant application and ending on the application deadline date, as 
specified in Section I of this HOPE VI section of the SuperNOFA, above. 
HUD will consider all applications received on the same date as 
received at the same time on that date, and those applications will all 
be assigned the same Ordinal.
    (B) Demolition Screening. (1) Within a day after HUD receives your 
HOPE VI Demolition grant application, HUD will screen the application 
to ensure that it:
    (a) Meets each HOPE VI threshold criterion listed in Section V(A) 
of this HOPE VI section of the SuperNOFA, above; and
    (b) Includes each application submission requirement listed in 
Section IX(B) of this HOPE VI section of the SuperNOFA, below.
    (2) If HUD determines that an application is not eligible for 
funding (e.g., the applicant is not a PHA), HUD will not consider the 
application further and will immediately notify the applicant that the 
application has been rejected.
    (3) If HUD determines that an application is eligible but 
incomplete, within one day of receipt of the application, HUD will 
contact you in writing by fax (followed up with a hard copy by mail) to 
request the missing information. If HUD finds your application and 
other applications received on the same day to be incomplete, HUD will 
notify all such applicants of their missing items on the same day. 
Since HOPE VI Demolition grant applications are not rated, you may 
submit information to complete your application at any time before the 
HOPE VI Demolition grant application deadline date. However, if your 
application is received on the deadline date and it is missing a 
required submission, you will have no opportunity to submit any missing 
item after the deadline date and your HOPE VI Demolition grant 
application will be ineligible for funding.
    PLEASE NOTE: This provision means that the nearer to the deadline 
date you submit your application, the less time you will have to 
correct any deficiencies, and if HUD receives your application ON the 
deadline date and there is a deficiency, that application will NOT be 
eligible for funding. You are advised to submit your application as 
soon as possible, in the event that HUD identifies a deficiency that 
you need to correct. 
    (4) If HUD determines that the information you submit in response 
to a notification of deficiency is correct and completes the 
application, HUD will change the application's Ordinal to the Ordinal 
corresponding to the date that HUD received the information.
    (5) If HUD determines that the information submitted does not make 
the application complete, HUD will notify you of the remaining 
deficiency. You will have the opportunity to submit information in 
response to notifications of deficiency up until the HOPE VI Demolition 
application deadline date.
    (6) If you do not submit the requested information by the HOPE VI 
Demolition grant deadline date, your application will be ineligible for 
funding.
    (C) Funding. HUD will award HOPE VI Demolition grants in the 
following order, based on fund availability.
    (1) HUD will fund Priority Group 1 applications by Ordinal.
    (2) If funds remain after HUD has funded all eligible Priority 
Group 1 applications, HUD will fund Priority Group 2 applications by 
Ordinal.
    (3) If funds remain after HUD has funded all eligible Priority 
Group 2 applications, HUD will fund Priority Group 3 applications by 
Ordinal.
    (4) If funds remain after HUD has funded all eligible Priority 
Group 3 applications, HUD will fund Priority Group 4 applications by 
Ordinal.
    (5) If funds remain after HUD has funded all eligible Priority 
Group 4 applications, HUD will fund Priority Group 5 applications by 
Ordinal.
    (6) At any stage, if there are insufficient funds to fund all 
applications with the next Ordinal, HUD will conduct a lottery among 
the applications sharing the Ordinal to determine funding. HUD reserves 
the

[[Page 9620]]

right to partially fund the last lottery winner chosen if insufficient 
funds remain to fund the entire amount requested, but HUD determines 
that, based on the application, partial funding will be a viable 
alternative to full funding.
    (7) If funds remain after all eligible HOPE VI Demolition grant 
applications have been funded, the remaining funds will be reallocated 
for HOPE VI Revitalization grants in accordance with Section 
II(B)(1)(b) of this HOPE VI section of the SuperNOFA, above.

VIII. Grant Award Procedures

    (A) Revitalization Grants. (1) Notification of Funding Decisions. 
The HUD Reform Act prohibits HUD from notifying you as to whether or 
not you have been selected to receive a Revitalization grant until it 
has announced all HOPE VI Revitalization grant recipients. If your 
Revitalization application has been found to be ineligible or if it did 
not receive enough points to be funded, you will not be notified until 
the successful applicants have been notified. HUD will provide written 
notification to all HOPE VI applicants, whether or not they have been 
selected for funding.
    (2) Preliminary Approval. HUD notification that you have been 
selected to receive a HOPE VI grant constitutes only preliminary 
approval. Grant funds may not be released until the following 
activities have been completed:
    (a) You and HUD must execute a HOPE VI Revitalization Grant 
Agreement in accordance with paragraph (3) below;
    (b) The responsible entity must complete an environmental review 
and you must submit and obtain HUD approval of a request for release of 
funds and the responsible entity's environmental certification in 
accordance with 24 CFR part 58 and Section IV(B)(7) of this HOPE VI 
section of the SuperNOFA, above (or HUD has completed an environmental 
review under 24 CFR part 50 where HUD has determined to do the 
environmental review).
    (3) Revitalization Grant Agreement. When you are selected to 
receive a Revitalization grant, HUD will send you a HOPE VI 
Revitalization Grant Agreement, which constitutes the contract between 
you and HUD to carry out and fund public housing revitalization 
activities. Both you and HUD will sign the cover sheet of the Grant 
Agreement, and it is effective on the date of HUD's signature. The 
Grant Agreement sets forth:
    (a) The amount of the grant;
    (b) Required submissions;
    (c) Procedures for amendments and approvals;
    (d) Program Requirements;
    (e) Required schedules for the completion of activities;
    (f) Environmental assessment requirements;
    (g) Covenants and conditions;
    (h) Drawdown procedures;
    (i) Reporting requirements;
    (j) Recordkeeping requirements;
    (k) Grant closeout procedures;
    (l) Conflict of interest provisions;
    (m) Other Federal requirements; and
    (n) Default provisions.
    (4) Revitalization Plan. Each new Revitalization Grantee will be 
required to submit supplemental information, including a budget, 
Community and Supportive Services Plan, program schedule, and other 
information as requested by HUD. When approved by HUD, this 
information, along with the original grant application, constitutes the 
HOPE VI Revitalization Plan for the severely distressed project.
    (5) Mixed Finance Proposal. A Grantee proposing mixed-finance 
development must submit to HUD a Mixed Finance Proposal in accordance 
with 24 CFR 941.606 or successor part (subpart F). (B) Demolition 
Grants. (1) Notification of Funding Decisions. Because the HOPE VI 
Demolition grants are awarded on a first-come, first-served basis, HUD 
reserves the right to award funds to Priority 1 applications as soon as 
they are determined to be eligible for funding, or announce all awards 
after the application deadline date has passed. HUD will notify 
ineligible applicants of their ineligibility immediately after that 
determination has been made. HUD will provide written notification to 
all HOPE VI applicants, whether or not they have been selected for 
funding.
    (2) Preliminary Approval. HUD notification that you have been 
selected to receive a HOPE VI demolition grant constitutes only 
preliminary approval. Grant funds may not be released until the 
following activities have been completed:
    (a) You and HUD must execute a HOPE VI Demolition Grant Agreement 
in accordance with paragraph (3) below;
    (b) The responsible entity must complete an environmental review 
and you must submit and obtain HUD approval of a request for release of 
funds and the responsible entity's environmental certification in 
accordance with 24 CFR part 58 and Section IV(B)(7) of this HOPE VI 
section of the SuperNOFA, above.
    (3) Demolition Grant Agreement. If you are selected to receive a 
Demolition grant, HUD will send you a HOPE VI Demolition Grant 
Agreement. Both you and HUD will sign the Cover Sheet of the Grant 
Agreement, and it is effective on the date of HUD's signature. The 
Grant Agreement sets forth:
    (a) The amount of the grant;
    (b) Procedures for amendments and approvals;
    (c) Required schedules for the completion of activities;
    (d) Program requirements;
    (e) Environmental assessment requirements;
    (f) Covenants and conditions;
    (g) Drawdown procedures;
    (h) Reporting requirements;
    (i) Recordkeeping requirements;
    (j) Grant Closeout procedures;
    (k) Conflict of interest provisions;
    (l) Other Federal requirements; and
    (m) Default provisions.

IX. Application Submission Requirements

    (A) Revitalization Application Requirements. (1) Application Kit. 
The HOPE VI Application Kit provides explicit, specific instructions as 
to the format of a HOPE VI Revitalization application. Your application 
must conform to the requirements of this HOPE VI section of the 
SuperNOFA and follow the format described in the Kit. If you fail to 
adhere to the requirements of this NOFA, as detailed in the Kit, and 
omit critical requirements, your application may lose points. In 
addition to the narrative exhibits that respond to the rating criteria 
in this HOPE VI section of this SuperNOFA, your application will also 
include attachments that provide HUD with detailed information about 
your proposed revitalization, including forms and other documentation.
    (2) Application Page Limits. Each Revitalization application must 
contain no more than 75 pages of narrative exhibits and 100 pages of 
attachments. Any pages after the first 75 pages of narrative exhibits 
and first 100 pages of attachments will not be reviewed. Although 
submitting pages in excess of the page limitations will not disqualify 
an application, HUD will not consider the information on any excess 
pages, which may result in a lower score or failure of a threshold.
    (3) Narrative Exhibits. The following is a summary of the 
narratives required in a HOPE VI Revitalization application:
    (a) An Executive Summary.
    (b) A list of revitalization team members and a description of team 
experience in development, delivery of community and supportive service 
programs, and property management.
    (c) Your need for the HOPE VI grant, including a description of 
existing site

[[Page 9621]]

conditions which demonstrates the extent of need for physical 
revitalization, the impact of the proposal on the neighborhood, your 
need for funding, the market for the proposed housing types, the need 
for affordable housing in the community, and whether the need has been 
identified by the community.
    (d) All predevelopment activities, including relocation, hazard 
abatement, demolition, disposition, and site improvements.
    (e) Elements of the proposed physical revitalization, including 
design; accessibility, visitability, and adaptability; and a 
description of how the plan will lessen concentration.
    (f) Proposed community and supportive services programs.
    (g) Your plan for resident and community outreach and involvement.
    (h) Current or planned coordination with the revitalization or 
other related activities of other agencies or organizations, and the 
relationship of the proposed revitalization to the city or county's 
Consolidated Plan.
    (i) Proposed operation and management principles and policies which 
will foster self-sufficiency and economic diversity, increase safety 
and security for residents, and address the elimination of impediments 
to fair housing.
    (j) Your plan to evaluate the program.
    (4) Attachments. The following is a summary of the attachments that 
will be required in a HOPE VI Revitalization application:
    (a) Photographs of distressed public housing and representative 
photographs of the neighborhood.
    (b) Maps of the current site, the neighborhood, and the city.
    (c) Map of the proposed site.
    (d) Conceptual site plan.
    (e) Conceptual design illustrations of proposed units and non-
dwelling facilities.
    (f) Certification of severe physical distress.
    (g) Program schedule.
    (h) Public meeting documentation.
    (i) Copies of letters or other documentation of objection to the 
proposed plan.
    (j) Staffing and time allocation plan and organizational chart.
    (k) Commitments from selected or proposed team members.
    (l) Preliminary market assessment letter.
    (m) list and documentation of resources; TDC worksheet; 
certification of extraordinary site costs, if applicable.
    (n) Documentation of coordination with related groups.
    (o) Letter of commitment to perform evaluation.
    (5) HOPE VI Application Forms. The following HOPE VI forms are 
appended to this HOPE VI section of the SuperNOFA and are also included 
in the HOPE VI Application Kit. Electronic versions also can be 
obtained from HUDCLIPS (www.hud.clips.org).
    (a) HOPE VI Revitalization Application Data Form (HUD-52860-A)
    (b) HOPE VI Budget (HUD-52825-A, Parts I and II)
    (c) Section 8 Application (HUD-52515)
    (d) HOPE VI Revitalization Applicant Certifications (HUD-52820-A). 
See Appendix A of this HOPE VI section of the SuperNOFA for the text of 
these certifications.
    (6) General Section Certification Forms. The following forms are 
appended to the General Section of the SuperNOFA and are also included 
in the HOPE VI Application Kit. Electronic versions of these forms also 
can be obtained from HUDCLIPS (www.hudclips.org). Additional forms that 
are required for the HOPE VI application can be found in Appendix C to 
this program section of the SuperNOFA.
    (a) Application for Federal Assistance (SF-424)
    (b) Assurances--Construction Programs (SF-424D)
    (c) Certification for a Drug-Free Workplace (HUD-50070)
    (d) Certification of Payments to Influence Federal Transactions 
(HUD-50071)
    (e) Disclosure of Lobbying Activities (SF-LLL) (if applicable)
    (f) Recipient Disclosure/Update Report (HUD-2880)
    (g) Certification Regarding Debarment and Suspension (HUD-2992)
    (h) Certification of Consistency with the EZ/EC Strategic Plan 
(HUD-2990)
    (i) Certification of Consistency with the Consolidated Plan (HUD-
2991)
    (j) Acknowledgment of Application Receipt (HUD-2993)
    (B) Demolition Application Requirements. (1) Application Kit. The 
HOPE VI Application Kit provides specific instructions as to the format 
of a HOPE VI Demolition application. Your application must conform to 
the requirements of this HOPE VI section of the SuperNOFA and follow 
the format described in the kit.
    (2) Application Information. The following is a summary of the 
information required in a HOPE VI Demolition application. Items (h) 
(Section 8 application) and (i) (HOPE VI Budget form) are available at 
www.hudclips.org.
    (a) Applicant, site, and unit information
    (b) Priority group
    (c) Narrative of proposed activities, including a demonstration of 
the appropriateness of the proposal in the context of the local housing 
market relative to other alternatives
    (d) Program schedule
    (e) Certification of reasonable and accurate costs
    (f) Certification of extraordinary site costs, if applicable, and 
grant limitations
    (g) Documentation of unit eligibility
    (h) Section 8 application, if applicable (HUD-52515)
    (i) Program budget (HUD-52825-A, parts I and II)
    (j) HOPE VI Demolition Applicant Certifications (HUD-52820-B). See 
Appendix B of this HOPE VI section of the SuperNOFA for the text of 
these certifications.
    (3) General Section Certification Forms. The following forms are 
appended to the General Section of the SuperNOFA and are also included 
in the HOPE VI Application Kit. Electronic versions of these forms also 
can be obtained from HUDCLIPS (www.hudclips.org).
    (a) Application for Federal Assistance (SF-424)
    (b) Assurances--Construction Programs (SF-424D)
    (c) Certification for a Drug-Free Workplace (HUD-50070)
    (d) Certification of Payments to Influence Federal Transactions 
(HUD-50071)
    (e) Disclosure of Lobbying Activities (SF-LLL)
    (f) Recipient Disclosure/Update Report (HUD-2880)
    (g) Certification Regarding Debarment and Suspension (HUD-2992)

X. Authority

    (A) The funding authority for HOPE VI Revitalization and Demolition 
grants under this HOPE VI section of the SuperNOFA is provided by the 
FY 2000 HUD Appropriations Act under the heading ``Revitalization of 
Severely Distressed Public Housing (HOPE VI).''
    (B) The program authority for the HOPE VI Program is section 24 of 
the U.S. Housing Act of 1937 (42 USC 1437v), as added by section 535 of 
the Quality Housing and Work Responsibility Act of 1998 (Pub.L. 105-
276, 112 Stat. 2461, approved October 21, 1998).

Appendix A--HOPE VI Revitalization Certifications

    Acting on behalf of the Board of Commissioners of the Housing 
Authority listed below, as its Chairman, I approve the submission of 
the HOPE VI Revitalization application of which this document is a 
part

[[Page 9622]]

and make the following certifications to and agreements with the 
Department of Housing and Urban Development (HUD) in connection with 
the application and implementation thereof:

Applicant Certifications

    1. The public housing project or building in a project targeted 
in this HOPE VI Revitalization application meets the definition of 
severe distress provided in Section IV.(A)(1) of the HOPE VI section 
of the FY 2000 HOPE VI NOFA, in accordance with Section 24(j)(2) of 
the U.S. Housing Act of 1937 (``the Act'').
    2. The PHA has not received assistance from the Federal 
government, State, or unit of local government, or any agency or 
instrumentality, for the specific activities for which funding is 
requested in the HOPE VI Revitalization application.
    3. The PHA does not have any litigation pending which would 
preclude timely startup of activities.
    4. The PHA is in full compliance with any desegregation or other 
court order related to Fair Housing (e.g., Title VI of the Civil 
Rights Act of 1964, the Fair Housing Act, and Section 504 of the 
Rehabilitation Act of 1973) that affects the PHA's public housing 
program and that is in effect on the date of application submission.
    5. PHA has returned any excess advances received during 
development or modernization, or amounts determined by HUD to 
constitute excess financing based on a HUD-approved Actual 
Development Cost Certificate (ADCC) or Actual Modernization Cost 
Certificate (AMCC), or that HUD has approved a pay-back plan.
    6. There are no environmental factors, such as sewer 
moratoriums, precluding development in the requested locality.
    7. The application is consistent with Environmental Justice 
Executive Order 12898, in that the proposed public housing will be 
developed only in environmentally sound and desirable locations and 
will avoid disproportionately high and adverse environmental effects 
on minority and low-income communities.
    8. In accordance with the Flood Disaster Protection Act of 1973 
(42 U.S.C. 4001-4128), the property targeted for acquisition or 
construction (including rehabilitation) is not located in an area 
identified by the Federal Emergency Management Agency (FEMA) as 
having special flood hazards, unless:
    (a) The community in which the area is situated is participating 
in the National Flood Insurance program (see 44 CFR parts 59 through 
79), or less than one year has passed since FEMA notification 
regarding such hazards; and
    (b) Where the community is participating in the National Flood 
Insurance Program, flood insurance is obtained as a condition of 
execution of a Grant Agreement and approval of any subsequent 
demolition or disposition application.
    9. The application does not target properties in the Coastal 
Barrier Resources System, in accordance with the Coastal Barrier 
Resources Act (16 U.S.C. 3501).

Grantee Certifications

    If selected for HOPE VI Revitalization funding:
    10. The PHA will comply with all policies, procedures, and 
requirements prescribed by HUD for the HOPE VI program, including 
the implementation of HOPE VI revitalization activities in a timely, 
efficient, and economical manner.
    11. The PHA will not receive assistance from the Federal 
government, State, or unit of local government, or any agency or 
instrumentality, for the specific activities funded by the HOPE VI 
Revitalization grant. The PHA has established controls to ensure 
that any activity funded by the HOPE VI Revitalization grant is not 
also funded by any other HUD program, thereby preventing duplicate 
funding of any activity.
    12. The PHA will not provide to any development more assistance 
under the HOPE VI Revitalization grant than is necessary to provide 
affordable housing after taking into account other governmental 
assistance provided.
    13. The PHA will supplement the aggregate amount of the HOPE VI 
Revitalization grant with funds from sources other than HOPE VI in 
an amount not less than 5 percent of the amount of HOPE VI grant.
    14. In addition to supplemental amounts provided in accordance 
with Certification 11 above, if the PHA uses more than 5 percent of 
the HOPE VI grant for community and supportive services, it will 
provide supplemental funds from sources other than HOPE VI in an 
amount equal to the amount used in excess of 5 percent.
    15. Disposition activity under the grant will be conducted in 
accordance with Section 18 of the Act.
    16. The PHA will carry out acquisition of land, or acquisition 
of off-site units with or without rehabilitation to be used as 
public housing, in accordance with 24 CFR part 941, or successor 
part.
    17. The PHA will carry out major rehabilitation and other 
physical improvements of housing and non-dwelling facilities in 
accordance with 24 CFR 968.11 2(b), (d), (e), and (g)-(o), 24 CFR 
968.130, and 24 CFR 968.135(b) and (d) or successor part.
    18. The PHA will carry out construction of public housing 
replacement housing, both on-site and off-site, and community 
facilities, in accordance with 24 CFR part 941 or successor part, 
including mixed-finance development in accordance with subpart F.
    19. The PHA will carry out replacement homeownership activities 
in general conformance with the requirements of 24 CFR part 906 and 
the income limitations of the Act.
    20. The PHA will administer and operate rental units in 
accordance with all existing public housing rules and regulations, 
as those requirements now exist or as they may be amended from time 
to time.
    21. The PHA will comply with the requirements of the Fair 
Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24 
CFR part 100); Executive Order 11063 (Equal Opportunity in Housing) 
and regulations pursuant thereto (24 CFR part 107); the fair housing 
poster regulations (24 CFR part 110) and advertising guidelines (24 
CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C. 
2000d) and regulations pursuant thereto (24 CFR part 1).
    22. The PHA will address the elimination of impediments to fair 
housing choice relating to its public housing and particularly to 
the revitalization of distressed public housing that were identified 
in the jurisdiction's Analysis of Impediments to Fair Housing 
Choice, remedy discrimination in housing, and promote fair housing 
rights and fair housing choice.
    23. The PHA will comply with the prohibitions against 
discrimination on the basis of age pursuant to the Age 
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations 
issued pursuant thereto (24 CFR part 146); the prohibitions against 
discrimination against, and reasonable modification and 
accommodation and accessibility requirements for, handicapped 
individuals under Section 504 of the Rehabilitation Act of 1973 (29 
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8); 
the Americans with Disabilities Act (42 U.S.C. 12101 et. seq.) and 
regulations issued pursuant thereto (28 CFR Part 36); and the 
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and 
regulations issued pursuant thereto (24 CFR Part 40).
    24. The PHA has adopted the goal of awarding a specified 
percentage of the dollar value of the total of the HOPE VI contracts 
to be awarded during subsequent fiscal years to minority business 
enterprises and will take appropriate affirmative action to assist 
resident-controlled and women's business enterprises in accordance 
with the requirements of Executive Orders 11246, 11625, 12432, and 
12138.
    25. The PHA will comply with the requirements of Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) 
(Employment Opportunities for Lower Income Persons in Connection 
with Assisted Projects) and its implementing regulation at 24 CFR 
part 135, including the reporting requirements of subpart E.
    26. The PHA will comply with Davis-Bacon or HUD-determined 
prevailing wage rate requirements to the extent required under 
Section 12 of the U.S. Housing Act of 1937.
    27. As applicable, the PHA will comply with the relocation 
assistance and real property acquisition requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970 and government-wide implementing regulations at 49 CFR part 24; 
relocation regulations at 24 CFR 968.108 or successor part 
(rehabilitation, temporary relocation); 24 CFR 941.207 or successor 
part (acquisition); and 24 CFR Section 18 of the 1937 Act as amended 
(disposition).
    28. The PHA will comply with the HOPE VI requirements for 
reporting and access to records as required in the HOPE VI 
Revitalization Grant Agreement.
    29. The PHA will comply with the Lead-Based Paint Poisoning 
Prevention Act (42 U.S.C. 4821, et seq.) and is subject to 24 CFR 
part 35 and 24 CFR part 965 (subpart H), as they may be amended from 
time to time, and Section 968.110(k) or successor part.
    30. The PHA will comply with the policies, guidelines, and 
requirements of OMB

[[Page 9623]]

Circular A-87 (Cost Principles Applicable to Grants, Contracts, and 
Other Agreements with State and Local Governments).
    31. The PHA will comply with 24 CFR part 85 (Administrative 
Requirements for Grants and Cooperative Agreements to State, Local 
and Federally Recognized Indian Tribal Governments), as modified by 
24 CFR 941 or successor part, subpart F, relating to the procurement 
of partners in mixed finance developments, except when inconsistent 
with the provisions of the 2000 Appropriations Act or other 
applicable Federal statutes. Requests for Proposals (RFPs) and 
Requests for Qualifications (RFQs) will reflect pertinent language 
from the program section of FY 2000 HOPE VI NOFA; e.g., seeking 
diversity, accessibility, fair housing requirements, etc.
    32. The PHA will keep records in accordance with 24 CFR 85.20 
that facilitate an effective audit to determine compliance with 
program requirements, and comply with the audit requirements of 24 
CFR 85.26.
    33. The PHA will enter into a binding Development Agreement 
within 12 months from the date of HUD's approval of the 
Revitalization Plan. In no event may this time period exceed 18 
months from the date the Grant Agreement is executed.
    34. The PHA will complete construction within 48 months from the 
date of HUD's approval of the RP. In no event may the time period 
for completion exceed 54 months from the date the Grant Agreement is 
executed.
    35. All activities that include construction, rehabilitation, 
lead-based paint removal, and related activities will meet or exceed 
local building codes. New construction will comply with the latest 
HUD-adopted Model Energy Code issued by the Council of American 
Building Officials.

Appendix B--HOPE VI Demolition Applicant Certifications

    Acting on behalf of the Board of Commissioners of the Public 
Housing Authority (PHA) listed below, as its Chairman, I approve the 
submission of the HOPE VI Demolition funding application of which 
this document is a part and make the following certifications to and 
agreements with the Department of Housing and Urban Development 
(HUD) in connection with the application and implementation thereof:

Applicant Certifications

    1. The public housing project or building in a project targeted 
in this HOPE VI Demolition application meets the definition of 
severe distress provided in Section IV.(A)(1) of the program section 
of the FY 2000 HOPE VI NOFA, in accordance with Section 24(j)(2) of 
the U.S. Housing Act of 1937 (``the Act'').
    2. The PHA has not received assistance from the Federal 
government, State, or unit of local government, or any agency or 
instrumentality, for the specific demolition activities for which 
funding is requested in the HOPE VI Demolition application.
    3. The PHA is in full compliance with any desegregation or other 
court order related to Fair Housing (e.g., Title VI of the Civil 
Rights Act of 1964, the Fair Housing Act, and Section 504 of the 
Rehabilitation Act of 1973) that affects the PHA's public housing 
program and that is in effect on the date of application submission.
    4. The PHA does not have any litigation pending which would 
preclude timely startup of activities.
    5. PHA has returned any excess advances received during 
development or modernization, or amounts determined by HUD to 
constitute excess financing based on a HUD-approved Actual 
Development Cost Certificate (ADCC) or Actual Modernization Cost 
Certificate (AMCC), or that HUD has approved a pay-back plan.

Grantee Certifications

    If selected for HOPE VI Demolition funding:
    6. The PHA will comply with all policies, procedures, and 
requirements prescribed by HUD for the HOPE VI program, including 
the implementation of HOPE VI Demolition activities in a timely, 
efficient, and economical manner.
    7. The PHA will procure a demolition contractor within six 
months from the date of Grant Agreement execution, and complete the 
demolition within two years from the date of Grant Agreement 
execution.
    8. The PHA will not receive assistance from the Federal 
government, State, or unit of local government, or any agency or 
instrumentality, for the specific activities funded by the HOPE VI 
Demolition grant. The PHA has established controls to ensure that 
any activity funded by the HOPE VI Demolition grant is not also 
funded by any other HUD program, thereby preventing duplicate 
funding of any activity.
    9. The PHA will not provide to any development more assistance 
under the HOPE VI Demolition grant than is necessary to perform 
demolition activities after taking into account other governmental 
assistance provided.
    10. The PHA will comply with the requirements of the Fair 
Housing Act (42 U.S.C. 3601-19) and regulations pursuant thereto (24 
CFR part 100); Executive Order 11063 (Equal Opportunity in Housing) 
and regulations pursuant thereto (24 CFR part 107); the fair housing 
poster regulations (24 CFR part 110) and advertising guidelines (24 
CFR part 109); Title VI of the Civil Rights Act of 1964 (42 U.S.C. 
2000d) and regulations pursuant thereto (24 CFR part 1).
    11. The PHA will comply with the prohibitions against 
discrimination on the basis of age pursuant to the Age 
Discrimination Act of 1975 (42 U.S.C. 6101-07) and regulations 
issued pursuant thereto (24 CFR part 146); the prohibitions against 
discrimination against, and reasonable modification and 
accommodation and accessibility requirements for, handicapped 
individuals under Section 504 of the Rehabilitation Act of 1973 (29 
U.S.C. 794) and regulations issued pursuant thereto (24 CFR part 8); 
the Americans with Disabilities Act (42 U.S.C. 12101 et. seq.) and 
regulations issued pursuant thereto (28 CFR part 36); and the 
Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151) and 
regulations issued pursuant thereto (24 CFR part 40).
    12. The PHA will address the elimination of impediments to fair 
housing that were identified in the jurisdiction's Analysis of 
Impediments to Fair Housing Choice; remedy discrimination in 
housing; and promote fair housing rights and fair housing choice.
    13. The PHA has adopted the goal of awarding a specified 
percentage of the dollar value of the total of the HOPE VI contracts 
to be awarded during subsequent fiscal years to minority business 
enterprises and will take appropriate affirmative action to assist 
resident-controlled and women's business enterprises in accordance 
with the requirements of Executive Orders 11246, 11625, 12432, and 
12138.
    14. The PHA will comply with the requirements of section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) 
(Employment Opportunities for Lower Income Persons in Connection 
with Assisted Projects) and its implementing regulation at 24 CFR 
part 135, including the reporting requirements of Subpart E.
    15. The PHA will comply with HUD-determined prevailing wage rate 
requirements to the extent required under section 12 of the Act.
    16. As applicable, the PHA will comply with the relocation 
assistance and real property acquisition requirements of section 18 
of the Act, as amended (demolition approved by a Section 18 
demolition application; and/or the Uniform Relocation Assistance and 
Real Property Acquisition Policies Act of 1970 and government-wide 
implementing regulations at 49 CFR part 24 (demolition pursuant to a 
Section 18 demolition application; demolition approved pursuant to a 
Mandatory Conversion Plan).
    17. The PHA will comply with the HOPE VI requirements for 
reporting and access to records as required in the HOPE VI 
Demolition Grant Agreement.
    18. The PHA will keep records in accordance with 24 CFR 85.20 
that facilitate an effective audit to determine compliance with 
program requirements, and comply with the audit requirements of 24 
CFR 85.26.
    19. The PHA will comply with the policies, guidelines, and 
requirements of OMB Circular A-87 (Cost Principles for State, Local 
and Indian Tribal Governments) and 24 CFR part 85 (Administrative 
Requirements for Grants and Cooperative Agreements to State, Local 
and Federally Recognized Indian Tribal Governments).

BILLING CODE 4210-32-P

[[Page 9624]]

Appendix C

    The non-standard forms, which follow, are required for your HOPE VI 
application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9643]]



FUNDING AVAILABILITY FOR PUBLIC AND INDIAN HOUSING DRUG ELIMINATION 
TECHNICAL ASSISTANCE PROGRAM (DETAP)

Program Overview

    Purpose of the Program. The purpose of the Public and Indian 
Housing Drug Elimination Technical Assistance Program (DETAP) is to 
provide no more than thirty (30) billable days of technical assistance 
(TA) consultant services to assist public housing agencies (PHAs), 
Indian tribes and Tribally Designated Housing Entities (TDHEs), 
Resident Management Corporations (RMCs), incorporated Resident Councils 
(RCs), and Resident Organizations (ROs) to improve the management and 
effectiveness of the Public Housing Drug Elimination Program. The TA 
services may be conducted over a period of not more than 90 days.
    Available Funds. Approximately $500,000.
    Eligible Applicants. Public Housing Authorities (PHAs), Indian 
tribes and Tribally Designated Housing Entities (TDHEs); incorporated 
Resident Management Corporations (RMCs), incorporated Resident Councils 
(RCs), and Resident Organizations (ROs).
    Application Deadline. June 9, 2000.
    Match. None.

Additional Information

    If you are interested in applying for Public Housing Drug 
Elimination Technical Assistance funding, please review carefully the 
General Section of this SuperNOFA and the following additional 
information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (an original and 
one copy) is due on or before 12:00 midnight, Eastern time, on June 9, 
2000, at the address shown below. The only exception to this deadline 
is for HUD-Initiated Public Housing Drug Elimination Technical 
Assistance, for which there is no application deadline.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mail applications, 
express mail, overnight delivery, or hand-carried).
    Address for Submitting Applications. Your application consists of 
one original signed application and two copies. Submit one original 
application and one copy to the Community Safety and Conservation 
Division (CSCD), Room 4206 at the HUD Headquarters Building located at 
451 Seventh Street, SW, Washington, DC 20410.
    Submit the second copy of your application to the appropriate HUD 
Field Office or HUB with delegated public housing responsibilities for 
your organization. See Appendix A for a list of HUD offices with 
delegated responsibilities. You may also call the SuperNOFA Information 
Center at 1-800-HUD-8929 if you have a question regarding where you 
should submit your application (persons with hearing or speech 
impairments may call the Center's TTY number at 1-800-HUD-2209).
    You must submit with your application(s) to CSCD, a Confirmation 
Form documenting that the appropriate HUD Field Office or Hub received 
your TA application (this form is a threshold requirement).
    HUD will review and accept DETAP applications on a first come first 
serve basis until June 9, 2000, or until funds available under this 
program are expended. Due to the reduced availability of funds in FY 
2000, HUD encourages you to submit early.
    For Application Kits. For an application kit and any supplemental 
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, 
please refer to the Public Housing Drug Elimination Technical 
Assistance Program, and provide your name, address (including ZIP Code) 
and telephone number (including area code). An application kit is also 
available on the Internet through the HUD web site at http://www.hud.gov/pih/programs/ph/de/cscd.html.
    For Further Information and Technical Assistance. You may contact 
the local HUD Field Office or Hub where you will be submitting your 
application or you my call the Public Housing Drug Elimination TA 
Support Center at 1-800-578-3472, option 3. For further information on 
how to initiate an application for technical assistance, please contact 
LaWanda Young of the Community Safety and Conservation Division on 
(202) 708-1197, extension 4209.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http:///
www.hud.gov.

II. Amount Allocated

    For FY 2000, approximately $500,000 is available for Public Housing 
Drug Elimination Technical Assistance.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. (1) The purpose of this program is to 
provide not more than thirty (30) billable days of technical assistance 
(TA) consultant services to assist public housing agencies (PHAs), 
Indian tribes and Tribally Designated Housing Entities (TDHEs), 
Resident Management Corporations (RMCs), incorporated Resident Councils 
(RCs) and Resident Organizations (ROs) to improve the administration 
and effectiveness of the Public Housing Drug Elimination Program 
(PHDEP) grants. The TA services may be conducted over a period not to 
exceed 90 days. Housing Authorities are encouraged to use this program 
as a tool to evaluate, monitor and administer the Public Housing Drug 
Elimination Program grants.
    (2) HUD may also initiate TA under this program to identify areas 
of high risk among HAs and to improve administration of PHDEP grants 
nationally. HUD initiated TA requires an application with a letter of 
support from the HUD Field Office. HUD initiated TA is also short-term 
assistance.
    (3) The program will fund the use of consultants having 
demonstrated knowledge of or specialized experience in providing the 
following services:

(a) Crisis Intervention/Mediation;
(b) Defensible Space/Crime Prevention through Environmental Design;
(c) Guidance on the development of Five-year PHA Plans;
(d) Assistance in the development or evaluation of PHDEP performance 
indicators for each PHDEP activity;
(e) Tools and techniques for gathering crime statistics;
(f) Crime mapping techniques;
(g) Technology Assessments: Determination of how computer software and 
hardware may be used to improve grant administration (e.g., 
establishment of a crime statistics database);
(h) Training on Best Practices (e.g., Peacemakers/Building Tolerance 
and Youth Violence Prevention, Wellness Training, Development and 
Implementation of Kobans, Development of Gun-Buyback programs);
(i) Establishment of Partnerships with Law enforcement agencies;
(j) Drafting memoranda of understanding with partners;

[[Page 9644]]

(k) Translation of the strategic plan components into measurable and 
attainable goals for the PHDEP Semi-Annual Performance Reporting 
System;
(l) Plan versus Performance Assessments;
(m) Internet-based computer training as it specifically relates to the 
administration of the PHDEP.

    (B) Eligible Applicants. PHAs, Indian tribes and TDHEs, RCs, ROs in 
the case of Indian tribes and TDHEs, and RMCs are eligible to receive 
short-term technical assistance services under DETAP. Specific 
eligibility requirements are:
    (1) If you are an RC or RO, you must be an incorporated nonprofit 
organization or association that meets all seven of the following 
requirements:
    (a) You must be representative of the residents you purport to 
represent.
    (b) You may represent residents in more than one development or in 
all of the developments of a PHA or Indian tribe or TDHE, but you must 
fairly represent residents from each development that you represent.
    (c) You must adopt written procedures providing for the election of 
specific officers on a regular basis, but at least once every 3 years.
    (d) You must have a democratically elected governing board. The 
voting membership of your board must consist of residents of the 
development or developments that you represent.
    (e) You must be supported in your application by a PHA or an Indian 
tribe or TDHE.
    (f) You must provide evidence of incorporation.
    (g) You must provide evidence of adopted written procedures for 
electing officers.
    (2) If you are an RMC, you must be an entity that proposes to enter 
into, or that enters into, a management contract with a PHA under 24 
CFR part 964, or a management contract with an Indian tribe or TDHE. 
You must have all seven of the following characteristics:
    (a) You must be a nonprofit organization incorporated under the 
laws of the State or Indian tribe where you are located.
    (b) You may be established by more than one RO or RC, so long as 
each: approves the establishment of your corporation; and has 
representation on the Board of Directors of your corporation.
    (c) You must have an elected Board of Directors.
    (d) Your by-laws must require the Board of Directors to include 
representatives of each RO or RC involved in establishing the 
corporation.
    (e) Your voting members must be residents of the development or 
developments you manage. (f) You must be approved by the RC. If there 
is no organized resident organization, a majority of the households of 
the development must approve the establishment of your organization to 
determine the feasibility of establishing a corporation to manage the 
development.
    (g) You may serve as either an RMC or RC, so long as your 
corporation meets the requirements of 24 CFR part 964 for a RC. (In the 
case of a RMC for an Indian tribe or TDHE, you may serve as both the 
RMC and the RO, so long as your corporation meets the requirements of 
this program for a RO.)
    (3) You can only submit one application per award period. A PHA and 
its eligible resident groups, and an Indian tribe and its TDHE may 
apply during the same award period as long as there is no conflict or 
overlap in your proposed activities. You are eligible to apply to 
receive technical assistance even if you are already receiving 
technical assistance under this program, as long as your request 
creates no scheduling conflict with other DETAP requests. If HUD 
initiates TA with your organization, you may not receive more than one 
type of technical assistance concurrently unless HUD, in consultation 
with your organization, determines that the TA will not negatively 
affect the quality of the DETAP.
    (4) You are eligible to apply to receive technical assistance 
whether or not you are already receiving drug elimination funds under 
the Public and Indian Housing Drug Elimination Program.
    (5) You must comply with the laws, regulations, and Executive 
Orders applicable to the Drug Elimination TA Program, including 
applicable civil rights laws.
    (C) Eligible Activities. (1) Eligible activities under this 
funding. Funding is limited to technical assistance for carrying out 
activities authorized under Chapter 2, Subtitle C, Title V of the Anti-
Drug Abuse Act of 1988 (42 U.S.C. 11901 et. seq.), as amended by 
section 581 of the National Affordable Housing Act of 1990 (Pub.L. 101-
625, approved November 28, 1990), and section 161 of the Housing and 
Community Development Act of 1992 (Pub.L. 102-550, approved October 28, 
1992). The following circumstances are eligible for HUD-Initiated 
Technical Assistance under the Public and Indian Housing Drug 
Elimination Technical Assistance Program. HUD-Initiated technical 
assistance may be requested by HUD staff for one or more of the 
following circumstances:
    (a) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs 
that are unable to document their drug and/or crime problems through 
crime statistics;
    (b) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs 
that do not have the expertise to develop effective drug and crime 
prevention programs;
    (c) Housing authorities that need assistance in using the PHDEP 
Semi-Annual Performance Reporting System to evaluate their program.
    (d) Housing Authorities that need assistance in developing 
performance indicators; Housing authorities, Indian tribes, TDHEs, RCs, 
ROs, and RMCs that need assistance in developing evaluation mechanisms 
for drug elimination programs and strategies.
    (e) Housing authorities, Indian tribes, TDHEs, RCs, ROs, and RMCs 
with special circumstances whose needs fit under the scope of this 
program section of the SuperNOFA.
    (2) Ineligible Activities. Funding is not permitted for: (a) Any 
type of monetary compensation for residents.
    (b) Any activity that is funded under any other HUD program, 
including TA and training for the incorporation of RCs or RMCs, and 
other management activities;
    (c) Any type of resident or PHA staff member training and technical 
assistance that does not relate to crime, drug reduction/elimination, 
risk management or technical assistance to improve the overall 
administration and management of PHDEP grants and performance goals;
    (d) Salary or fees to your staff, or your former staff within a 
year of their employment;
    (e) Underwriting conferences;
    (f) Grant Writing Training and Funding Research/Development;
    (g) Graffiti Removal/Prevention;
    (h) Resident Patrols;
    (i) Peer Support;
    (j) Alternative Programs;
    (k) Leadership Training for Resident Organizations;
    (l) Conference speakers;
    (m) Program implementation, proposal writing, financial support for 
existing programs, or efforts requiring more than 30 billable days of 
technical assistance over a 90 day period or assistance that will 
require more than 90 days to complete; the purchase of hardware or 
equipment, or any activities deemed ineligible in the Drug Elimination 
Program, excluding consultant's fees.

IV. Program Requirements

    Except as stated below in this section, you must meet the 
requirements listed

[[Page 9645]]

in Section II of the General Section of this SuperNOFA. You must also 
meet these additional requirements:
    (A) Individual Award Amounts. You may not submit an application for 
more than $15,000.
    (1) Applications for short-term technical assistance may be funded 
up to $15,000, with HUD providing payment directly to your authorized 
consultant for the consultant's fee, travel, room and board, and other 
approved costs at the government rate approved by HUD.
    (2) Technical assistance initiated by HUD may be for any amount up 
to $25,000 when HUD staff determine that more than 30 billable days of 
technical assistance over a 90-day period is justified.
    (B) Receipt of More than One Application. If HUD receives more than 
one application from a HA, or a group of RCs, ROs, or RMCs, or an 
Indian tribe and a TDHE, in proximity to one another, HUD may exercise 
discretion to consider any two or more applications as one, 
recommending one or more consultants and executing contracts for any 
combination of applications.
    (C) Affirmatively Furthering Fair Housing. Section II(D) of the 
General Section does not apply to this NOFA because its purpose is to 
address specific and targeted problems faced by Public Housing 
Authorities, Indian tribes, Tribally Designated Housing Entities, 
Resident Management Corporations, Resident Councils, or Resident 
Organizations in their management of the Public Housing Drug 
Elimination Program and to assist the applicants in the improvement of 
the effectiveness of that program.
    (D) Eligible Consultants. HUD is seeking individuals or entities 
who have experience working with public or Tribal housing or other low-
income populations to provide short-term technical assistance under 
this DETAP section of the SuperNOFA. Consultants who have previously 
been deemed eligible and are part of HUD's TA Consultant Database need 
not reapply, but must update their file with more recent experience and 
rate justification.
    (1) To qualify as an eligible consultant, you should have 
demonstrated knowledge and specialized experience in one or more of the 
following general areas:
    (a) PHA/Indian tribe or TDHE-related experience with: (i) Agency 
organization and management;
    (ii) Facility operations;
    (iii) Strategic plan development, and
    (iv) Prevention and intervention programs;
    (b) Experience as an independent consultant, or as a consultant 
working with a firm with related experience and understanding of on-
site work requirements, contractual, reporting and billing 
requirements;
    (c) Crisis Intervention/Mediation;
    (d) Defensible Space/Crime Prevention through Environmental Design 
Guidance on the development of Five-year PHA Plans;
    (e) Assistance in the development or evaluation of PHDEP 
performance indicators for each PHDEP activity;
    (f) Tools and techniques for gathering crime statistics;
    (g) Crime mapping;
    (h) Technology Assessments: Determination of how computer software 
and hardware may be used to improve grant administration (e.g. 
establishment of a crime statistics database; Training on Best 
Practices (e.g. Peacemakers/Building Tolerance and Youth Violence 
Prevention, Wellness Training, Development and Implementation of 
Kobans, Development of Gun-Buyback programs);
    (i) Establishment of Partnerships with Law enforcement 
partnerships;
    (j) Drafting memoranda of understanding with partners;
    (k) Translation of the strategic plan components into measurable 
and attainable goals for the PHDEP Semi-Annual Performance Reporting 
System;
    (l) Plan versus Performance Assessments;
    (m) Internet-based computer training as it specifically relates to 
the administration of the PHDEP.
    (2) Additional requirements for consultants include the following:
    (a) In addition to the conflict of interest requirements in 24 CFR 
part 85, no person who is an employee, agent, officer, or appointed 
official of an eligible applicant may be funded as a consultant to that 
organization by this Drug Elimination Technical Assistance Program.
    (b) If you are a consultant who wishes to provide drug elimination 
technical assistance services through this program, you must not have 
had any involvement in the preparation or submission of any DETAP 
proposal. Your involvement will be considered a conflict of interest, 
making you ineligible for providing consulting services to the eligible 
applicant and will disqualify you from future consideration. This 
prohibition shall also be invoked for preparing and distributing 
prepared generic or sample applications to entities eligible to apply 
for funding under this program. If HUD determines that any application 
submitted by a PHA, Indian tribe or TDHE, RC, RO or RMC duplicates a 
sufficient amount of any prepared sample to raise issues of possible 
conflict of interest, and HUD determines you provided and distributed 
the sample, you will be disqualified from receiving HUD funds.
    (c) Consultants accepted into the DETAP are prohibited from 
soliciting their services to eligible applicants.
    (d) HUD-registered consultants are eligible to receive funds to be 
reimbursed for up to $15,000 for conducting short-term technical 
assistance. Long-term results are expected from each job. After your 
work is completed, evaluations from recipients of the technical 
assistance services will be submitted to HUD on your work performance. 
The evaluations will be carefully reviewed to make sure the recipients 
of TA are satisfied with your services. If your performance receives a 
satisfactory rating, you will be reimbursed by HUD. In extreme cases of 
technical assistance needs, staff members of HUD Headquarters and field 
offices may recommend specialized technical assistance for which you 
can receive up to $25,000 in funds.
    You may not have any more than two contracts or purchase orders at 
one time nor be involved with more than one company at a time that has 
active technical assistance contracts. You may not have any more than 
four contracts or purchase orders within the calendar year. If you are 
working as a member of a multi-person firm, the key individual for the 
specific contract must be listed on each contract as the point of 
contact. The point of contact must be on-site more hours than any other 
contracted staff billing to the purchase order, and that individual may 
have no more than two purchase orders active at the same time.
    (E) Ineligible Consultants. Consultants and/or companies currently 
debarred or suspended by HUD are not eligible to perform services under 
this program. Also, consultants that are not in the official Consultant 
database are considered ineligible for this program.
    (F) Application Process for Consultants. (1) If you are an 
individual or entity interested in being listed in the DETAP Consultant 
Database, you must prepare your application and send it to the address 
specified in the application kit. Before you can be entered into the 
Consultant Database, you must submit an application that includes the 
following information:
    (a) The Consultant Resource Inventory Questionnaire, including at 
least three written references, all related to the

[[Page 9646]]

general areas listed in this DETAP section of the SuperNOFA. One or two 
of the written references must relate to work for a PHA, Indian tribe 
or TDHE, RC, RO or RMC;
    (b) A resume;
    (c) Documented evidence of the standard daily fee previously paid 
to you for technical assistance services similar to eligible activities 
under this DETAP. If you can justify up to the equivalent of $462.00 
per day, your evidence must include an accountant's statement, W-2 Wage 
Statements, or payment statements, supplemented with a signed statement 
or other evidence from the employer of days worked in the course of the 
particular project (for a payment statement) or the tax year (for a W-2 
Statement).
    (2) HUD will determine your specific fee based upon the evidence 
you submitted under this DETAP.
    (3) If you are an employee of a housing agency (HA), Indian tribe, 
or TDHE, you may not serve as a consultant to your employer. If you 
serve as a consultant to other than your employer, you must be on 
annual leave to receive the consultant fee.
    (i) Applicants are prohibited from selecting consultants by name 
from HUD's consultant database.
    (ii) Consultants will be recommended to an organization seeking TA, 
based on factors including previous experience, reasonableness of the 
fee, and geographic proximity to the site where TA will be provided. 
Section V of this DETAP section of this SuperNOFA explains this 
further.

V. Application Selection Process

    (A) General. HUD will review applications on a first-come, first-
served basis, until funds under this DETAP section of the SuperNOFA are 
no longer available. Eligible applications will be funded in the order 
in which negotiations for a statement of work are completed. HUD-
Initiated applications will be received throughout the year with no 
deadline or until funds are expended.
    (B) Threshold Submission Requirements for Funding Consideration. In 
addition to required forms, certifications and assurances, found in the 
General Section of the SuperNOFA, the following requirements must be 
included in your application to be considered and approved for funding:
    If you are requesting TA services, you must meet the following 
requirements:
    (1) The applicant must answer the following questions: Note: You 
cannot request technical assistance under DETAP by answering ``to 
conduct a needs assessment or survey.'' You must be able to discuss 
what prevents you from identifying, describing, and/or measuring the 
problems for which you are requesting technical assistance.
    (a) Describe in detail the problem, issue or weakness that hinders 
the proper administration or effectiveness of PHDEP.
    (b) Identify what technical assistance you would like to receive.
    (c) Explain how the technical assistance sought will improve the 
administration of the grant or the effectiveness of the PHDEP grant 
program.
    (d) Describe how the technical assistance will be used in assisting 
you in strategic planning. You may wish to address any or all of the 
following:
    (i) Establishment of a framework for annual program evaluation of 
PHDEP activities;
    (ii) Scheduling data collection for evaluation;
    (iii) Identification of appropriate performance indicators, 
interpretation of results of data collection;
    (iv) Improving data collection and data elements;
    (v) Guidance on the development of your 5-year plan;
    (vi) Preparation assistance meeting your PHDEP semiannual 
performance reporting requirements; or
    (vii) Crime mapping and identification of appropriate hardware and 
software.
    (e) Specify what outcome you expect to achieve and how it will 
benefit PHDEP over the next five years.
    (f) How will the proposed assistance allow you to develop an anti-
drug, anti-crime strategy; or how will the proposed assistance fit into 
your current strategy?
    (g) The application must include the form, ``HUD Field Office/AONAP 
Confirmation Form.''
    (h) If your application does not meet the requirements described 
above it will not be considered for funding.
    (C) Application Awards. (1) If your application is deemed eligible 
for funding and sufficient funds are available, you will be contacted 
by HUD or its agent to confirm the work requirements.
    (2) Only one application will be accepted from an HA, Indian tribe 
or TDHE; or group of RCs, ROs or RMCs in proximity to one another. HUD 
may exercise its discretion to consider any two or more applications as 
one, assuming that the applications are received at the same time, or 
before approval by the Office of Finance and Accounting and the Office 
of Procurement and Contracts, executing the contract, and providing 
notification to the consultant to proceed to work. If two or more 
applications from HAs or resident groups are combined, the consultant 
to provide the combined technical assistance should have the capability 
to administer both or all types of technical assistance being requested 
by each applicant.
    (3) Once your application for TA has been reviewed and found 
acceptable by HUD, the TA Consultant Database will be searched for 
consultants who have:
    (a) A principal place of business or residence located within the 
same geographic area as the applicant. For purposes of this program 
section of the SuperNOFA, the term ``geographic area'' refers to, in 
order of priority: city, state, region, and country;
    (b) The requisite knowledge, skills, and abilities to respond to 
the request ; and
    (c) The most reasonable (least expensive) fees.
    (4) HUD will then forward to you a list of suggested consultants 
from the consultant database. From this list, you must select a 
consultant to provide your requested TA.
    (5)(a) From the list provided by HUD, you must contact three TA 
consultants. HUD may request confirmation from each contacted 
consultant that they were contacted. If HUD determines that any 
consultant was not contacted, HUD (Headquarters) may consider your 
selection by the applicant void, and can choose a consultant for you.
    (b) After contacting each consultant, you must send a written 
justification for your recommended selection in order preference. If 
any are unacceptable, you must also indicate the consultant and the 
reasons you find them unacceptable.
    (c) If you find that all referred consultants lack the requisite 
expertise, you must provide written detailed documentation justifying 
this decision. If HUD determines that your justification is adequate, 
you will be provided with a second list of potential consultants.
    (d) If you do not provide HUD the written justification of 
consultant choice within 30 calendar days, HUD reserves the right to 
cancel your TA request.
    (6)(a) HUD or its agent will work with your selected consultant and 
you to develop a ``statement of work.'' The statement of work should 
include:
    (i) A time line and estimated budget;
    (ii) A discussion of the kind of technical assistance and skills 
needed to address the problem, and how the technical assistance 
requested will address these needs; and
    (iii) A description of the current crime and drug elimination 
strategy, and how the requested technical assistance will

[[Page 9647]]

assist in improving the management and oversight of the PHDEP Grant 
Program.
    (b)(i) When HUD has completed the authorization to begin work, your 
selected consultant will be contacted to start work. Your consultant 
must receive written authorization from HUD or its authorized agent 
before beginning to provide technical assistance. The requesting 
organization and the relevant Field Office or Area Office of Office of 
Native American Programs will also be notified that authorization to 
begin work has been given.
    (ii) Work begun before the authorized date will be considered 
unauthorized and will not be compensated by HUD.
    (iii) Consultants will only be reimbursed for a maximum of 30 days 
of work, which must be completed in fewer than 90 days from the date of 
the approved statement of work. The exception to this will be for HUD-
Initiated technical assistance.

VI. Application Submission Requirements

    (A) General. In addition to the program requirements listed in the 
General Section of this SuperNOFA, each DETAP application must include 
both the descriptive letter and certification statement to be eligible 
for funding.
    (B) Forms, Certifications and Assurances. Your application must 
contain the items listed in this Section VI(B). These items include the 
standard forms, certifications, and assurances listed in the General 
Section of the SuperNOFA that are applicable to this funding 
(collectively, referred to as the ``standard forms''). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives, letters), referred to as the ``non-
standard forms'' can be found as Appendix A to this program section of 
the SuperNOFA. The items are as follows:
    (1) Applications must be signed and certified by both the Executive 
Director or Tribal Council or authorized TDHE official and a resident 
leader.
    (2) The certification must indicate that:
    (a) A copy of the application was sent to the local HUD Field 
Office, Public Housing Directors, or Administrator, Office of Native 
American Programs;
    (b) The application was reviewed by both the housing authority 
Executive Director or Tribal Council or authorized TDHE official, and a 
resident leader of your organization; and
    (c) Any technical assistance received will be used in compliance 
with all requirements in the SuperNOFA.
    (3) The application must contain a four page (or fewer) application 
letter responding to each of the requirements listed in Section V(B) of 
the DETAP section of the SuperNOFA.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9), the assistance provided 
under this program relates only to the provision of technical 
assistance and therefore is categorically excluded from the 
requirements of the National Environmental Policy Act and is not 
subject to environmental review under the related laws and authorities. 
This determination is based on the ineligibility of real property 
acquisition, construction, rehabilitation, conversion, leasing, or 
repair for HUD assistance under this program.

IX. Authority

    The FY 2000 HUD Appropriations Act under the heading, ``Drug 
Elimination Grants for Low-Income Housing.''

Appendix A--HUD's Public Housing Area Offices

NEW ENGLAND REGION

Boston
    Donna Ayala, Office of Public Housing, HUD--Massachusetts State 
Office, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway Street, 
Room 553, Boston, MA 02222-1092, (617) 565-5197 Fax (617) 565-5257
Hartford
    Raymond Jordan, Office of Public Housing, HUD--Connecticut State 
Office, 19th Floor, One Corporate Center, Hartford, CT 06103-3220, 
(860) 240-4800 or (860) 240-4850
Manchester
    Robin Gagnon, Office of Public Housing, HUD--New Hampshire State 
Office, Norris Cotton Federal Building, 275 Chestnut Street, 
Manchester, NH 03101-2487, (603) 666-7674 or Fax (603) 666-7714
Providence
    Marlene Piekarsky, Office of Public Housing, HUD--Rhode Island 
State Office, 10 Weybosset Street, 6th Floor, Providence, RI 02903-
3234, (401) 528-5366 or (401) 528-5370

NEW YORK/NEW JERSEY REGION

New York
    Mirza Del Rosario, Office of Public Housing, HUD--New York State 
Office, 26 Federal Plaza Suite 32-116, New York, New York 10278-
0068, (212) 264-8931 Fax (212) 264-9834
Buffalo
    Joan Spilman, Office of Public Housing, HUD--Buffalo State 
Office, Lafayette Court, 465 Main Street, Fifth Floor, Buffalo, New 
York 14203-5755, (716) 551-5755 ext. 5050 Fax (716) 551-4789
New Jersey
    Carmen Valenti, Office of Public Housing, HUD--New Jersey State 
Office, One Newark Center, 13th Floor, Newark, NJ 07102-5260, (973) 
622-7900 ext. 3600 Fax (973) 645-6239

MID-ATLANTIC REGION

Philadelphia
    Malinda Roberts, Office of Public Housing, HUD--Pennsylvania 
State Office, The Wanamaker Building, 100 Penn Square East, 
Philadelphia, PA 19107-3390, (215) 656-0576 or 0579, ext. 3308, Fax 
(215) 656-3433
Baltimore
    Dana Johnson, Office of Public Housing, HUD--Maryland State 
Office, City Crescent Building, 10 South Howard Street, 5th Floor, 
Baltimore, Maryland 21201-2505, (410) 962-2520 ext. 3102 Fax (410) 
962-0668
West Virginia
    Henry Miller, Office of Public Housing, HUD--West Virginia State 
Office, Kanawha Valley Building, 405 Capitol Street, Suite 708, 
Charleston, WV 25301-1795, (304) 347-7057 Fax (304) 347-7045
Pittsburgh
    Office of Public Housing, HUD--Pittsburgh Area Office, 339 Sixth 
Avenue, 6th Floor, Pittsburgh, PA 15222-2515, (412) 644-6571 Fax 
(412) 644-6499
Virginia
    Pat Anderson, Office of Public Housing, HUD--Virginia State 
Office, The 3600 Centre, 3600 West Broad Street, P.O. Box 90331, 
Richmond, VA 23230-0331, (804) 278-4500 ext. 3217 Fax (804) 278-4603
District of Columbia
    Lee Palman, Office of Public Housing, HUD--District of Columbia 
Office, 820 First Street, NE, Suite 450, Washington, DC 20002-4205, 
(202) 275-7965 ext 3175 Fax (202) 275-0779

SOUTHEAST REGION

Atlanta
    Boyce Norris, Office of Public Housing, HUD--Georgia State 
Office, Richard B. Russell Federal Building, 40 Marietta Street, 
Atlanta, GA 30303, (404) 331-4766 Fax (404) 730-2365
Alabama
    Debra Pippen, Office of Public Housing, HUD--Alabama State 
Office, Beacon Ridge Tower, 600 Beacon Parkway West, #300, 
Birmingham, AL 35209-4144, (205) 290-7601 ext 1101 Fax (205) 290-
7593
Columbia
    Larry Knightner, Office of Public Housing, HUD--South Carolina 
State Office, Strom Thurmond Federal Building, 1835 Assembly Street, 
Columbia, SC 29201-2480, (803) 765-5831 or (806) 765-5515
Greensboro
    Ledford Austin, Office of Public Housing, HUD--North Carolina 
State Office, Koger Building, 2306 West Meadowview Road,

[[Page 9648]]

Greensboro, NC 27407-3707, (336) 547-4038 Fax (336) 547-4015
Mississippi
    George Smith, Office of Public Housing, HUD--Mississippi State 
Office, Doctor A. H. McCoy Federal Building, 100 West Capitol 
Street, Room 910, Jackson, MS 39269-1016, (601) 965-4761 Fax (601) 
965-4773
Miami
    Karen Cato-Turner, Office of Public Housing, HUD--Florida State 
Office, 909 SE First Avenue, Suite 500, Miami, FL 33131, (305) 536-
4443 Fax (305) 536-5663
Jacksonville
    John Niesz, Office of Public Housing, HUD--Jacksonville Area 
Office, Southern Bell Tower, 301 West Bay Street, Suite 2200, 
Jacksonville, FL 32202-5121, (904) 232-1777 ext. 2142 Fax (904) 232-
3759
Kentucky
    Arthur Wasson, Office of Public Housing, HUD--Kentucky State 
Office, 601 West Broadway, Post Office Box 1044, Louisville, KY 
40201-1044, (502) 582-6163 ext. 370 Fax (502) 582-6558
Knoxville, TN
    Shelley Day, Office of Public Housing, HUD--Knoxville Area 
Office, John J. Duncan Federal Building, 710 Locust Street, Third 
Floor, Knoxville, TN 37902-2526, (423) 545-4402 ext. 4 Fax (423) 
545-4569
Nashville, TN
    Michael Farley, Office of Public Housing, HUD--Tennessee State 
Office, 235 Cumberland Bend Drive, Suite 200, Nashville, TN 37228-
1803, (615) 736-5063 ext. 6132 Fax (615) 736-2886
San Juan, PR
    Hildamar Ortiz, Office of Public Housing, HUD--Caribbean Office, 
Administracion de Terrenos Building, 171 Carlos E. Chardon Avenue, 
Suite 301, San Juan, PR 00918-0903, (787) 766-5400 ext. 2031 Fax 
(787) 766-6504

MID-WEST REGION

Chicago
    Office of Public Housing, HUD--Illinois State Office, Ralph H. 
Metcalfe Federal Building, 77 West Jackson Boulevard, Chicago, IL 
60604-3507, (312) 353-1915 or (312) 353-6236 ext. 2302, Fax (312) 
353-0121
Cincinnati
    Larry Dempsey, Office of Public Housing, HUD--Cincinnati Area 
Office, 525 Vine Street, Suite 700, Cincinnati, OH 45202-3188, (513) 
684-2654 Fax (513) 684-6224
Cleveland
    Tom Marshall, Office of Public Housing, HUD--Cleveland Area 
Office, Renaissance Building, 1350 Euclid Avenue, Suite 500, 
Cleveland, OH 44115-1815, (216) 522-2700 Fax (216) 522-2975
Columbus
    David Kellner, Office of Public Housing, HUD--Ohio State Office, 
200 North High Street, Columbus, OH 43215-2499, (614) 469-5787, ext. 
8224 or (614) 469-2949, Fax (614) 469-2432
Detroit
    Joann Adams, Office of Public Housing, HUD--Michigan State 
Office, Patrick V. McNamara Federal Building, 477 Michigan Avenue, 
Detroit, MI 48226-2592, (313) 226-6880, ext. 8111 Fax (313) 226-5611
Grand Rapids
    Joann Adams, Office of Public Housing, HUD--Grand Rapids Area 
Office, 50 Louis Street, NW, 3rd Floor, Grand Rapids, Michigan 
49503, (616) 456-2100 Fax (616) 456-2187
Indianapolis
    Forrest Jones, Office of Public Housing, HUD--Indiana State 
Office, 151 North Delaware Street, Suite 1200, Indianapolis, IN 
46204-2556, (317) 226-6557 Fax (317) 226-5594
Milwaukee
    John Finger, Office of Public Housing, HUD--Wisconsin State 
Office, Henry S. Reuss Federal Plaza 310 West Wisconsin Avenue, 
Suite 600, Milwaukee, WI 53203-2289, (414) 297-3214 ext. 8200 Fax 
(414) 297-1180
Minneapolis
    Diane Cmiel, Office of Public Housing, HUD--Minnesota State 
Office, 220 South Second Street, Minneapolis, Minnesota 55401-2195, 
(612) 370-3135 Fax (612) 370-3003
    SOUTHWEST REGION
Fort Worth
    Roman Palamores, Office of Public Housing, HUD--Texas State 
Office, 1600 Throckmorton, Post Office Box 2905, Fort Worth, TX 
76113-2905, (817) 978-5700, ext. 3332 Fax (817) 978-9289
Albuquerque
    Carmella Herrera, Office of Public Housing, HUD--New Mexico 
State Office, 625 Silver Avenue, S.W., Suite 100, Albuquerque, N.M. 
87102-3185, (505) 346-7355 Fax (505) 346-6604
Houston
    Debbie Alexander, Office of Public Housing, HUD--Houston Area 
Office, Norfolk Tower 2211 Norfolk, Suite 200, Houston, TX 77098-
4096, (713) 313-2274 (alt. 2280) Fax (713) 313-2319
Little Rock
    Janie Allen, Office of Public Housing, HUD--Arkansas State 
Office, TCBY Tower 425 West Capitol Avenue, Suite 900, Little Rock, 
AR 72201-3488, (501) 324-5933 Fax (501) 324-5900
New Orleans
    Jed Drozdowski, Office of Public Housing, HUD--Louisiana State 
Office, 501 Magazine Street, Ninth Floor, New Orleans, LA 70130, 
(504) 589-7235 Fax (504) 589-6619
Oklahoma City
    Office of Public Housing, HUD--Oklahoma State Office, 500 West 
Main Street, Oklahoma City, OK 73102, (405) 553-7454 Fax (405) 553-
7588
San Antonio
    Diana Armstrong, Office of Public Housing, HUD--San Antonio Area 
Office, Washington Square 800 Dolorasa Street, San Antonio, TX 
78207-4563, (210) 475-6865 Fax (210 472-6816

GREAT PLAINS REGION

Kansas City
    Andrew Boeddeker, Office of Public Housing, HUD--Kansas/Missouri 
State Office, Gateway Tower II, 400 State Avenue, Kansas City, KS 
66101-2406, (913) 551-5582 or (913) 551-6916, Fax (913) 551-5416
Des Moines
    Kathy Winter, Office of Public Housing, HUD--Iowa State Office, 
Federal Building, 210 Walnut Street, Room 29, Des Moines, IA 50309-
2155, (515) 284-4315, Fax (515) 284-4895
Omaha
    Charlie Hill, Office of Public Housing, HUD--Nebraska State 
Office, Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 
68154-3955, (402) 492-3137, Fax (402) 492-3163
St. Louis
    Patricia Straussner, Office of Public Housing, HUD--St. Louis 
Area Office, Robert A. Young Federal Building, 1222 Spruce Street, 
St. Louis, MO 63103-2836, (314) 539-6505, Fax (314) 539-6508

ROCKY MOUNTAIN REGION

Denver
    John DiBella, Office of Public Housing, HUD--Colorado State 
Office, First Interstate Tower North, 633--17th Street, 12th Floor, 
Denver, CO 80202-3607, (405) 672-5380, Fax (405) 672-5065

PACIFIC HAWAII REGION

San Francisco
    Joyce Lee, Office of Public Housing, HUD--California State 
Office, Phillip Burton Federal Building/Courthouse, 450 Golden Gate 
Avenue, 9th Floor, San Francisco, CA 94102-3448, (415) 436-8375, Fax 
(415) 436-6440
Phoenix
    (Denver Office handles resident initiatives), Office of Public 
Housing, HUD--Arizona State Office, Two Arizona Center, 400 North 
5th Street, Suite 1600, Phoenix, AZ 85004-2361, (602) 379-3045, Fax 
(602) 379-3985
Los Angeles
    Bob Cook, Office of Public Housing, HUD--Los Angeles Area 
Office, AT&T Center, 611 West 6th Street, Suite 800, Los Angeles, CA 
90017-3127, (213) 894-8000, ext 3500, Fax (213) 894-8096
Sacramento
    Bill Armstead, Office of Public Housing, HUD--Sacramento Area 
Office, 925 ``L'' Street, Sacramento, CA 95814, (916) 498-5220, ext. 
421 Fax, (916) 498-5247

NW/ALASKA REGION

Seattle
    Lynn Martin, Office of Public Housing, HUD--Washington State 
Office, Seattle Federal Office Building, 909 1st Avenue, Suite 360, 
Seattle, WA 98104-1000, (206) 220-5290, ext. 3694, Fax (206) 220-
5133
Portland
    Elizabeth Santone, Office of Public Housing, HUD--Oregon State 
Office, 400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-
1596, (503) 326-2619, Fax (503) 326-2568

BILLING CODE 4210-32-P

[[Page 9649]]

APPENDIX B

    The non-standard forms, which follow, are required for your DETAP 
application. 
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FUNDING AVAILABILITY FOR PUBLIC AND INDIAN HOUSING DRUG ELIMINATION 
TECHNICAL ASSISTANCE FOR SAFETY AND SECURITY (DETASS)

Program Overview

    Purpose of the Program. The purpose of the Public and Indian 
Housing Drug Elimination Technical Assistance for Safety and Security 
is to provide professional long-term technical assistance and training 
expertise to implement effective strategies to combat drugs and drug 
related crime in public housing and Native American communities. This 
competition has three technical assistance components:
    Public Housing Authority and Public Housing Police Department 
Technical Assistance. To provide technical assistance and training to 
designated public housing authority police departments that are in the 
process of certification or certified by the Commission on 
Accreditation for Law Enforcement Agencies (CALEA), and community base 
police training and technical assistance.
    Public Housing Resident Patrol Technical Assistance for Safety and 
Security. To provide resident patrol technical assistance and training 
to housing authority staff, residents, Resident Councils (RC), Resident 
Management Corporations (RMC), housing authority security staff, and 
local law enforcement personnel to increase the understanding of the 
effectiveness of resident patrols in reducing crime and drug activity, 
and to assist in creating resident patrols.
    Public and Indian Housing Crime Prevention through Environmental 
Design and Youth Violence Prevention Technical Assistance for Safety 
and Security. To provide Crime Prevention through Environmental Design 
(CPTED) training and technical assistance to Public Housing 
Authorities, Resident Councils (RCs), Resident Management Corporations 
(RMCs), and local law enforcement personnel. The technical assistance 
will be for and on behalf of local government officials, architects, 
youth leaders, youth violence prevention practitioners, educators and 
other community leaders.

Available Funds.

     Approximately $1.140 million.
    Eligible Applicants. Non-profit organizations, for profit-
organizations, public or private educational or other institutions. 
Contractors or Consultants that can provide technical assistance (TA) 
and training to public and Native American Housing Authorities, 
Resident Councils (RCs), Resident Management Corporations (RMCs), local 
law enforcement personnel, local government officials, architects, 
youth leaders, youth violence prevention practitioners, educators and 
other community leaders who provide technical assistance in law 
enforcement and crime prevention techniques, electronic mapping 
systems, environmental design for safety and security, youth violence 
and youth leadership activities. Many organizations are eligible to 
apply for more than one DETASS component and are encouraged to do so to 
the extent they have the requisite skills, experience, expertise and 
capability to perform the work.

Application Deadline. June 2, 2000.

Match.

     None.

Additional Information

    If you are interested in applying for the Public Housing Drug 
Elimination Technical Assistance for Safety and Security Grants, please 
review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance

    Application Due Date. Submit your application on or before 12:00 
midnight, Eastern time, on June 2, 2000, at HUD Headquarters.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mail applications, 
express mail, overnight delivery, or hand-carried).
    Address for Submitting Applications. Submit an original and two 
copies of your application to HUD Headquarters, 451 Seventh Street, SW, 
Washington DC, 20410, to the Community Safety and Conservation Division 
(CSCD), Room 4206, before the application due date and time by mail or 
hand delivered. When submitting please refer to Public and Indian 
Housing Drug Elimination TA for Safety and Security and include your 
name (including zip code) and telephone number (including area code).
    For Application Kits. For an application kit and any supplemental 
material, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, 
please refer to the Public Housing Drug Elimination Technical 
Assistance Grants for Safety and Security, and provide your name, 
address (including zip code) and telephone number (including area 
code). An application kit is also available on the Internet through the 
HUD web site at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
Marvin Klepper on (202) 708-1197, this is not a toll free number. 
Persons with speech or hearing impairments may access this number via 
TTY by calling the toll-free Federal Information Relay Service at 1-
800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) Available Funding. Approximately $1.140 million is available 
for Public Housing Drug Elimination Technical Assistance Grants for 
Safety and Security.
    The amount allocated for each Public and Indian Housing Drug 
Elimination Technical Assistance for Safety and Security grant is as 
follows:
    For the Public Housing Authority and Public Housing Police 
Department Technical Assistance for Safety and Security grant 
approximately $380,000 is available for the base year.
    (2) For the Public Housing Resident Patrol Technical Assistance for 
Safety and Security grant approximately $380,000 is available for the 
base year.
    (3) For the Public and Indian Housing Crime Prevention through 
Environmental Design and Youth Violence Prevention Initiatives 
Technical Assistance for Safety and Security grant approximately 
$380,000 is available for the base year.
    The funding for these three grants through a single funding 
availability announcement will not affect the ability of eligible 
applicants to seek DETASS funding. Eligible applicants are able to 
apply for funding under as few as one, and as many as all three, 
separate DETASS components. It is not HUD's intent to fund a single 
applicant in all three categories; however, if there are no other 
qualified candidates in a category and a single applicant has already 
been selected in two categories then HUD reserves the right to fund the 
single applicant in all three categories.
    (B) Award Period. Successful applicants will receive a cost-
reimbursable performance based cooperative agreement with a twelve

[[Page 9656]]

month base period. Your award may be renewed annually for a period not 
to exceed four years based upon an evaluation of your performance as 
funding is available from the appropriation for PHDEP technical 
assistance funds.
    HUD will judge performance based upon your ability to provide 
technical assistance on time and within budget and to produce tangible 
results in the community as a result of the technical assistance 
efforts such as reductions in crime rates or incidents of vandalism, 
the number of community patrols initiated. HUD reserves the right to 
not provide additional funding based upon a determination of poor 
performance by the TA provider in delivering TA services. Funding 
amounts per annual renewals may be increased or decreased subject to 
tasking levels and availability of funding.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. Funding under the Public and Indian 
Housing Drug Elimination Technical Assistance for Safety and Security 
grant will provide professional long-term technical assistance and 
training expertise to implement effective strategies to combat drugs 
and drug related crime in public housing and Native American 
communities. The grant has three technical assistance components:
    (1) Public Housing Authority and Public Housing Police Department 
Technical Assistance for Safety and Security. To provide technical 
assistance and training to designated public housing authority police 
departments that are in the process of certification or certified by 
the Commission on Accreditation for Law Enforcement Agencies (CALEA) 
to:
    (a) Facilitate effective relationships between the public housing 
and law enforcement communities and improve law enforcement service 
delivery;
    (b) Create law enforcement service agreements between housing 
authorities and local government;
    (c) Increase use of Geographic Information Systems to enhance law 
enforcement and safety and security efforts by Public Housing 
Authorities and local police Departments; and
    (d) Assist Public Housing Authorities, Police Departments, Resident 
Councils and Resident Management Organizations to assess community 
safety and security needs based upon analyses of crime data and 
statistics, location of crime and drug activity and concerns of public 
housing residents.
    (e) Provide community base police training and technical 
assistance.
    (2) Public Housing Resident Patrol Technical Assistance for Safety 
and Security. To provide resident patrol technical assistance and 
training to housing authority staff, residents, Resident Councils (RC), 
Resident Management Corporations (RMC), housing authority security 
staff, and local law enforcement personnel to increase the 
understanding of the effectiveness of resident patrols in reducing 
crime and drug activity, and to assist in creating resident patrols.
    (3) Public and Indian Housing Crime Prevention through 
Environmental Design and Youth Violence Prevention Technical Assistance 
for Safety and Security. To provide Crime Prevention through 
Environmental Design (CPTED) training and technical assistance to 
Public Housing Authorities, Resident Councils (RCs), Resident 
Management Corporations (RMCs), local law enforcement personnel. The 
technical assistance will be for and on behalf of local government 
officials, architects, youth leaders, youth violence prevention 
practitioners, educators and other community leaders to:
    (a) Increase their knowledge of how environmental design effects 
safety and security and can be used to reduce incidents of criminal 
activity, vandalism and drug trafficking;
    (b) Assess the impacts of environmental design techniques in 
creating a sense of community at public housing developments;
    (c) Increase their knowledge of effective youth violence prevention 
and abatement strategies and work with the community to undertake youth 
violence prevention and abatement strategies.
    (B) Eligible Applicants. Non-profit organizations, for profit-
organizations, public or private educational or other institutions. 
Contractors or Consultants that can provide technical assistance (TA) 
and training to public and Native American Housing Authorities, 
Resident Councils (RCs), Resident Management Corporations (RMCs), local 
law enforcement personnel, local government officials, architects, 
youth leaders, youth violence prevention practitioners, educators and 
other community leaders who provide technical assistance in law 
enforcement and crime prevention techniques, electronic mapping 
systems, environmental design for safety and security, youth violence 
and youth leadership activities. Many organizations are eligible to 
apply for more than one DETASS component and are encouraged to do so to 
the extent they have the requisite skills, experience, and capability 
to perform the work.
    A consortia of organizations may apply for one or more DETASS 
components, but HUD will require that one organization be designated as 
the legal (lead) applicant.
    All eligible TA providers may propose assistance using in-house 
staff, consultants, sub-contractors and sub-recipients, networks of 
private consultants and/or local organizations with requisite 
experience and capabilities. Whenever possible, applicants should have 
a cadre of resources either on staff or through these networks, 
available throughout the country so that resources can be effectively 
deployed in a most cost efficient manner and which are familiar with 
local issues and opportunities.
    All applicants must meet the threshold requirements for each 
component under which they are seeking funds and the threshold 
requirements in Section II(B) of the General Section of the SuperNOFA.
    (C) Eligible Activities. (1) All Three Technical Assistance 
Components. For all three technical assistance components of this 
competition, eligible activities include, but are not limited to the 
following:
    (a) Technical assistance to enhance the effective use of security 
personnel, security guards, housing authority police, local law 
enforcement agencies who are provided services to the housing authority 
and residents over and above those normally provided to the public 
housing community to achieve DETASS goals and objectives;
    (b) Technical assistance and training on geographic mapping 
software, analysis of local geographic mapping systems and how it can 
be used in conjunction with other state or local crime and drug data 
bases to assist the public housing authority, local police department, 
Resident Management organization or Resident Council, local community 
leaders and elected officials, youth leaders and violence prevention 
organizations to use the existing data and map where drug and crime 
activity is occurring in the community, as well as what resources are 
available in the community to address these incidents.
    (c) Analysis and use of drug related crime and drug trafficking or 
use statistics to increase the effectiveness of anti-drug and security 
related efforts of the public housing community; Technical Assistance 
improve communications between the public housing community and local 
law enforcement officials and community leaders;
    (d) Technical assistance for the creation and improvement of tenant 
patrols and community watch programs

[[Page 9657]]

for public housing residents in an effort to improve or enhance safety 
and security in the neighborhood;
    (e) Training programs for public housing staff and management, 
Resident Management Organizations, Resident Councils, Youth leaders, or 
local law enforcement officials, state and local agency officials, non-
profit organizations engaged in work to reduce crime, drug use or youth 
violence, in HUD's anti-drug programs, environmental design, resident 
organization, community policing, and other tools that can be used to 
increase the safety and security of public housing residents;
    (f) Training programs for youth leaders, non-profit organizations 
working with youth to stem the violence, channel youth gangs to 
productive, non-violent activities which are designed to increase self-
esteem, reduce community tensions and increase a sense of belonging to 
and giving back to community for youth living in or adjacent to public 
housing;
    (g) Providing training and technical assistance to work with local 
school officials and teachers to develop after school and in-school 
programs, including technology based programs to channel violent youth 
into more productive lives by training them for future careers in the 
information technology (IT) industry; and
    (h) Providing related technical assistance and training at the 
direction of the HUD GTR.
    (2) Public Housing Authority and Public Housing Police Department 
Technical Assistance. For this funding component, the eligible 
activities are:
    (a) Assisting public housing agencies in the implementation and use 
of a computerized mapping system to track drug use and criminal 
activity in and around the public housing community to assist public 
housing security and local police in their efforts to combat drug and 
drug-related crime;
    (b) Assisting local police departments in the use of crime mapping 
software to improve law enforcement strategies to combat drug use, 
trafficking and criminal activity in and around the public housing 
community;
    (c) Assisting local police departments and members of the public 
housing community in assessing mapping software to determine the best 
product available that is compatible with their existing systems and 
their anticipated needs; and
    (d) Facilitating law enforcement service agreements between housing 
authorities and local government and provide technical assistance for 
program implementation.
    (e) Providing community base police training and technical 
assistance.
    (3) Public Housing Resident Patrols Technical Assistance for Safety 
and Security. For this funding component, eligible activities include:
    (a) Instituting and implementing resident patrols and neighborhood 
watch and safety and security programs in public housing communities by 
providing technical assistance training and services to public housing 
authorities, residents, Resident Management Organizations, Resident 
Councils, Indian Tribes and Tribally Designated Housing Entities to:
    (b) Assisting housing authority staff and residents in 
understanding the concept, organizational requirements to implement 
Resident Patrols;
    (c) Assisting resident organizations in preparing a tenant patrol 
strategy, methods for recruiting members, training patrol members in 
how to handle themselves while on patrol and basic tips and techniques 
for members of the patrol, identifying funding sources for patrol 
administration and operations and ensuring that there will be the 
opportunity for diversity among the members of the resident patrols 
representative of the diversity of residents living at the housing 
sites;
    (d) Preparing training and informational materials (such as 
brochures, fact sheets, manuals, videotapes) to explain the concept of 
Resident Patrols, organizational requirements, roles and 
responsibilities of various member of the community to achieve a 
successful resident patrol or neighborhood watch program;
    (e) Preparing a training manual on how to establish and operate a 
resident patrol which includes such topics as:

    (i) Legal issues and requirements;
    (ii) Insurance coverage;
    (iii) Roles and responsibilities;
    (iv) How to prepare a budget;
    (v) Financial management; etc.
    (vi) Deportment of patrol members;
    (vii) Clothing and equipment needs;
    (viii) Community relations;
    (ix) How to train new members;
    (x) Group cohesion and group dynamics;
    (xi) Conflict management and conflict resolution;
    (xii) Team decision-making processes; and
    (xiii) Impact/process evaluation.
    (e) Providing training and technical assistance to improve and 
coordinate the administration of a Resident Patrol, or Neighborhood 
Watch and Safety and Security Program by resident groups, housing 
authorities, and police departments;
    (f) Providing a number of technical assistance and training 
packages and materials to Housing Authority and residents interested in 
developing or improving their patrols.
    (g) Designing and develop an evaluation methodology that can be 
employed by the housing authority community to measure their progress 
in combating drugs and crime after implementing resident patrols or 
neighborhood watch programs and in coordinating activities with local 
law enforcement agencies.
    (h) Providing related technical assistance and training at the 
direction of the HUD GTR.
    (4) Public and Indian Housing Crime Prevention through 
Environmental Design (CPTED) and Youth Violence Prevention Technical 
Assistance for Safety and Security. For this funding component, the 
eligible activities are undertaken to provide technical assistance and 
training to housing authority (HA) staff, residents, Resident Councils 
(RC) Resident Management Corporations (RMCs), housing authority 
directors, local law enforcement officials, local government officials, 
and other community leaders to increase their understanding of how 
Crime Prevention Through Environmental Design can be an effective tool 
in fighting drug usage, trafficking, youth violence, and other behavior 
that decreases the safety of the community in public housing 
developments and the surrounding community. Eligible activities for TA 
providers include:
    (a) Helping public housing authorities, Resident Management 
Organizations, Resident Councils, Indian Tribes and Tribally Designated 
Housing Entities, to prepare strategies and plans which incorporate 
environmental design for crime prevention in their public housing 
neighborhoods and communities. CPTED include plans for the redesign, 
renovation, or rehabilitation of existing housing, community 
facilities, including, but not limited to, neighborhood centers, 
sidewalks, streets, parks, playgrounds, which may contribute to 
instances of crime; and
    (b) Providing technical assistance services and training to public 
housing authorities, Resident Management Organizations, Resident 
Councils, Indian Tribes and Tribally Designated Housing Entities, and 
non-profit organizations dealing with youth violence prevention and 
mitigation; youth leaders, educators and others on effective ways to 
address, prevent and mitigate youth violence, including ways CPTED can 
be a tool in addressing youth violence issues.

[[Page 9658]]

    (D) Ineligible Activities. The following activities are ineligible 
for funding under all three of Public and Indian Housing Drug 
Elimination Technical Assistance for Safety and Security grants. 
Funding is not permitted for:
    (1) Developing your application;
    (2) Construction of security systems, barriers, hiring of security 
personnel or guards or other hard construction costs or related items 
that are eligible for assistance and could be paid for with formula 
grant funds under the Public Housing Drug Elimination Grant Program.
    (3) Consortia of eligible applicants may not apply for this grant 
unless it establishes one legal lead applicant.
    (4) Salary or fees to your staff, or your former staff within a 
year of their your employment.
    (5) An organization selected for funding may not provide technical 
assistance to itself.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, applicants under all three technical 
assistance components are subject to the following requirements:
    (A) Demand/Response Delivery System. (1) As an awardee, you must 
operate within the structure of the demand/response system described in 
this section. You must coordinate your plans with, and operate under 
the direction of the HUD GTR. When so directed by the HUD GTR, you will 
coordinate your activities through a lead DETASS provider or other 
organization designated by the HUD GTR.
    (2) If selected as the lead DETASS provider, the HUD GTR, as an 
awardee you may be asked by the HUD GTR or Director of the Drug 
Elimination Grant Program in HUD Headquarter's Washington, DC, to 
coordinate the activities of other DETASS providers selected under this 
DETASS section of the SuperNOFA. When directed by any of the above 
persons, joint activities by DETASS providers may be required.
    (3) Under the demand/response system, as directed, DETASS providers 
will be required to:
    (a) Market the availability of their services to existing and 
potential public housing authorities, police departments and Indian 
tribes nationwide.
    (b) Respond to requests for assistance from the HUD GTR with 
oversight of the geographic service area for which the technical 
assistance will be delivered on a first come first serve basis, 
including responding to priorities established by the HUD GTR.
    (c) Conduct a Needs Assessment to identify the type and nature of 
the assistance needed by the recipients of the assistance. These needs 
assessments should typically identify the nature of the problem to be 
addressed by the technical assistance services; the plan of action to 
address the need including the type of technical assistance services to 
be provided, the duration of the service, the staff assigned to provide 
the assistance, anticipated products and/or outcomes, and the estimated 
cost for the provision of services; and the relationship of the 
proposed services to the HUD-wide objectives of the Annual Performance 
Plan and Business Operating Plan;
    (d) Address new issues or techniques that can be used to reduce 
drug use or drug related crime in public housing developments.
    (B) Technical Assistance Delivery Plan. (1) After selection for 
funding but prior to award, you must develop a technical assistance 
delivery plan in consultation with the GTR. The plan must be national 
in scope.
    (2) Your nationwide plan must conform to the provisions of the 
Business Operating Plan (BOP). You may use these BOP/management 
strategies/workplans in determining your priority work activities, 
location of activities, and organizations to be assisted during the 
cooperative agreement performance period.
    (3) Your plan must delineate all the tasks and sub-tasks you will 
undertake nationally. It must show how the grant performance will 
improve other results expected from the DETASS, and the methodology to 
be used for measuring the success of the DETASS. A time schedule for 
delivery of the activities, budget-by-task and staffing plan must be 
included in the technical assistance delivery plan.
    (C) Active Participation. The HUD GTR will actively participate in 
the delivery of all technical assistance by funded DETASS providers 
throughout the term of the DETASS Cooperative Agreement;
    (D) Eligible and Ineligible Costs. (1) If you are awarded a DETASS 
Cooperative Agreement, costs associated with facilities, training 
materials, training staff costs of travel, lodging and per diem at 
governmental rates are eligible costs.
    (2) Costs for participant travel, per diem and miscellaneous 
expenses to attend or when attending a DETASS training session are 
ineligible costs.
    (E) Section 3 Economic Opportunities. Please see Section II(E) of 
the General Section of this SuperNOFA. Recipients of funding under 
DETASS program must comply where applicable.
    (F) Affirmatively Furthering Fair Housing. Section II(D) of the 
General Section does not apply to funding under DETASS because the 
purpose of this funding is to address specific and targeted problems 
faced by Public Housing Authorities, Indian tribes, Tribally Designated 
Housing Entities, Resident Management Corporations, Resident Councils, 
or Resident Organizations in their management of the Public Housing 
Drug Elimination Program and to assist the applicants in the 
improvement of the effectiveness of that program.
    (G) Negotiation. After all applications have been rated and ranked 
and a selection has been made, HUD may require the awardees to 
participate in negotiations to determine the specific terms of the plan 
and the budget. HUD will follow the negotiation procedures described in 
the General Section of the SuperNOFA.
    (H) Financial Management and Audit Information. After selection for 
funding, but prior to award, you may be required to submit a 
certification from a Certified Public Accountant or the cognizant 
government auditor.

V. Application Selection Process

    (A) Rating and Ranking. Applications will be evaluated 
competitively and ranked. HUD will review each application to determine 
that it meets the requirements of this SuperNOFA and the requirements 
under each DETASS component. Applicants must have a minimum score of 10 
points under Rating Factor 1, Capacity, to receive funding under the 
DETASS component they are requesting funding. Applicants that do not 
meet this minimum score requirement will not be ranked further. 
Applicants that meet the minimum score requirement will be evaluated 
under the rating Factors for Award and will be assigned points in 
accordance with the rating factors.
    Applications will be funded in rank order for each DETASS 
component. In the event of a tie, HUD will select the highest ranking 
application that can be fully funded. In the event that two or more 
eligible applications receive the same score, and both cannot be funded 
because of insufficient funds, the applicant with the highest score in 
rating factor one will be funded. If rating factor one is scored 
identically, the scores in rating factors two, three, four and five 
will be used in that order, until one of the applications receives a 
higher score. If both applications still score the same then the 
application which requests the least funding will be

[[Page 9659]]

selected in order to promote the more efficient use of resources. Each 
application submitted will be evaluated on the basis of the selection 
criteria set forth below.
    (B) Factors For Award to Evaluate and Rank Applications. The 
factors for rating and ranking applicants and maximum points for each 
factor, are provided below. The maximum number of points for this grant 
component is 100. EZ/EC Bonus points as described in the General 
Section of this SuperNOFA are not available under DETASS.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which your organization and the 
staff assigned to your DETASS activities has the skills and experience 
to successfully implement your proposed activities. In rating this 
factor, HUD will consider the extent to which your application 
demonstrates in relation to the DETASS activities you are seeking funds 
that your organization and staff have:
    (1) (10 points) Recent, relevant and successful experience in 
providing technical assistance in all eligible activities and to all 
eligible entities for the DETASS TA component, particularly those 
requirements specified under the component requirements section of this 
DETASS section of this SuperNOFA. HUD will consider the experience of 
your overall project director and staff, including the day-to-day 
program manager, consultants and contractors in planning and managing 
programs for which funding is being requested and their knowledge of 
public housing programs, particularly the Public Housing Drug 
Elimination Grant Program.
    In rating this factor, HUD will consider experience within the last 
five years to be recent; experience pertaining to the specific 
component and activities being proposed to be relevant. You should 
clearly specify the staff assigned to the TA component, their years of 
experience and provide a listing of similar or related experiences that 
they have undertaken in the recent past, providing dates for each 
experience. When describing your organization's experience you should 
also describe the work activity, when it occurred who the project 
manager was, and if any of the staff on that project will be assigned 
to this project.
    (a) For the Public Housing Authority and Public Housing Police 
Department Technical Assistance component, an applicant must 
demonstrate that they have sufficient capacity and technical expertise 
to:
    (i) Serve a population of 500,000 or more;
    (ii) Conduct law enforcement assessments in cities of a population 
500,000 or more;
    (iii) Conduct law enforcement assessments of public housing police 
departments and the private sector;
    (iv) Design, develop and deliver training and technical assistance 
programs for law enforcement agencies, to include community policing 
and related training in public housing and the private sector;
    (v) Develop and implement law enforcement policies, procedures and 
manuals, personnel management systems, fiscal tracking systems, 
dispatch systems, records management, patrol strategy and crime 
prevention programs in public housing and the private sector;
    (vi) Manage the accreditation and re-accreditation process of law 
enforcement agencies in public housing and private sector;
    (viii) Develop and implement law enforcement policies, procedures 
and manuals and other endemic systems to public housing agencies, 
public housing law enforcement agencies, and municipal law enforcement 
agencies;
    (ix) Develop technical and physical security systems in public 
housing and the private sector;
    (x) Develop security guard plans in public housing and the private 
sector;
    (xi) Work with Federal, State and local law enforcement agencies;
    (xii) Evaluate Public Housing Drug Elimination Program grants for 
both programmatic effectiveness and efficiency as well as 
administrative compliance;
    (xiii) Conduct security assessments of troubled PHAs; and
    (x) Develop or manage law enforcement computerized systems, such 
as, Community 2020-HUD Community Planning Software (C2020), other 
Geographic Information Systems (GIS), Networking, Software development, 
police records management systems, interdepartmental communications 
systems, and mainframe/PC Systems support.
    (b) For the Public Housing Resident Patrol Technical Assistance 
component, an applicant must demonstrate experience in managing 
projects of similar type and scope, including proven ability to manage 
the performance of complex multi-site projects within time and resource 
limits, the required technical expertise and have had the following law 
enforcement experiences:
    (i) Conducted law enforcement or security assessments in cities 
with a population of 500,000 or more;
    (ii) Had experience in design, development, and delivered training 
and technical assistance for public housing resident patrol programs, 
and community crime reduction teams;
    (iii) Provided technical assistance to troubled and/or near 
troubled PHAs;
    (iv) Completed multi-security assessments as a single tasking;
    (v) Developed and implemented policies, procedures and manuals for 
resident groups and PHAs;
    (vi) Developed and implemented crime prevention programs in public 
housing;
    (vii) Developed technical and physical security systems in public 
housing;
    (viii) Worked with Federal, State and local law enforcement 
agencies;
    (ix) Evaluated Public Housing Drug Elimination Program grants for 
programmatic effectiveness and efficiency as well as administrative; 
and
    (x) Evaluated crime patterns for adults and juveniles.
    (c) For the Public and Indian Housing Crime Prevention through 
Environmental Design and Youth Violence Prevention Technical Assistance 
for Safety and Security component, an applicant must demonstrate 
extensive executive and managerial experience in CPTED concepts and 
implementation, or possession of like experience in youth violence 
prevention and training.
    (i) For CPTED TA, the applicant must have the skills and knowledge 
in CPTED, particularly as it has been used in areas of high density 
populations, areas experiencing youth violence, drug activities and 
other crime;
    (ii) For CPTED TA, the applicant must have developed CPTED 
assessments in a variety of PHA communities ranging from rural areas to 
large urban population centers of 500,000 or more.
    (iii) For CPTED TA, the applicant must have skills and recent 
experience in designing methodologies to assess the impacts of CPTED in 
modifying behavior patterns among youth and residents to create a 
greater sense of community and reduce violence and criminal and drug 
activity;
    (iv) For CPTED TA, the applicant must have designed and implemented 
CPTED programs in public housing agencies, to include troubled public 
housing agencies.
    (2) (3 Points) For all three funding components, you must show the 
relevant experience and competence of your key personnel in managing 
complex, multi-faceted, or multi-

[[Page 9660]]

disciplinary programs that require coordination with other technical 
assistance providers or multiple organizations or community leaders;
    (3) (5 points) For all three funding components, you must show you 
have personnel or access to qualified experts or professionals that 
deliver the proposed level of technical assistance in each proposed 
service areas in a timely and effective manner;
    (4) (2 points) For all three funding components, you must show that 
your organization has a financial management system that is in 
compliance with the requirements specified in OMB Circular A-127, and 
that you can demonstrate your ability to manage and maintain financial 
records for multiple activities in multiple locations by each location 
and can relate costs to each activity and task at each location 
technical assistance services are being provided.

Rating Factor 2: Potential Effectiveness of the Application in 
Meeting Needs of Target Populations, Technical Assistance Target 
Objectives for Each TA Component for Which Funds Are Requested (20 
Points)

    In rating this factor, HUD will consider the extent to which your 
application:
    (1) (10 points) Identifies high priority needs and issues for the 
component for which funding is requested. Priority needs should be 
expressed in terms of the degree of the drug problem, and the extent 
the target population identified in your application has an unmet 
demand for technical assistance services. In evaluating this sub-
factor, HUD will consider your ability to establish priority areas, the 
basis for your making the determination of which target populations and 
activities should receive priority attention and your order of 
precedence in determining what TA topic should be addressed first.
    (2) (10 Points) Demonstrates knowledge of the extent of the need 
for the DETASS component for which funding is requested and the extent 
that you can demonstrate knowledge of the local public housing 
authority's plan or the local communities HUD approved Consolidated 
Plan documenting the need in areas which you propose to provide 
technical assistance services.

Rating Factor 3: Soundness of Approach--(Quality of your Technical 
Assistance Work Plan) (40 Points)

    This factor addresses the quality and effectiveness of your 
proposed work plan and the DETASS component for which you are seeking 
funding. There must be a relationship between the proposed activities, 
the community's needs and the purpose of the TA. In rating this factor, 
HUD will consider the impact of the activity on the target population 
identified in your application.
    In evaluating this factor, HUD will consider the extent to which 
your proposed work plan:
    (1) (10 Points) Provides a work plan of suggested technical 
assistance activities, tasks and product deliverables to address the 
objectives of the DETASS component, the needs of a broad diversity of 
eligible TA recipients.
    (a) A sound work plan under the Public and Indian Housing Crime 
Prevention through Environmental Design Technical Assistance must 
include the following activities:
    (i) Providing training and technical assistance services on CPTED 
techniques and strategies, including identification of designs which 
best stem criminal activity as opposed to designs which support or 
create opportunities for criminal or violent behavior;
    (ii) Identifying funding resources to implement CPTED in public 
housing, particularly funding options for Indian Tribes and Tribally 
Designated Housing Entities;
    (iii) Preparing case studies, manuals, illustrations explaining 
elements of CPTED, and similar activities, which can be used by public 
housing authorities, Resident Management Organizations, Resident 
Councils, Tribes and Tribally Designated Housing Entities, Youth 
Violence Prevention and Abatement Organizations and others as design 
guides to create housing and neighborhoods which feature CPTED.
    (iv) Preparing of case studies which illustrate the successful 
combination of CPTED elements and other crime prevention activities 
such as resident patrols, and community policing; in public housing and 
low-income communities and neighborhoods to reduce criminal activity;
    (v) Conducting site visits or creating opportunities for TA 
recipients to meet one-on-one with expert advisors to review and 
discuss specific plans and to obtain technical assistance on specific 
design and implementation plans;
    (vi) Creating an impact/process evaluation instrument to assist 
housing authorities in tracking outcome measures for their CPTED 
strategies;
    (vii) Creating assessment instruments that allow public housing 
authorities, Resident Management Organizations, Resident Councils, 
Tribes and Tribally Designated Housing Entities, Youth Violence 
Prevention and Abatement Organizations and others to do their own CPTED 
assessment to determine what areas in the community or development 
would benefit from CPTED treatment;
    (viii) Creating cost calculation sheets that would allow public 
housing authorities, Resident Management Organizations, Resident 
Councils, Tribes and Tribally Designated Housing Entities, Youth 
Violence Prevention and Abatement Organizations and others to do their 
own estimations of what it would cost to implement CPTED design 
changes.
    (b) A sound work plan under the Public and Indian Housing Youth 
Violence Prevention Technical Assistance must include the following 
activity: implementing a methodology to modify behavior patterns among 
youth and residents to create a greater sense of community and reduce 
violence and criminal and drug activity.
    (2) (10 points) Demonstrates an effective outreach and assistance 
program to specifically identified communities, target populations and/
or organizations and identifies the basis on which these groups or 
organizations were selected.
    (3) (10 Points) Proposes a feasible plan for demonstrating the 
anticipated effectiveness of the proposed activities for TA in reducing 
or eliminating drug-related crime problems immediately and over an 
extended period, including the extent to which you propose a plan of 
action that will allow the targeted population identified in your 
application to successfully implement and show tangible results in 
undertaking an activity that the DETASS objective was designed to 
address, within the period of performance; or will result in a plan of 
action being undertaken by an organization during the following year.
    (4) (10 points) Demonstrates that your proposed budget and 
timetable for delivering the technical assistance services and product 
deliverables is cost effective, feasible and is based on a 
understanding of the number of staff persons and hours are needed to 
conduct the suggested TA activities, the number of on-site hours 
devoted to the activities vs. development of training materials and 
classroom hours, and the basis for your making those staffing and 
costing judgments. Your budget should also specify the dollar value of 
any in-kind or cash resources that are being applied to your work 
program as a result of leveraging your resources. The leveraging amount 
will be taken into account when rating under Rating Factor 4: 
Leveraging Resources.

[[Page 9661]]

Rating Factor 4: Leveraging Resources--(Involvement of Local 
Government Agencies and the Community in Implementing the Proposed 
Activities) (10 Points)

    This factor addresses your ability to secure community public and 
private resources, which can be combined with HUD program resources to 
achieve the purposes of the DETASS component for which you are seeking 
funds and to improve the effectiveness of your proposed program of 
technical assistance activities. In evaluating this factor, HUD will 
consider:
    The extent to which you have partnered with other entities to 
secure additional resources to increase the effectiveness of your 
proposed program of activities will be taken into account in evaluating 
this factor. HUD will award a higher number of rating points to those 
that leverage the greater amount of resources. Points under this Rating 
Factor will be allocated according to the percentage the leverage 
amount is against the total dollar amount requested. The greater the 
leverage of resources, the higher number of points you will receive.
    Resources may include funding or in-kind contributions such as 
services or equipment allocated to the purposes of the award you are 
seeking. The additional resources may be used to assist your 
organization in providing the TA services or may be directed to target 
recipients of the technical assistance services to enable them to 
implement a local program for which the TA was provided. Resources may 
be provided by government entities, public or private non-profit 
organizations, or other entities willing to partner with you. You may 
also partner with other funding recipients to coordinate the use of 
resources in the target area.
    To receive points for this factor you show evidence of the 
partner's participation in your program as evidenced by your work 
activities with the partner as described in your work plan submitted in 
response to Rating Factor 3 above; the budget you have provided must 
also reflect the leveraging/partnerships by stipulating the leverage 
source and the dollar equivalent of the leveraged resources. You must 
also provide documentation of the commitment by the organization to 
provide the leveraged resources. Such evidence must be a letter from 
the organization, individual or entity providing the resources, the 
name of the entity, the proposed level of commitment and 
responsibilities that they will undertake as part of the work plan; the 
dollar value estimated for the proposed in-kind goods or services and/
or the actual cash provided. The letter must be signed by an official 
of the organization legally able to make commitments on behalf of the 
organization, individual or entity.
    If you do not provide the letter documenting the leveraged 
resources as outlined above, you will receive (0) points for this 
factor.

Rating Factor 5: Comprehensiveness and Coordination (10 Points).

    This factor addresses the extent to which the applicant coordinated 
its activities with other known organizations, participates in a 
Community's Consolidated Planning Process, is aware of the Public 
Housing Authority's Strategic Plan and Drug Elimination Grant Program 
goals and objectives, and is working towards addressing a need in a 
holistic and comprehensive manner through linkages with other 
activities in the community. In evaluating this factor, HUD will 
consider the extent to which the applicant demonstrates it has:
    (1) Coordinated its proposed activities with those of other groups 
or organizations prior to submission in order to best complement, 
support and coordinate all known activities and if funded, the specific 
steps you will take if funded, to share information on solutions and 
outcomes with others. Describe any written agreements, memoranda of 
understanding in place, or that will be in place after award.
    (2) Taken or will take steps to work with recipients of technical 
assistance services to enable them to become actively involved in the 
local Consolidated Planning process (including the Analysis of 
Impediments to Fair Housing Choice) to enable them to bring to the 
attention of local government officials and others outstanding needs/
issues/problems/opportunities related to your achieving the program 
objectives of your DETASS component.
    (3) Taken or will take specific steps to develop linkages to 
coordinate comprehensive solutions through meetings, information 
networks, planning processes or other mechanisms with: Other HUD funded 
projects/activities outside the scope of those covered by the 
Consolidated Plan or within the context of the Public Housing 
Authority's Strategic Plan; and other Federal, State or local 
government funded activities or activities funded by the private 
sector, including foundations and universities, that are proposed or 
on-going in the community that would further the objectives of the 
DETASS component for which you are requesting funding.

VI. Application Submission Requirements

    (A) General. (1) Applicants may submit applications for one or two 
or all three of the DETASS components. However, applicants may not 
submit more than one application for any one of the DETASS components. 
If HUD receives more than one application from the same applicant for 
the same DETASS component, HUD will treat this as a curable deficiency 
under the terms of the curable deficiencies in the General Section of 
the SuperNOFA. Applicants will be asked to identify which application 
should be reviewed by the Department. If the applicant does not respond 
within the cure period, both applications will be rejected. To be 
considered for funding, your application must receive a minimum score 
of 70 out of the possible total of 100 possible points for Factors 1 
through 5.
    (2) In addition to the submission requirements listed in Section IV 
of the General Section of this SuperNOFA, each application must conform 
to the requirements of the Public and Indian Housing Drug Elimination 
Safety and Security Technical Assistance Program. When submitting your 
application please be sure to mark the following sections for ease of 
the reviewer and to put them in the following order: Cover letter 
specifying the you are applying for Drug Elimination Technical 
Assistance for Safety and Security and the program component(s) for 
which you are seeking funding. If you are applying for all three 
components you must specify which two are priority components for 
funding. If submitting your application in conjunction with another 
applicant, or as a consortia you must specify which is the lead 
applicant and your application must be submitted as joint application.
    (B) Application Forms and Information. The following forms and 
information must be submitted with your application and signed by the 
authorized official of the applicant or lead applicant organization. 
The standard forms, certifications, and assurances listed in the 
General Section of the SuperNOFA that are applicable to this funding 
(collectively, referred to as the ``standard forms''). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. (Some programs in this SuperNOFA, in addition to the 
standard forms, use additional forms (i.e., excluding such items as 
narratives to the rating factors, letters, etc.) that are referred to 
as the ``non-standard forms.'' This program

[[Page 9662]]

does not use any non-standard forms). The application items are as 
follows:
    (1) Standard Form 424, Application for Federal Assistance;
    (2) HUD Form 424M, Federal Assistance Funding Matrix;
    (3) Standard Form 424A, Summary Budget Information
    (4) Standard Form 424B for Assurances Non-Construction Programs
    (5) Drug Free Workplace Certification (HUD-50070);
    (6) Certification of Payments to Influence Federal Transactions 
(HUD 50071. If Federal funds were used to lobby on your behalf, you 
must also submit the Certification and Disclosure Form Regarding 
Lobbying (SF-LLL);
    (7) Applicant/Recipient Disclosure/Up-Date Report (HUD 2880);
    (8) Certification Regarding Debarment and Suspension (HUD 2992);
    (9) Narrative Statement Responding to the following Factors for 
Award:

(a) Factor 1--Capacity
(b) Factor 2--Need
(c) Factor 3--Soundness of Approach including your work plan and 
detailed budget identifying activities and tasks and associated budget. 
This budget should identify items by cost category for each DETASS 
component you are seeking funding in accordance with the following:

    (i) Direct Labor by position or individual, indicating the estimate 
hours per position, the rate per hour, estimated cost per staff 
position and the total estimated direct labor cost;
    (ii) Fringe benefit by position or individual identifying the rate, 
the salary base the rate was computed on, estimated cost per position, 
and the total estimated fringe benefit cost;
    (iii) Material costs indicating the item, quantity, unit cost per 
item, estimated cost per item, and the total estimated material cost;
    (iv) Transportation Cost, including the estimated number of trips, 
number of persons traveling per trip, airline or other travel cost 
(gasoline costs should be figured on the government per mile rate), per 
diem rate and total estimated travel costs;
    (v) Equipment charges, if any. Equipment charges should identify 
the type of equipment, quantity, cost, and total estimated equipment 
costs;
    (vi) Consultant costs, if applicable. Indicate the type, estimated 
number of consultant days, rate per day, total estimated consultant 
cost and total estimated costs for all consultants;
    (vii) Subcontract costs, if applicable. Indicate each individual 
subcontract and amount;
    (viii) Direct costs listed by item, quantity, unit cost, total for 
each item listed, total other direct costs for the award;
    (ix) Indirect costs should indicate the type, approved indirect 
cost rate, base to which the rate applies and total indirect costs.
    These line items should total the amount requested for each DETASS 
component and also the grand total for all DETASS components. The 
budget dollars should reflect the funding requested on your HUD-424M--
Federal Assistance Funding Matrix.
    (d) Factor 4--Leveraging Resources including required documentation
    (e) Factor 5--Comprehensiveness and Coordination

VII. Corrections to Deficient Applications

    The General Section of this SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(9), the assistance provided 
under this program relates only to the provision of technical 
assistance and therefore is categorically excluded from the 
requirements of the national Environmental Policy Act and is not 
subject to environmental review under the related laws and authorities. 
This determination is based on the ineligibility of real property 
acquisition, construction, rehabilitation, conversion, leasing or 
repair for HUD assistance under this program.

IX. Authority

    Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988 
(42 USC 11901 et seq.) as amended by section 581 of the National 
Affordable Housing Act of 1990 (Pub. L. 101-625, approved November 28, 
1990), and section 161 of the Housing and Community Development Act of 
1992 (Pub. L. 102-550, approved October 28, 1992). The regulations for 
this program are found in 24 CFR part 761, Drug Elimination Programs.

BILLING CODE 4210-32-P

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FUNDING AVAILABILITY FOR THE NEW APPROACH ANTI-DRUG PROGRAM 
(Formerly known as the Safe Neighborhood Grant Program)

Program Overview

    Purpose of the Program. The purpose of this program is to provide 
funding to owners or managers of certain housing developments to: (1) 
Augment security; (2) assist in the investigation and prosecution of 
drug-related criminal activity in and around the housing developments; 
and (3) provide for the development of capital improvements directly 
relating to the security of the developments. With these grants, HUD is 
taking a comprehensive neighborhood/community-based approach to crime 
prevention. In applying, you will be required to demonstrate that you 
have formed a partnership with units of general local government, 
including the local law enforcement agency, to play key roles in this 
partnership.
    Available Funds. Approximately $27 million.
    Eligible Applicants. Eligible applicants include: units of general 
local government, public housing agencies (PHAs), Indian tribes or 
Tribally Designated Housing Entities (TDHEs), and owners of assisted 
housing developments. To be an eligible applicant, you must be an owner 
of an assisted housing development, as defined in this program section 
of the SuperNOFA. A unit of general local government may qualify if it 
operates an assisted housing development. PHAs, TDHEs and Indian tribes 
are eligible applicants if they own a development with project-based 
Section 8 assistance, as defined in the U.S. Housing Act of 1937, and 
that development is included in the proposed plan and is located in the 
``project area'' targeted to receive grant funds.
    Application Deadline. June 7, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (an original and 
two copies) is due on or before 6:00 pm, local time on June 7, 2000, at 
the address shown below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Submit your completed 
application on or before the application deadline at the local HUD 
Field Office, Attention: Director of Multifamily Housing Programs or, 
in the case of the Native American population, to the local HUD 
Administrator, Area Offices of Native American Programs (AONAPs), as 
appropriate. See Appendix A to the Drug Elimination Grants for 
Multifamily Low Income Housing program section of the SuperNOFA and 
Appendix A to the General Section of the SuperNOFA for lists of local 
HUD Field Offices.
    For Application Kits. For an application kit and any supplemental 
information, please call the SuperNOFA Information Center at 1-800-HUD-
8929. When requesting an application kit, please refer to the New 
Approach Anti-Drug Program, and provide your name, address (including 
zip code) and telephone number (including area code). Persons with 
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. An application kit also will be available on the Internet 
through the HUD web site at http://www.HUD.gov.
    For Further Information and Technical Assistance. If you are 
located East of the Mississippi River, you may contact Darlene Fete, 
Resident Initiative Specialist, U.S. Department of Housing and Urban 
Development, North Carolina State Office, 2306 West Meadowview Road, 
Greensboro, North Carolina 27407, telephone (336) 547-4034 or (336) 
547-4131 (the TTY number), or email [email protected]. If you 
are located West of the Mississippi River, you may contact Deanna 
Beaudoin, Resident Initiatives Specialist, U. S. Department of Housing 
and Urban Development, Colorado State Office, 633-17th Street, Denver, 
Colorado 80202-3607, telephone (303) 672-5343 extension 1162 or email 
[email protected].
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) Available Funding. Approximately $27 million is available for 
funding under the New Approach Anti-Drug Program, as provided in the FY 
2000 HUD Appropriations Act, including FY 1999 carryover funding.
    (B) Maximum Grant Award. The maximum grant award amount is limited 
to $250,000 per application. The amount of funding requested must be 
within this maximum grant award.
    (C) Reduction of Requested Grant Amounts. You may be awarded an 
amount less than requested if: (1) HUD determines that some elements of 
the proposed action plan are ineligible for funding;
    (2) HUD determines the amount requested for an eligible activity 
and/or any budget line item is not cost effective;
    (3) Insufficient amounts remain under the allocation to fund the 
full amount you requested, and HUD determines that partial funding is a 
viable option; or
    (4) HUD determines that a reduced grant would prevent duplicative 
Federal funding.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. (1) Purpose. The purpose of these 
competitive grants is to assist entities managing or operating 
Federally assisted multifamily housing developments, public and Indian 
housing developments (including those Indian housing units formerly 
defined as public housing under section 3 of the U.S. Housing Act of 
1937 and now counted as current assisted stock under the Indian Housing 
Block Grant Program), or other multifamily-housing developments for 
low-income families supported by non-Federal governmental housing 
entities or similar housing developments supported by nonprofit private 
sources, to augment security (including personnel costs), to solve 
security problems in the long-term; assist in the investigation and/or 
prosecution of drug-related criminal activity in and around such 
developments, and provide for capital improvements that comprehensively 
enhance security at these developments.
    Drug-and crime-fighting activities, if only directed to a single 
assisted housing development, may have the unfortunate effect of simply 
moving the problem to nearby housing and businesses. The long term 
solution to the crime problems of assisted housing developments and 
their surrounding neighborhoods rest in a comprehensive approach that 
changes the conditions--and the culture that exists. HUD believes that 
crime fighting efforts are most effective when partnering takes place 
with law-enforcement agencies at various levels and with a full range 
of

[[Page 9666]]

community stakeholders (such as PHAs and TDHEs). Therefore, to address 
crime in a comprehensive manner to receive funding, you must take the 
following actions:
    (a) Have a subgrantee or subrecipient relationship with the local 
police department and the local district attorney or prosecutor's 
office. If the local police department, local district attorney or 
prosecutor's office does not have the legal authority to accept program 
funds or enter into a binding agreement with you, then you must provide 
funds through the unit of general local government--city or county.
    (b) Enter into partnerships with the owners of, and resident 
organizations in, assisted housing developments that receive grant 
funds from you.
    Multifamily housing developments that may lack the ability to 
oversee grant functions may delegate this task to a public housing 
authority or TDHE by making them a ``fiduciary agent'', by signed 
agreement, which must be part of the application.
    (c) Encourage other neighborhood based entities to participate in 
your program of activities through partnership arrangements. Such 
entities are community residents; neighborhood businesses; and non-
profit providers of support services, including faith-based 
organizations and their affiliates.
    (2) Implementation Principles. HUD has established the following 
principles in implementing the New Approach Anti-Drug Program Grants:
    (a) Comprehensive Approach. With these grants, HUD is taking a 
comprehensive neighborhood/community-based approach to crime. The long 
term solution to the crime problems of assisted housing developments 
and their surrounding neighborhoods rests in changing the conditions--
and the culture that exists.
    (b) Required Partnerships. You will be required to demonstrate that 
partnerships have been formed with units of general local government, 
with the local police department and the local district attorney or 
prosecutor's office playing key roles in this partnership. You must 
also form partnerships with the following entities, if they are to 
receive funding from you:
    (i) Owners of assisted housing developments in the targeted 
neighborhood, and
    (ii) Resident organizations of these assisted housing developments.
    (c) Encouraging Partnerships. HUD encourages the use of effective 
working partnerships in new locations to leverage the many Federal 
resources that are available to eliminate crime in and around public 
and assisted housing developments through the Drug Elimination Grant, 
Operation Safe Home, and Weed and Seed programs; and partnering with 
the U.S. Attorney's Office, the Federal Bureau of Investigation, and 
the Drug Enforcement Agency. HUD now wishes to encourage these 
successful partnerships to address similar problems in and around 
privately-owned, Federally assisted housing. In addition to providing 
points for applications which have established these partnerships, HUD 
requires that at least one project in each targeted neighborhood be 
multifamily housing with either:
    (i) A HUD-insured, held, or direct mortgage and Rental Assistance 
Payments (RAP), Rent Supplement, or interest reduction payments, or
    (ii) Section 8 project-based assistance with or without HUD 
interest in the project mortgage.
    This emphasis on HUD assisted privately-owned housing does not 
negate the eligibility of other low-income housing developments 
assisted by Federal, State, and local government, and not-for-profit 
sources to apply for the New Approach Anti-Drug Program. By awarding 
points for neighborhoods with high concentrations of assisted housing, 
HUD is encouraging you to address the needs of multiple assisted 
housing developments which may consist of a mix of ownership types and 
subsidy sources.
    (d) Complying with Civil Rights Requirements. With the very real 
need to protect occupants of HUD-sponsored housing and the areas around 
the housing, the civil rights of all citizens must be protected. Your 
proposed strategies should be developed to ensure that crime-fighting 
and drug prevention activities are not undertaken in such a manner that 
civil rights or fair housing statutes are violated. Profiling on any 
prohibited basis is not allowed. In addition, all segments of the 
population should be represented in developing and implementing crime-
fighting strategies.
    (e) Coordination with Other Law Enforcement Efforts. In addition to 
working closely with residents and local governing bodies, it is 
critically important that owners establish ongoing working 
relationships with Federal, State, and local law enforcement agencies 
in their efforts to address crime and violence in and around their 
housing developments. HUD firmly believes that the war on crime and 
violence in assisted housing can only be won through the concerted and 
cooperative efforts of owners and law enforcement agencies working 
together in cooperation with residents and local governing bodies. HUD 
encourages owners to participate in Departmental and other Federal law 
enforcement agencies' programs such as: Operation Safe Home, Operation 
Weed and Seed through the Department of Justice and the Safe 
Neighborhood Action Program (SNAP). The use of New Approach Anti-Drug 
funds, however, must be part of a comprehensive approach. These funds 
may indirectly support other Federal law enforcement activities 
provided that use is consistent with the comprehensive approach.
    (f) Safe Neighborhood Action Program (SNAP) Grants. (i) The New 
Approach Anti-Drug Program was formerly known as the Safe Neighborhood 
Action Program, announced June 12, 1994 by HUD, the National Assisted 
Housing Management Association (NAHMA), and the U.S. Conference of 
Mayors (USCM). The New Approach Anti-Drug Program was expanded from the 
SNAP Program to include funds to augment security; assist in the 
investigation and prosecution of drug related criminal activity in and 
around the housing developments; and provide for the development of 
capital improvements directly related to the security of the 
developments. SNAP is an anti-crime and empowerment strategies 
initiative in HUD assisted housing neighborhoods in 14 SNAP cities. The 
major thrust of SNAP is the formation of local partnerships in 14 
targeted cities where ideas and resources from government, owners and 
managers of assisted housing, residents, service providers, law 
enforcement officials, and other community groups are used to meet to 
work on innovative, neighborhood anti-crime strategies.
    (ii) There is no funding associated with SNAP, which relies on 
existing ideas and resources of the participants. Some common 
initiatives from these SNAP teams have included the following: 
community policing, crime watch programs, tenant selection policies, 
leadership training, individual development or job skills training, 
expansion of youth activities, police tip line or form, community 
centers, anti-gang initiatives, police training for security officers, 
environmental improvements, and a needs assessment survey to determine 
community needs.
    (iii) In addition, a HUD-sponsored initiative to increase the 
presence of AmeriCorps' Volunteers in Service to America (VISTAs) in 
assisted housing units has led to the placement of 25 VISTAs on 12 SNAP 
teams. The AmeriCorps VISTA program, which incorporates a theme of 
working within the community to find solutions to

[[Page 9667]]

community needs, has provided additional technical assistance to the 
SNAP teams.
    (iv) The cities participating in the SNAP initiative include: 
Atlanta, GA; Boston, Mass; Denver, CO; Houston, TX; Newark, NJ; 
Philadelphia, PA; Baltimore, MD; Columbus, OH; Detroit, MI; Los 
Angeles, CA; New Orleans, LA; Little Rock and North Little Rock, AR; 
Richmond, VA; and Washington, DC.
    (v) For more information on SNAP, contact Henry Colonna, National 
SNAP Coordinator, Virginia State Office, 3600 West Broad Street, 
Richmond, VA 23230-4920; telephone (804) 278-4500, extension 3027; or 
(804) 278-4501 (TTY). For more information on AmeriCorps' VISTAs in 
Assisted Housing, contact Deanna E. Beaudoin, National VISTAs in 
Assisted Housing Coordinator, Colorado State Office, First Interstate 
Tower North, 633 17th Street, Denver, CO 80202; telephone (303) 672-
5291, extension 1068; or (303) 672-5248 (TTY). These numbers are not 
toll-free.
    (3) Definitions. Assisted Housing Development. For purposes of this 
program, the term ``assisted housing development'' means five or more 
dwelling units in a building or five or more adjoining, adjacent, or 
scattered site (within a single neighborhood) dwelling units, having 
common ownership and project identity. Some or all of the units must be 
receiving a project-based subsidy from a unit of government at the 
Federal, State, or local level, or from a private nonprofit entity. 
This subsidy must be associated with a requirement and/or contractual 
agreement that all or a portion of the units be occupied by households 
with incomes at or below those of families at the low-income limit as 
defined by the United States Housing Act of 1937.
    Assisted Housing Unit. For purposes of this program, the term 
``assisted housing unit'' means a unit within an assisted housing 
development for which occupancy is restricted to households with 
incomes at or below that of ``low-income families'' as defined by the 
U.S. Housing Act of 1937, and rents are restricted to amounts that the 
owner/operator entity determines to be affordable.
    Augmented Services. For purposes of this program, augmented 
services are activities which exceed current levels of services or 
``baseline'' services provided by any other parties signing the 
memorandum of understanding required for this program.
    Drug-related crime. For purposes of this New Approach Anti-Drug 
Program, the term ``drug-related crime'' means drug-related crime as 
defined in 42 U.S.C. 11905(2) and Part I Crime and Part II Crime as 
defined by the Uniform Crime Reporting System.
    Eligible project area. For purposes of the New Approach Anti-Drug 
Program, the term ``neighborhood'' means a geographic area within a 
jurisdiction of a unit of general local government designated in 
comprehensive plans, ordinances, or other local documents as a 
neighborhood, village, or similar geographical designation. If, 
however, the unit of general local government has a population of less 
than 25,000 persons, then ``neighborhood'' means the entire 
jurisdiction of the unit of general local government. A project area 
must include at least one assisted housing development under:
    (i) Section 221(d)(3), section 221(d)(4), or section 236 of the 
National Housing Act (12 U.S.C. 1715l, 1715z-1), provided that such 
development has been provided a Below Market Interest Rate mortgage, 
interest reduction payments, or project-based assistance under Rent 
Supplement, Rental Assistance Payments (RAP) or Section 8 programs. An 
FHA-insured project that has no project-based subsidy does not qualify 
as an assisted housing unit for eligibility even if it houses tenants 
receiving tenant-based assistance, such as Section 8 rental vouchers or 
certificates.
    (ii) Section 101 of the Housing and Urban Development Act of 1965 
(12 U.S.C. 1701s); or
    (iii) Section 8 of the United States Housing Act of 1937 (42 U.S.C. 
1437f). This includes housing with project-based Section 8 assistance, 
whether or not the mortgage was insured by HUD-FHA. This does not 
include projects which receive only Section 8 tenant-based assistance 
(i.e., certificates or vouchers).
    Project-based Subsidies. For purposes of this program, the term 
``project-based subsidies'' means financial assistance that is 
initially designated and assigned by the funding source specifically 
for the project rather than to eligible assisted resident households 
which might also benefit from these subsidies, and provided on a one 
time up-front or on a periodic basis to the project or its owner to 
write down, subsidize, or waive project development costs, costs of 
financing, project operating costs (which include but are not limited 
to the following types of expenses: utilities, taxes, fees, maintenance 
and debt service payments), owner taxes, unit rent levels, or tenant 
rent payments.
    (B) Eligible Applicants. (1) General. (a) Eligible applicants are 
as follows: (i) The owner of a federally-assisted housing development. 
If you are a unit of general local government you do not need to be the 
owner, but must be the operator of such housing. (A TDHE is not a unit 
of general local government.);
    (ii) The owner of an assisted housing development that is assisted 
by a non-Federal governmental entity or similar housing development 
supported by nonprofit sources. If you are a unit of general local 
government, you do not need to be the owner, but must be the operator 
of such housing;
    (iii) PHAs, TDHEs, and Indian tribes are eligible applicants if 
they own a development with project-based Section 8 assistance, as 
defined in the U.S. Housing Act of 1937, and that development is 
included in the proposed plan and is located in the ``project area'' 
targeted to receive grant funds. If you do not own such an assisted 
housing development, you may still participate in the New Approach 
Anti-Drug Program as a subgrantee or subrecipient of an eligible 
applicant; or
    (b) The development that makes you eligible must be in the 
neighborhood to be assisted; and
    (c) You may not have any outstanding findings of civil rights 
violations. (See Section II(B) of the General Section of this 
SuperNOFA.)
    (2) Lead Applicant. Two or more eligible applicants may file a 
joint application. If filing jointly, you must designate one entity to 
be the lead applicant. The lead applicant will be the grantee if HUD 
funds your application.
    (C) Memorandum of Understanding. You must include with your 
application a Memorandum of Understanding (MOU) that you have entered 
into with each required party. (See Section III(B) of this program 
section of the SuperNOFA). A draft MOU may be acceptable in only a few 
circumstances. You must provide a detailed explanation why a draft MOU 
is being presented in your application. You must indicate that the 
draft MOU is contingent upon HUD funding the grant. If a draft MOU is 
submitted in the grant application, the finalized MOU must be submitted 
to the local HUD Field Office within 15 calendar days after HUD's 
announcement of the award. The finalized MOU must be exactly the same 
as the draft MOU included in your application. The MOU may indicate the 
agreement is subject to the actual receipt of funds from HUD.
    (1) Required Parties to the MOU. In addition in order to receive 
full points in the Rating Factor for a New Approach Anti-Drug grant:
    (a) You MUST sign a MOU that provides funds through a subgrantee or 
subrecipient relationship with the following two entities:

[[Page 9668]]

    (i) The local police department; and
    (ii) The local the local prosecutor's office (district attorney).
    (b) The two parties signing the MOU must have the legal authority 
to enter into a binding agreement with you. These two entities must 
have jurisdiction in your project area
    (2) Content of MOU. This MOU must commit these entities to actively 
support the grant project in partnership with you. The MOU must also 
describe:
    (a) The level of current services (baseline) being provided by 
these entities;
    (b) The level of services above this baseline which the entities 
are committed to providing in support of your grant;
    (c) The amount of time to be devoted to the activities by each 
party;
    (d) The skills each party brings to assist in implementation of 
your specific action plan activities.
    Your MOU will be taken into account in reviewing and rating your 
application, so you should strive to be as specific as possible in your 
MOU document.
    (3) Partnerships are encouraged. We encourage you to partner with 
other appropriate neighborhood and community stakeholders, including: 
neighborhood businesses and business associations; nonprofit service 
providers; neighborhood resident associations; and faith communities or 
religious institutions. You are encouraged to enter into MOUs with 
these entities however an MOU is not required.
    (D) Eligible Project Areas. (1) HUD will award one grant per 
project neighborhood. The project area must be a ``neighborhood.''
    (2) The project area must include at least one assisted housing 
development. See definition in Section III(A)(1) of this program 
section of the SuperNOFA.
    (3) You must provide documentation of the population used to define 
eligibility as a neighborhood. The documentation may include census 
data or documentation provided by local government officials or by 
HUD's Community 2020 program, available by calling 1-800-998-9999, 
(there may be a charge to you for this information).
    (E) Eligible Activities. The following is a listing of eligible 
activities under this program and guidance as to their parameters: (1) 
Augmenting Security (Including Personnel).
    (a) General. You must document in your MOU(s) all security services 
above baseline established in your MOU. Anyone providing augmented 
security services must have liability insurance.
    (b) Baseline Services. Additional security services are permitted 
but must be over and above the local police department's current level 
of baseline services. If you are seeking funding for augmenting 
security, you must describe the local police department's current level 
of baseline services to the neighborhood (including ordinary and 
routine services, patrols, police officer responses to 911 
communications and other calls for services, and investigative follow-
up of criminal activity). Your description of baseline services must 
include the number of officers and the actual percent of their time 
assigned to the development(s) proposed for funding. For a proposed 
activity to be considered eligible as an augmented security activity, 
you must demonstrate to what extent the proposed funded activity will 
represent an increase over and above the baseline.
    (c) Police Presence. You may reimburse local law enforcement 
entities for the costs of additional police presence (police salaries 
and other expenses directly related to additional police presence or 
security that is over and above baseline services) in and around 
assisted housing developments in the neighborhood. Of the funds devoted 
to additional police presence, at least 70 percent of such reimbursed 
costs must be for police presence in assisted housing developments 
served and the remaining 30 percent must be for police presence around 
the assisted housing neighborhood area.
    HUD is strongly encouraging that additional law enforcement in the 
assisted housing developments and surrounding neighborhoods be targeted 
to implementing an overall proactive crime fighting strategy, rather 
than merely responding to crime emergencies. Two potentially effective 
anti-crime strategies that can benefit from additional police presence 
are:
    (i) Combined multi-agency task force initiatives, in which local 
and Federal law enforcement agencies pool resources, first, to 
infiltrate organizations that promote violent and/or drug-related crime 
in the neighborhood and, second, to initiate strategic and coordinated 
mass arrests to break up these organizations; and
    (ii) Community policing (i.e., sustained proactive police presence 
in the development or neighborhood, often conducted from an on site 
substation or mini-station, that involves crime prevention, citizen 
involvement, and other community service activities, as well as 
traditional law enforcement).
    If reimbursement is provided for community policing activities that 
are committed to occur over a period of at least 3 years and/or are 
conducted from a police substation or administration within the 
neighborhood, the costs during the grant period of constructing such a 
station or of equipping the substation with communications and security 
equipment to improve the collection, analysis and use of information 
about criminal activities in the properties and the neighborhood may be 
reimbursed.
    (d) Security Services Provided by Other Entities (such as the Owner 
of an Assisted Housing Development). (i) The activities of any contract 
security personnel funded under this Program must be coordinated with 
other law enforcement and crime prevention efforts under your proposed 
action plan. You must describe in your action plan your efforts to 
achieve this coordination. The coordination efforts must include 
frequent periodic scheduled meetings of security personnel with housing 
project management and residents, local police and, as appropriate, 
with other public law enforcement personnel, neighboring residents, 
landlords, and other neighborhood stakeholders. Any contract security 
personnel funded under this Program must meet State and local licensing 
requirements.
    (ii) You may only contract with a security service provider that 
has a policy manual that directs the activities of its personnel and 
contains the policies, procedures, and general orders that regulate 
conduct and describe in detail how jobs are to be performed. If you use 
your own staff to provide security services, then you must have such a 
policy manual.
    (2) Enhancing the Investigation and Prosecution of Drug-Related 
Crime. (a) Reimbursement of State and Local Law Enforcement Agencies. 
As the grantee, you may reimburse local or State prosecuting offices 
and related public agencies for activities, other than salaries or 
ineligible activities in Section III(G) of this program section of the 
SuperNOFA, related to the prosecution or investigation of crime 
committed in the neighborhood identified in your application. These 
costs are subject to a cost reimbursement agreement. Reimbursement must 
be for costs over and above what the office or agency incurred for such 
purposes for crimes committed in the same neighborhood during the 
period equal in length and immediately before the period of 
reimbursement. For any grant, at least 70 percent of reimbursed costs 
must be in connection with crimes committed in and around the assisted 
housing developments and the remainder of reimbursed costs directly 
related to

[[Page 9669]]

crime committed within the neighborhood.
    (b) Hiring of Private Investigator Services. You may use grant 
funds to hire private investigator services to investigate crime in and 
around an assisted housing development and the surrounding 
neighborhood. You must explain why local law enforcement services are 
inadequate and justify the need for hiring private investigator 
services.
    (3) Capital Improvements to Enhance Security. You may use grant 
funds for capital improvements to enhance security. You should, 
however, consider using other sources of funding for this purpose. 
These improvements must be accessible to persons with disabilities. For 
example, locks or buzzer systems that are not accessible to people with 
restricted or impaired strength, mobility, or hearing may not be funded 
by your grant. Capital improvements to implement defensible space 
concepts in the design and implementation of your enhanced security 
measures are eligible provided such design elements permit 
accessibility and visibility by persons with disabilities. Capital 
improvements to enhance security or crime prevention through 
environmental design, must comply with civil rights requirements and 
cannot exclude or segregate persons based upon their race, color, or 
national origin from benefits, services, and other terms and conditions 
of housing. Under the selection criterion entitled ``Quality of Plan,'' 
HUD will reward capital improvements to enhance the security of an 
entire neighborhood as opposed to specific projects at the expense of 
other dwellings in the neighborhood. The capital improvements may 
include, but are not limited to:
    (a) New construction or rehabilitation of structures housing police 
substations or mini-stations;
    (b) Installation of barriers (including speed bumps and fences) and 
appropriate use of close circuit television (CCTV), provided any 
barriers make reasonable accommodations for persons with disabilities;
    (c) Improved door or window security such as locks, bolts, or bars;
    (d) Landscaping or other reconfiguration of common areas to 
discourage drug-related criminal activities; and
    (e) Establishment of a Neighborhood Networks center and augmenting 
existing centers. The costs to develop and establish a new Neighborhood 
Network center must not exceed $25,000 of the grant funds awarded by 
HUD.
    If there is an established Neighborhood Networks center you may 
include up to $15,000 for the center for further crime prevention 
activities, such as additional mentoring and/or tutorial education 
programs, improving job skill programs, home buyer education, and 
resident participation in law enforcement community outreach activities 
such as DARE days and the local office of the FBI's Race Against Drugs 
activities, etc. No grant funds will be approved for expenditure until 
the local HUD Field Office approves the Neighborhood Network business 
plan for the Neighborhood Networks center. A sample of the Neighborhood 
Network business plan may be found on the Neighborhood Networks web 
page at www.neighborhoodnetworks.org.
    (F) Ineligible Activities. In addition to the ineligible activities 
mentioned elsewhere in this program section of the SuperNOFA, New 
Approach Anti-Drug Program Grant funding is not permitted for any of 
the activities listed below, unless otherwise specified in this program 
section of the SuperNOFA:
    (1) Treatment or intervention activities;
    (2) Costs incurred before the effective date of the grant 
agreement, including but not limited to consultant fees related to the 
development of your application or the actual writing of your 
application;
    (3) Purchase of controlled substances for any purpose. Controlled 
substance has the meaning provided in section 102 of the Controlled 
Substance Act (21 U.S.C. 802);
    (4) Compensating informants, including confidential informants. 
These should be part of the baseline services provided and budgeted by 
local law enforcement agencies; or
    (5) Although participation in activities with Federal drug 
interdiction or drug enforcement agencies is encouraged, these grant 
funds may not be transferred to any Federal agency.
    In addition, profiling on any prohibited basis is not allowed.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, grantees must meet the following program 
requirements. These requirements apply to all activities, programs, or 
functions used to plan, budget, implement, and evaluate the work funded 
under this program.
    (A) Grant Agreement. After applications have been ranked and 
selected, HUD and a successful applicant will enter into a grant 
agreement setting forth the amount of the grant, the physical 
improvements or other eligible activities to be undertaken, financial 
controls, and special conditions, including sanctions for violation of 
the agreement. The Grant Agreement will incorporate your HUD approved 
application as may be amended by any special condition in the Grant 
Agreement. HUD will monitor your grant using your Grant Agreement to 
ensure that you have achieved commitments set out in your approved 
grant agreement. Failure to honor such commitments would be the basis 
for HUD determining your default of the Grant Agreement, and exercising 
available sanctions, including grant suspension, termination, and/or 
the recapture of your grant funds.
    (B) Requirements Governing Grant Administration, Audits and Cost 
Principles. The policies, guidelines, and requirements of this program 
section of the SuperNOFA, 48 CFR part 31, 24 CFR parts 44, 45, 84 and/
or 85, OMB Circulars A-87 and/or A-122, other applicable 
administrative, audit, and cost principles and requirements, and the 
terms of grant/special conditions and subgrant agreements apply to your 
acceptance and use of funds. The requirements cited above, as 
applicable, must be followed in determining procedures and practices 
related to the separate accounting of grant funds from other grant 
sources, personnel compensation, travel, procurement, the timing of 
drawdowns, the reasonableness and allocation of costs, audits, 
reporting and closet, budgeting, and preventing conflict of interests 
or duplicative charging of identical costs to two different funding 
sources. All costs must be reasonable and necessary.
    (C) Term of Grant. Your grant funds must be expended within 24 
months after HUD executes a Grant Agreement with you. There will be no 
extensions or waivers of this grant term. Any remaining grant funds 
will be recaptured.
    (D) Subgrants and Subcontracting. (1) In accordance with your 
approved grant agreement, you may directly undertake any of the 
eligible activities under this program section of the SuperNOFA, you 
may contract with a qualified third party, or you may make a subgrant 
to any entity approved by HUD as a member of the partnership, provided 
such entity is a unit of government, a prosecutor's office, a police 
department or a TDHE; is incorporated as a not-for-profit organization; 
or is an incorporated for-profit entity that owns and/or manages an 
assisted housing project benefiting from the grant. Multifamily housing 
agents/owners are authorized to make a PHA or THDE their Fiduciary 
Agent, if the PHA and/or the THDE has the capacity to implement, 
oversee and close out the grant activities. Resident

[[Page 9670]]

groups that are not incorporated may participate in the implementation 
of the program, but may not receive funds as subgrantees. For-profit 
organizations other than owners or managers of an assisted housing 
development benefiting from the grant that have been approved by HUD as 
part of the partnership may only receive grant funds subject to the 
applicable Federal procurement procedures (See 24 CFR parts 84 or 85).
    (2) Subgrants may be made only under a written agreement executed 
between you, the grantee, and your subgrantee. The agreement must 
include a program budget that is acceptable to you, and that is 
consistent with the eligible activities and requirements. The agreement 
must require the subgrantee to permit you to inspect your subgrantee's 
work and to follow applicable OMB and HUD administrative requirements, 
audit requirements, and cost principles, including those related to 
procurement, drawdown of funds for immediate use only, and accounting 
for the use of grant funds and implementation of program activities. In 
addition, your subgrant must describe the nature of the activities to 
be undertaken by the subgrantee, the scope of the subgrantee's 
authority, and the amount of any insurance to be carried by you and the 
subgrantee to protect your respective interests.
    (3) You are responsible for monitoring, and for providing technical 
assistance to, any subgrantee to ensure compliance with applicable HUD 
and OMB requirements. You must also ensure that subgrantees have 
appropriate insurance liability coverage.
    (E) Ineligible Contractors. The provisions of 24 CFR part 24 
relating to the employment, engagement of services, awarding of 
contracts or funding of any contractors or subcontractors during any 
period of debarment, suspension, or placement in ineligibility status 
apply to this grant.
    (F) Section 3 Economic Opportunity. See Section II(E) of the 
General Section of the SuperNOFA. The requirements of section 3 of the 
Housing and Urban Development Act of 1968 apply to some of the 
activities that may be funded under this program section of the 
SuperNOFA.
    (G) Drawdown of Grant Funds. You will be required to access your 
grant funds through HUD's Line of Credit Control System-Voice Response 
System in accordance with procedures for minimizing the time lapsing 
between drawdowns and use of funds for eligible purposes as described 
in 24 CFR parts 84 and/or 85, as applicable. If HUD changes the 
procedures for the draw of grant funds, HUD will notify you through the 
issuance of a grant amendment.
    (H) Reports and Closeout. If you receive a grant, you will be 
required to submit to HUD a semi-annual progress report (Form 269). The 
narrative of the Form 269 must be sent in a format prescribed by HUD 
that indicates program expenditures and measures performance in 
achieving goals. At grant completion, you will be required to 
participate in a closeout process which shall include a final report in 
a format prescribed by HUD that reports final program expenditures and 
measures performance in achieving program goals. Closeout will 
culminate in a closeout agreement between you and HUD and, when 
appropriate, in the return of grant funds which have not been expended 
in accordance with applicable requirements, or which may be remaining 
after all activities have been completed and paid for.
    (I) Suspension or Termination of Funding. HUD may suspend or 
terminate funding if you fail to undertake the approved program 
activities on a timely basis in accordance with your grant agreement, 
adhere to grant agreement requirements or special conditions, or submit 
timely and accurate reports.
    (J) Affirmatively Furthering Fair Housing. You must address Section 
II(D) of the General Section of the SuperNOFA. You must also reference 
the certifications listed in Section II (G) the General section of the 
SuperNOFA.

V. Application Selection Process

    (A) Rating and Ranking. Your application can only be rated if you 
are an eligible applicant and you are in compliance with the 
requirements of the General Section of the SuperNOFA.
    (1) HUD will evaluate all eligible applications based on the 
factors for award identified in this Section V.
    (2) After the applications have been scored, HUD will rank them on 
a national basis. An application must receive a score of at least 70 
points, excluding the EZ/EC and Dallas bonus points to be eligible for 
funding. Awards will be made in ranked order until all funds are 
expended.
    (3) In the event of a tie, HUD will select the applicant with the 
highest score in Rating Factor 1. If Rating Factor 1 is scored 
identically, the scores in Rating Factors 2, 3 and 4 will be compared 
in that order, until one of the applications receives a higher score. 
If both applications still score the same then the application which 
requests the least funding will be selected to promote the more 
efficient use of resources.
    (B) Factors For Award To Evaluate and Rank Applications. The 
maximum number of points for this program is 102 (except for an 
application submitted by the City of Dallas, Texas which would be 
eligible for a maximum of 104 points in accordance with Rating Factor 
3, paragraph (7), below. This includes two EZ/EC bonus points, as 
described in the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which you have proper 
organizational resources necessary to successfully implement the 
proposed New Approach Anti-Drug Program activities in an effective, 
efficient, and timely manner. In rating this factor, HUD will consider 
the extent to which the application demonstrates the capabilities 
described below:
    (1) (5 Points) The applicants' administrative capacity to implement 
the grant. HUD will award points based on the quality and amount of 
staff allocated to the grant activity by you; the anticipated 
effectiveness of your systems for budgeting, procurement, drawdown, 
allocation, and accounting for grant funds and matching resources in 
accordance with OMB administrative requirements; and the lines of 
accountability for implementing your grant activity, coordinating your 
partnerships, measuring the effect of the expenditure of grant funds 
and ensuring that you and your MOU partners' commitments will be met. 
You must include in your narrative a discussion of financial capacity, 
staff resources, and prior experience that will enable you to 
effectively administer the grant and meet reporting requirements. This 
narrative must not exceed five pages. For an owner of an assisted 
housing development that is HUD-insured, HUD will consider the most 
recent Management Review (including Rural Housing Management Review), 
HUD's Uniform Physical Condition Standards review (as codified in 24 
CFR part 5 subpart G), State Agency review and such other relevant 
information available to HUD on the capacity of the owner and manager 
to undertake the grant. You must include a copy of the most recent 
management review (not a physical inspection report) for the 
development to be served by your grant. These documents will not be 
counted against your 5 page narrative limitation.
    (2) (15 points) The applicant's performance in administering Drug 
Elimination grants and/or other Federal,

[[Page 9671]]

State, or local grants of similar size and complexity during the last 3 
years. In assessing this factor, HUD will verify you and your partners' 
successful experience and performance based on information on file with 
HUD and will consider the following factors with the indicated total 
available points:
    (a) (5 Points) Your successful experience combined with your MOU 
partners' successful experience in utilizing similar strategies to 
alleviate crime. You must identify your participation in HUD grant 
programs within the last three years and discuss the degree of your 
success in implementing planned activities measuring progress towards 
achieving program goals and objectives; timely drawdown of funds; 
timely submission of required reports and ability to complete 
activities on time and within budget; what if any audit findings were 
noted; whether there was audit compliance; whether there are and the 
extent of any unresolved findings and/or outstanding recommendations 
from prior HUD reviews or audits undertaken by HUD, HUD-Office of 
Inspector General, the General Accounting Office (GAO) or independent 
public accountants (IPAs). To receive maximum points under this 
section, you must have worked in partnership with one or more of your 
MOU partners (or two or more of your MOU partners may have worked 
together in partnership) using similar strategies to reduce crime in 
and around assisted housing developments. To demonstrate success in 
implementing past projects, you must identify the reduction in the 
occurrence of the types of crime as indicated in Rating Factor 2 of 
this program section of the SuperNOFA. In the absence of previous 
partnerships, your capacity will weigh more heavily than the experience 
of any of your partners, in HUD's assignment of points under this 
subfactor.
    (b) (4 Points) Your performance in administering other Federal, 
State or local grant programs. You must identify your participation in 
HUD grant programs within the preceding three years, and discuss the 
degree of your success in implementing and managing these grant 
programs. This includes implementation, timely drawdown of funds, 
timely submission of required drawdown of funds, timely submission of 
required reports with satisfactory outcomes related to the plan and 
timetable, audit compliance and other HUD reviews.
    (3) (6 Points) The strength of the applicants' partnership as it 
relates to eliminating the crime problem identified in Rating Factor 2. 
HUD will award points in this area based on the strength of resource 
commitments identified in your MOUs in terms of the amount of staff, 
time, money, or other assets committed by each MOU party toward 
implementing your program. Your description should include the 
following:
    (a) Identification of the skills each party will bring to help 
successfully implement your program and the firmness of the 
commitments;
    (b) evidence of your MOU partners' (and project tenants') pre-
application role in developing the plan and prospective role in program 
implementation;
    (c) Indications of the capacity of the assisted housing 
developments' ownership and management (based on available management 
reviews by governing public entities) to undertake their share of 
responsibilities in the partnership (including evidence of whether 
management carefully screens applicants for units and takes appropriate 
steps to deal with tenants known to exhibit or suspected of exhibiting 
criminal behavior) and to cooperate with law enforcement actions on 
their project premises;
    (d) The willingness of the unit of general local government to use 
its prosecutor's office as its lead agency in implementing the grant;
    (e) Participation of additional partners other than those required 
to sign MOUs (for example, neighborhood business organizations); and
    (f) The effectiveness of the partnership structure.

Rating Factor 2: Need/Extent of the Problem (25 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities to address the documented 
degree of the severity of the drug-related crime problem in the project 
area proposed for funding. Any collection of data should include 
summaries at the beginning of the data. In responding to this factor, 
HUD will evaluate the extent to which you have explained a critical 
level of need for your proposed activities and have indicated the 
urgency of meeting the need in the target area. You must include a 
description of the extent and nature of drug-related crime ``in and 
around'' the housing units or developments proposed for funding.
    To the extent that you can provide objective crime data specific to 
the community or targeted development proposed for funding, your 
application is eligible to be awarded up to the full 25 points. If you 
do not provide documented objective crime data specific to the 
community or targeted development proposed for funding, your 
application is only eligible to receive up to 15 points for this 
factor.
    You will be evaluated on the following:
    (1) (25 points) ``Objective Crime Data'' relevant to the target 
area. Your application must include the most current and specific Part 
I Crime data and relevant Part II Crime data available from the FBI's 
Uniform Crime Reporting Program (UCR) system or the local law 
enforcement's crime statistics. Part I Crimes include: homicide; rape; 
robbery; aggravated assault; burglary; larceny; auto theft; and arson. 
Part II drug-related crimes include: drug abuse violations; simple 
assault; vandalism; weapons violations; and other crimes which you are 
proposing to be targeted as part of your grant. In assessing this 
subfactor, HUD will consider the extent of specificity that the 
statistical data is provided (e.g., data specific to the neighborhood 
covered by your application). These data must consist of verifiable 
records and not anecdotal reports. Where appropriate, the statistics 
should be reported both in real numbers and as an annual percentage of 
the residents in each development (e.g., 20 arrests in a two-year 
period for distribution of heroin in a development with 100 residents 
reflects a 20% occurrence rate). These data may include:
    (a) Police records or other verifiable information from records on 
the types or sources of drug related crime in your targeted 
developments and surrounding area;
    (b) The number of lease termination's or evictions for drug-related 
crime at your targeted developments; and
    (c) The number of emergency room admissions for drug use or that 
result from drug-related crime. Such information may be obtained from 
police departments and/or fire departments, emergency medical service 
agencies and hospitals. The number of police calls for service from 
housing authority developments that include resident initiated calls, 
officer-initiated calls, domestic violence calls, drug distribution 
complaints, found drug paraphernalia, gang activity, graffiti that 
reflects drugs or gang-related activity, vandalism, drug arrests, and 
abandoned vehicles.
    For PHAs, such data should include housing authority police records 
on the types and sources of drug related crime ``in and around'' 
developments as reflected in crime statistics or other supporting data 
from Federal, State, Tribal or local law enforcement agencies.

[[Page 9672]]

    If you submit objective data you do not need to submit other crime 
data. You should include summaries with the objective data that 
establish the drug related crime problem.
    (2) (15 Points) Other Crime Data--Other supporting data on the 
extent of drug-related crime. To the extent that objective data as 
described above may not be available, you must use data from other 
verifiable sources that have a direct bearing on drug related crime in 
the developments proposed for assistance under this program. You must 
use data from other verifiable sources that have a direct bearing on 
drug-related crime in the developments proposed for assistance under 
this program. However, to qualify for points your application must 
indicate the reasons why you could not obtain objective data and what 
efforts you made to obtain it and what efforts you will make during the 
grant period to begin obtaining the data. Examples of the data should 
include (but are not necessarily limited to):
    (a) Surveys of residents and staff in your targeted developments 
surveyed on drug-related crime or on-site reviews to determine drug/
crime activity; and government or scholarly studies or other research 
in the past year that analyze drug-related crime activity in the 
targeted developments.
    (b) Vandalism cost at your targeted developments, including 
elevator vandalism (where appropriate) and other vandalism attributable 
to drug-related crime.
    (c) Information from schools, health service providers, residents 
and Federal, State, local, and Tribal officials, and the verifiable 
opinions and observations of individuals having direct knowledge of 
drug-related crime and the nature and frequency of these problems in 
developments proposed for assistance. (These individuals may include 
Federal, State, Tribal, and local government law enforcement officials, 
resident or community leaders, school officials, community medical 
officials, substance abuse, treatment (dependency/remission) or 
counseling professionals, or other social service providers.)
    (d) The school dropout rate and level of absenteeism for youth that 
you can relate to drug-related crime. If crime or other statistics are 
not available at the development or precinct level, you must use other 
verifiable, reliable and objective data; and
    (e) To the extent that your community's Consolidated Plan 
identifies the level of the problem and the urgency in meeting the 
need, references to the Consolidated Plan should be included in your 
response. HUD will review more favorably those applicants who used the 
Consolidated Plan to identify need, when applicable.

Rating Factor 3: Soundness of Approach (Quality of the Plan) (35 
Points)

    This factor addresses the quality and anticipated effectiveness of 
your proposed action plan using grant funds and other resources in 
taking a comprehensive community-based approach toward the problem of 
drugs and drug-related crime in the neighborhood identified in your 
application.
    Your application must include an action plan for crime reduction 
and elimination efforts, describing in detail: the specific activities 
to be undertaken; the parties responsible for or involved in the 
activities for each development proposed for assistance; and the dollar 
amount and extent of resources committed to each activity or service 
proposed.
    In evaluating this factor, HUD will consider the following:
    (1) (25 Points) The quality and comprehensiveness of your action 
plan to address the drug-related crime problem and the problems 
associated with drug-related crime in the developments proposed for 
funding. You must includes a description of your plan's anticipated 
effectiveness in reducing or eliminating drug-related crime problems 
immediately and over an extended period, as evidenced by:
    (a) The extent to which your proposed activities provide services 
over the existing baseline of services currently provided to the 
project area;
    (b) The extent to which the activities of the two required MOU 
entities are comprehensive and, as result of collective actions, will 
effectively work together. If you provide for a comprehensive approach, 
you will receive a higher number of rating points. HUD will provide 
only one-half of the eligible points under this subfactor if your 
application only includes an MOU with either:
    (i) The local law enforcement entity; or
    (ii) The local prosecutor (district attorney) with jurisdiction 
over the neighborhood identified in your application. If you include no 
MOUs with either party, you will receive zero points.
    (c) The extent to which you have partnered with appropriate 
neighborhood and community stakeholders;
    (d) The extent to which the resources allocated and the budget 
proposed are adequate to conduct the work plan as proposed; and
    (e) Your rationale for the proposed activities and methods and why 
you believe the activities will be effective in reducing drug use and 
drug-related crime. If you are proposing new methods for which there is 
limited knowledge of the effectiveness, you should provide the basis 
for modifying past practices and rationale for why you believe the 
modification will yield more effective results.
    (2) (10 Points) The adequacy of the process you will use to 
collect, maintain, analyze and report Part I and II crimes as defined 
by the Uniform Crime Reporting (UCR System), as well as police workload 
data. The process must include the collection of police workload data 
such as, but not limited to, all calls for service at the housing 
authority by individual development, patterns over a period of time, 
type of crime, and plans to improve data collection and reporting. Your 
proposed analysis of the data collected should include a method for 
assessing the impact of grant activities on the collected crime 
statistics on an on-going basis during the award period.
    (3) Up to two (2) additional points will be awarded to any 
application submitted by the City of Dallas, Texas, to the extent this 
subfactor is addressed. Due to 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's consideration 
of this subfactor will consider the extent to which the applicant's 
plan for the use of New Approach Anti-Drug funds will be used to 
eradicate the vestiges of racial segregation in the Dallas Housing 
Authority's programs consistent with the Court's order.

Rating Factor 4: Leveraging Resources (Support of Residents, the 
Local Government and the Community in Planning and Implementing the 
Proposed Activities and Interagency Activities) (10 Points)

    This factor addresses your ability to secure community and 
government resources, in-kind services from local governments, non-
profit entities, including resident organizations, for-profit entities, 
or private organizations to be combined with HUD's program resources to 
achieve program purposes. To be considered as documented evidence of 
leveraging, you must submit a letter signed by the organization head 
authorized to commit the organization which details the amount of funds 
or type of services to be provided. The letter also must identify the 
dollar value

[[Page 9673]]

of any services or goods in lieu of a cash contribution. Therefore, in 
responding to the factor you must translate the time or services 
provided into a dollar value. This dollar value will be added to any 
cash funding commitments identified as part of your leveraging of 
funds. For example, if you are receiving a donation of security alarm 
systems, you should indicate the number of security systems to be 
provided and give a dollar value for those alarm systems. The value 
will be added to any cash contributions you have noted from others. The 
letter may indicate that the commitment is predicated on the applicant 
receiving the grant from HUD. In assessing this factor, HUD will 
consider the following:
    (1) Evidence of the extent and amount of the commitment of funding, 
staff, or in-kind resources, partnership agreements, and on-going or 
planned cooperative efforts with law enforcement agencies, memoranda of 
understanding, or agreements to participate. Such commitments must be 
signed by an official of the organization legally able to make 
commitments for the organization. This evidence of commitment must 
include organization name, resources, and responsibilities of each 
participant. This also includes interagency activities already 
undertaken, participation in local, state, Tribal, or Federal anti-drug 
related crime efforts such as: education, training and employment 
provision components of Welfare Reform efforts, Operation Weed and 
Seed, Operation Safe Home, local law enforcement initiatives and/or 
successful coordination of its law enforcement, or other activities 
with local, state, Tribal, or Federal law enforcement agencies.
    (2) HUD may award more points for applications with a higher 
percentage of these resources as compared to New Approach Anti-Drug 
funds requested.

Rating Factor 5: Comprehensiveness and Coordination (10 points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations, participants or have 
promoted participation in a community's Consolidated Planning process. 
You should demonstrate that you are working towards addressing a need 
in a holistic and comprehensive manner through linkages with other 
activities in the community.
    In evaluating this factor, HUD will consider the extent to which: 
(1) You have coordinated your proposed activities with those of other 
groups or organizations prior to submission in order to best 
complement, support, and coordinate all known activities and if funded, 
the specific steps you will take to share information on solutions and 
outcomes with others. Describe any written agreements and memoranda of 
understanding currently in place, or that will be in place after award. 
(2) You have taken or will take specific steps to become active in the 
community's Consolidated Planning process (including the Analysis of 
Impediments to Fair Housing Choice) established to identify and address 
a need/problem that is related to the activities the applicant 
proposes.
    (3) You have shared and coordinated information on solutions and 
outcomes with other law-enforcement and governmental agencies, and have 
described any written agreements in place or that will be put in place.
    (4) You have taken or will take specific steps to develop linkages 
to coordinate comprehensive solutions through meetings, information 
networks, planning processes or other mechanisms with:
    (a) Other HUD-funded project/activities outside the scope of those 
covered by the Consolidated Plan, and
    (b) Other Federal, State, or locally funded activities, including 
those proposed or on-going in the community.

VI. Application Submission Requirements

    Each New Approach Anti-Drug application must provide the items 
listed in this Section VI of this program section of the SuperNOFA. 
Your application must contain the items listed in this Section VI(B). 
These items include the standard forms, certifications, and assurances 
listed in the General Section of the SuperNOFA that are applicable to 
this funding (collectively, referred to as the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives, or letters), referred to as the 
``non-standard forms'' can be found as Appendix B to this program 
section of the SuperNOFA. The items are as follows:
    (A) Application Cover Letter;
    (B) Congressional Summary--Summary of your proposed program 
activities in five (5) sentences or less:
    (C) A Neighborhood Description. The neighborhood description must 
include a basic description (e.g., boundaries and size), population, 
number of housing units in the neighborhood, a map, a population 
profile (e.g., relevant census data on the socio-economic, ethnic and 
family makeup of neighborhood residents), and the basis on which the 
area meets the definition of ``neighborhood'' as described in this 
program section of the SuperNOFA (i.e., describe and include a copy of 
the comprehensive plan, ordinance or other official local document 
which defines the area as a neighborhood, village, or similar 
geographical designation). If the entire jurisdiction is defined as a 
neighborhood by virtue of having a population at less than 25,000, 
indicate the jurisdiction's population under the 1990 census and 
describe/include more recent information which gives the best 
indication as to the current population.
    (D) The description of the assisted housing development(s) in the 
neighborhood. This must include the name of the project; the name of 
the project owner; the nature, sources, and program titles of all 
project-based subsidies or other assistance provided to the development 
by units of government or private nonprofit entities. Any names of 
public or nonprofit assisted housing programs other than programs 
sponsored by HUD should be accompanied by a description of the program 
and the name and business phone number of a contact person responsible 
for administering the program. For the subsidy provider, you must 
include the number of housing units in the development, and the number 
of housing units in the development that meet the definition of 
``assisted housing units'' in this funding announcement, and a 
description of the restrictions on rents and resident incomes that, in 
combination with the subsidy provided to the development, qualify the 
units as assisted/affordable in accordance with the definition in this 
program section of the SuperNOFA; and the number, geographic proximity 
(adjoining, adjacent, or scattered site, and if scattered site, the 
distance between the two buildings which are furthest apart), and type 
(single family detached, townhouse, garden, elevator) of buildings in 
the development.
    (E) Application for Federal Assistance, Standard Form (SF) 424, 
signed by the chief executive officer of your organization.
    (F) An action plan which describes the activities and roles to be 
undertaken by you and each subgrantee or subrecipient of program funds. 
This action plan may be attached to and referenced in your MOU.
    (G) Narrative responses to the factors for award including any 
required documentation identified under each factor.
    (H) A line item budget which identifies salaries, fringe benefits, 
consultants or subgrantees, equipment, supplies, travel, and general 
and

[[Page 9674]]

administrative expenses; as well as an estimated dollar amount for each 
activity to be undertaken as part of your action plan.
    (I) Overall budget and timetable that includes separate budgets, 
goals, milestones, and timetables for each activity and addresses 
milestones towards achieving the goals described above; and indicates 
the contributions and implementation responsibilities of each partner 
for each activity, goal, and milestone.
    (J) The number of staff years, the titles and professional 
qualifications, and respective roles of staff assigned full or part-
time to grant implementation by the applicant/grantee.
    (K) Your plan and lines of accountability (including an 
organization chart) for implementing your grant activity, coordinating 
the partnership, and assuring that your and your subgrantees' 
commitments will be met. There must be a discussion of the various 
agencies of the unit of government that will participate in grant 
implementation (which must include the prosecutor's office and the 
police department.

VII. Corrections to Deficient Applications

    The General Section of this SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    Prior to the award of grant funds under the program, HUD will 
perform an environmental review to the extent required under the 
provisions of 24 CFR part 50. Should the environmental review indicate 
adverse environmental impacts, your application may be downgraded or 
rejected. The General Section of this SuperNOFA provides additional 
guidance on Environmental Reviews.

IX. Authority

    This program is authorized under the Departments of Veterans 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, 2000 (Pub.L. 106-74, approved October 20, 1999), 
under the heading ``Drug Elimination Grants for Low-Income Housing.''

APPENDIX A--HUD FIELD OFFICE LIST FOR MULTIFAMILY HOUSING

    Please see Appendix A to the Multifamily Housing Drug 
Elimination Program section of this SuperNOFA for a list of the HUD 
Field Offices for Multifamily Housing.
BILLING CODE 4210-32-P

[[Page 9675]]

APPENDIX B

    The non-standard forms, which follow, are required for your New 
Approach Anti-Drug application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9683]]



FUNDING AVAILABILITY FOR DRUG ELIMINATION GRANTS FOR FEDERALLY 
ASSISTED LOW-INCOME HOUSING (MULTIFAMILY HOUSING DRUG ELIMINATION)

Program Overview

    Purpose of the Program. The purpose of this Multifamily Housing 
Drug Elimination Grant Program is to enable owners of federally 
assisted low-income housing developments to deal effectively with drug-
related criminal activity in and around their developments, through a 
plan of activities including enhanced security measures, support of 
tenant patrols, and drug-abuse prevention, intervention, referral, and 
treatment programs.
    Available Funds. Approximately $16.25 million.
    Eligible Applicants. Only owners of eligible developments may apply 
for and become the recipient of grant funds. Property management 
companies may administer grant programs, but are not eligible 
applicants.
    Application Deadline. May 25, 2000.
    Match. None.

ADDITIONAL INFORMATION

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (an original and 
two copies) is due on or before 6:00 pm, local time, on May 25, 2000, 
at the address shown below.
    See the General Section of this SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Appendix A to this program 
section contains a list of HUD Field Offices where you must send your 
application by the deadline. Please address your application to the 
Director, Multifamily Housing Hub or Program Center in your local HUD 
Field Office.
    For Application Kits. For an application kit, please call the 
SuperNOFA Information Center at 1-800-HUD-8929. If you have a hearing 
or speech impairment, please call the Center's TTY number at 1-800-HUD-
2209. When requesting an application kit, please refer to Multifamily 
Housing Drug Elimination Grants, and provide your name, address 
(including zip code) and telephone number (including area code). An 
application kit also will be available on the Internet at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
your local HUD Field Office staff for questions you have regarding this 
program section of the SuperNOFA and your application kit. Please 
contact the Resident Initiatives Specialist or Drug Elimination Grants 
contact person in your local office. If you have a question that the 
Field staff are unable to answer, please call Carissa Janis, Housing 
Project Manager, Office of Portfolio Management, Department of Housing 
and Urban Development, 451 Seventh Street, SW, Room 6176, Washington, 
DC 20410; (202) 708-3944, extension 2484 (this number is not toll 
free). If you are hearing or speech impaired, you may access this 
number via TTY by calling the Federal Information Relay Service at 1-
800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) Available Funding. HUD is allocating funds under this 
Multifamily Drug Elimination Grant Program section of the SuperNOFA to 
the eighteen Multifamily Housing Hub Offices, in accordance with the 
following schedule:
Hub Offices and Field Office Jurisdictions
Atlanta Hub (Atlanta, Caribbean, Knoxville, Nashville, Louisville)--
$1,219,019
Baltimore Hub (Baltimore, Richmond, Washington, DC)--$801,213
Boston Hub (Boston, Hartford, Manchester, Providence)--$1,310,033
Buffalo Hub--$329,658
Chicago Hub (Chicago, Indianapolis)--$989,691
Columbus Hub (Columbus, Cincinnati, Cleveland)--$945,259
Denver Hub--$757,497
Detroit Hub (Detroit, Grand Rapids)--$619,184
Ft. Worth Hub (Ft. Worth, Albuquerque, Houston, Little Rock, New 
Orleans, San Antonio, Shreveport)--$1,161,687
Greensboro Hub (Greensboro, Columbia)--$811,246
Jacksonville Hub (Jacksonville, Birmingham, Jackson)--$1,006,891
Kansas City Hub (Kansas City, Des Moines, Oklahoma City, Omaha, St. 
Louis, Tulsa)--$1,183,903
Los Angeles Hub--$761,080
Minneapolis Hub (Minneapolis, Milwaukee)--$999,008
New York Hub--$599,118
Philadelphia Hub (Philadelphia, Pittsburgh, Charleston, Newark)--
$1,138,754
San Francisco Hub (San Francisco, Honolulu, Las Vegas, Phoenix, 
Sacramento)--$909,427
Seattle Hub (Seattle, Portland, Anchorage)--$707,332
Grand Total--$16,250,000

    The Multifamily Housing Hub offices will select applicants for 
award according to the process discussed in Section V of this program 
section of the SuperNOFA.
    (B) Maximum Grant Award. The maximum amount of funds you may 
receive for an application with one development is $125,000 and the 
maximum for an application for two or more developments is $200,000.
    (C) Reduction of Requested Grant Amounts. You may be awarded an 
amount less than requested if:
    (1) HUD determines that some elements of your proposed action plan 
are ineligible for funding;
    (2) Insufficient amounts remain under the allocation to fund the 
full amount you requested, and HUD determines that partial funding is a 
viable option; or
    (3) HUD determines that a reduced grant would prevent duplicative 
Federal funding.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The Federally Assisted Low-Income Housing 
Drug Elimination Grant program is designed to assist property owners to 
reduce or eliminate drug-related criminal activity in and around their 
developments and to provide programs to prevent or eliminate drug use 
and abuse among their residents. While this program is centered in and 
around the premises of one or more HUD assisted multifamily housing 
sites, you are expected to work closely with other community social 
service and law enforcement organizations to achieve specific program 
objectives to reduce or eliminate drug-related criminal activity. The 
development of these strong working partnerships is an essential part 
of this program and is seen by the Department as necessary for long-
term strategies to fight crime and drug abuse. Thus, while your 
activities are targeted in and around one or more developments, HUD 
expects you to link your activities with services available in your 
community. In particular, HUD is seeking plans that provide successful,

[[Page 9684]]

proven, and cost-effective deterrents to drug-related crime and drug 
abuse that are designed to address the realities of federally assisted 
low-income housing environments.
    Changes to This Year's Program. This year's application selection 
process has changed from last year. Multifamily Hub Offices, rather 
than Award Offices, will be selecting applications based on score 
ranked order. See Section V(B) of this program section for details. 
This program section of the SuperNOFA also clarifies that Section 
221(d)(4) developments are eligible to apply only if they receive 
project-based Section 8 assistance.
    (B) Eligible Applicants.
    (1) To be eligible for funding, you must meet all of the applicable 
threshold requirements of Section II(B) of the General Section of the 
SuperNOFA and must be owners of developments assisted under the 
following programs:
    (a) Sections 221(d)(3) below market interest rate, or 236 of the 
National Housing Act;
    (b) Section 101 of the Housing and Urban Development Act of 1965; 
or
    (c) Any development receiving project-based assistance under 
Section 8 of the United States Housing Act of 1937. This includes 
Section 202, Section 515, State Housing Finance Agency, Moderate 
Rehabilitation, Section 8 New Construction and Substantial 
Rehabilitation, 221(d)(3), 221(d)(4), and 236 developments.
    (2) If you are a management agent, you may prepare applications and 
sign application documents if you provide written authorization from 
the owner as part of your application.
    (3) If your eligibility status changes during the course of the 
grant term, making you ineligible to receive a grant (e.g. due to 
prepayment of mortgage, sale of property, or opting out of a Section 8 
Housing Assistance Payment (HAP) contract), HUD has the right to 
terminate your grant.
    (4) To be eligible, developments must also meet the following 
criteria:
    (a) Are current in mortgage payments or are current under a workout 
agreement;
    (b) Meet HUD's Uniform Physical Conditions Standards (codified in 
24 CFR part 5, subpart G), based on the most recent physical inspection 
report and responses thereto, as evidenced by a score of 60 or better 
or an approved plan for developments scoring less than 60, and
    (C) Are in compliance with your regulatory agreement, HAP Contract, 
and other outstanding directives.
    (5) Eligible owners may apply for and receive both Multifamily 
Housing Drug Elimination Grants and New Approach Anti-Drug grants.
    (C) Eligible Activities. Your proposed drug elimination program 
should foster interrelationships among the residents, the housing owner 
and management, the local law enforcement agencies, and other community 
groups affecting your development. Resident participation in the 
determination of programs and activities to be undertaken is critical 
to the success of all aspects of your program. In addition to working 
closely with the development's residents, your program must include 
working with community groups, the neighborhood law enforcement 
precinct, residents of adjacent developments, and the community as a 
whole to enhance and magnify the effect of your specific program 
activities. HUD seeks result-oriented programs that promote stability, 
positive and lasting changes in and around your development and the 
surrounding community, and which use proven cost-effective measures to 
reduce drug use or prevent criminal activity.
    With the very real need to protect occupants of HUD-assisted 
housing and the areas around the housing, the civil rights of all 
citizens must be protected. Your proposed strategies should be 
developed to ensure that crime-fighting and drug prevention activities 
are not undertaken in such a manner that civil rights or fair housing 
statutes are violated. You may not use race, color, sex, religion, 
national origin, disability, or familial status to profile persons as 
suspects or otherwise target them in conducting these activities. In 
addition, all segments of the population should be represented in 
developing and implementing your crime-fighting strategies.
    (1) Physical Improvements To Enhance Security. All physical 
improvements must be accessible to persons with disabilities and must 
meet the accessibility requirements of 24 CFR part 8, Nondiscrimination 
Based on Handicap in Federally Assisted Programs and Activities of the 
Department of Housing and Urban Development. In addition, such physical 
improvements must support or enhance visitability for people with 
mobility impairments.
    Your physical improvements may include systems to limit building 
access to development residents; installation of barriers, lighting 
systems, fences, bolts, locks; landscaping or reconfiguration of common 
areas to discourage drug-related crime; or other physical improvements 
that enhance security and discourage drug-related activities. 
Rehabilitation of existing space for use by drug-related intervention 
and prevention programs is an eligible activity.
    (2) The provision of training, communications equipment, and other 
related equipment for use by voluntary tenant patrols acting in 
cooperation with local law enforcement officials is an eligible 
activity.
    (3) Programs to Reduce the Use of Drugs. Programs to reduce the use 
of drugs in and around your development, including drug-abuse 
prevention, intervention, referral, and treatment are eligible for 
funding. Where appropriate, you must establish a confidentiality policy 
regarding medical and disability-related information. Funding is 
permitted for reasonable, necessary, and justified leasing of vehicles 
for resident youth and adult education and training activities directly 
related to ``programs to reduce the use of drugs'' under this section. 
All such services and educational and training programs must be fully 
accessible to people with disabilities.
    (a) Drug Prevention. Your drug prevention activities should provide 
a comprehensive drug prevention approach that will address the 
individual resident and his or her relationship to family, peers, and 
the community. Prevention activities should identify and change the 
conditions in federally assisted low-income housing that lead to drug-
related problems and lower the risk of drug usage. Many components of a 
comprehensive approach, such as refusal and restraint skills training 
or drug-related family counseling, may already be available in your 
community. Your plan should include bringing program components already 
available in the community onto the premises. Proposed activities may 
include the following:
    (i) Drug Education Opportunities for Residents. Activities should 
provide both young people and adults with the working knowledge and 
skills needed to avoid the potential and immediate dangers of illegal 
drugs. You may contract (in accordance with 24 CFR 85.36) with drug 
education professionals to provide training or workshops. Contracted 
drug education services must reflect or be tied to your program plan.
    (ii) Family and Other Support Services. Prevention programs should 
be designed to help foster successful family relationships that may 
inhibit or reduce drug use. Examples of services include parenting 
skills workshops, short-term family counseling, child care, or family, 
cultural or educational programs. You

[[Page 9685]]

may provide these programs directly or refer residents to such services 
already available in your community.
    (iii) Youth Services. If you propose drug prevention services in 
your plan and your development has a substantial number of young 
residents, HUD strongly encourages you to include youth in your 
prevention programs. Your proposed prevention activities for youth must 
involve the active participation of youth in planning programs and 
service delivery. Such youth-oriented drug prevention programs may 
include youth leadership skills training; events incorporating 
dissemination of drug education information; and sports, recreational, 
cultural, and general education activities.
    (iv) Economic/Educational Opportunities. Eligible economic or 
educational programs should have the objectives of assisting residents 
in improving their educational status, vocational and job readiness 
skills, and opportunities for obtaining employment. The ultimate goal 
of services should be to assist residents in obtaining suitable 
lifelong employment and self-sufficiency to deter drug use, abuse, and 
related crime.
    (b) Intervention. The aim of intervention is to provide residents 
with substance abuse/dependency remission services to assist them in 
modifying their behavior; obtaining early treatment and structured 
aftercare; and maintaining remission. Your program should also be 
designed to prevent drug problems from continuing once detected. If you 
propose any intervention program that seeks to accomplish the above 
objectives, you must describe how you expect the activities to assist 
residents in reducing or ceasing their use of illicit drugs and 
involvement in drug-related crime.
    (c) Drug Treatment. If your program provides treatment services, 
they must be targeted to the development and its residents. Your 
program should be conducted in and around the premises of the 
development, or residents must be referred to receive treatment from 
other available sources within the community. You may include 
implementing new drug referral treatment or aftercare services, or 
improve or expand currently available services. Your proposed drug 
treatment program should aim to reduce illicit drug use among residents 
by increasing resident accessibility to, and effective participation 
in, drug treatment activities, and decreasing criminal activity in and 
around your development. Your proposed plan must demonstrate a working 
partnership with your Single State Agency (or State license provider or 
authority with drug program coordination responsibilities in your 
State) to coordinate, develop, and implement your drug treatment 
program. In particular, you and the appropriate agency must confirm 
that your proposed drug treatment provider(s) has provided these 
services to similar populations for two prior years and your drug 
treatment program is consistent with the State treatment plan, meeting 
all State licensing requirements. Services eligible for funding may 
include:
    (i) Drug treatment supportive services designed for youth and/or 
maternal drug abusers. Examples of services are: prenatal/postpartum 
care; specialized counseling for women; or, parenting classes. You are 
encouraged to draw upon approaches that have proven effective with 
similar populations.
    (ii) Formal referral arrangements to treatment programs not in and 
around the development when treatment costs from sources other than 
this program are available.
    (iii) Transportation for residents to out-patient treatment and/or 
support programs.
    (iv) Family/collateral counseling.
    (v) Linking programs with educational/vocational counseling.
    (vi) Coordinating services with appropriate local drug agencies, 
HIV-related service agencies, and mental health and public health 
programs.
    (D) Ineligible Activities. The following activities are not 
eligible for funding:
    (1) Hiring of, or contracting for, employment of security guards to 
provide security services in and around the development.
    (2) Any activity or improvement that is normally funded from 
project operating revenues for routine maintenance or repairs, or those 
activities or improvements that may be funded through reasonable and 
affordable rent increases;
    (3) The acquisition of real property or those physical improvements 
that involve the demolition of any units in your development or 
displacement of tenants;
    (4) Costs incurred prior to the effective date of your grant 
agreement, including consultant fees for surveys related to your 
application or its preparation;
    (5) Reimbursement of local law enforcement agencies for additional 
security and protective services;
    (6) Employment of one or more individuals to investigate drug-
related crime in and around federally-assisted low-income developments 
and/or to provide evidence relating to such crime in any administrative 
or judicial proceeding;
    (7) Treatment of residents at any in-patient medical treatment 
programs or facilities;
    (8) Detoxification procedures designed to reduce or eliminate the 
presence of toxic substances in body tissues of a patient;
    (9) Maintenance drug programs; [Maintenance drugs are medications 
that are prescribed regularly for a long period of supportive therapy 
(e.g., methadone maintenance), rather than for immediate control of a 
disorder.]
    (10) Programs to treat alcoholism; and
    (11) Funding of police informants who provide information about 
drug-related activity.

IV. Program Requirements

    In addition to the requirements listed in Section II of the General 
Section of this SuperNOFA, you must also meet the additional 
requirements in Section IV of this program section of the SuperNOFA. 
These requirements apply to all activities, programs, and functions 
used to plan, budget, and evaluate the work funded under your program.
    (A) Administrative Costs. Administrative costs cannot exceed 10% of 
your proposed program's total cost. HUD will look more favorably upon 
proposals that target grant funds to hard program costs and propose 
minimal, if any, administrative expenses.
    (B) Term of Funded Activities. Your grant term cannot exceed twelve 
months.
    (C) Multiple Developments. There is no limit to the number of 
developments that can be included in your application. However, if you 
include more than one development in your application, all developments 
must be eligible and located in the same Field Office jurisdiction. In 
addition, you must demonstrate in your response to Rating Factor 3 
``Soundness of Approach--(Quality of the Plan)'' that your program will 
be feasible to implement among all proposed developments.
    (D) Subgrants and Subcontracting. You may directly undertake or 
subcontract for any of the eligible activities under this Multifamily 
Drug Elimination Program section of the SuperNOFA. Resident groups that 
are not incorporated may work with you in the implementation of your 
program, but may not receive funds as subgrantees.
    (E) Collection of Crime Data. If you receive a grant, you will be 
required to collect and report on Parts I and II crime data. Parts I 
and II crime data are

[[Page 9686]]

defined by the Uniform Crime Reporting (UCR) System (see Rating Factor 
2, paragraph (1)(d)).
    (F) Forms, Certifications and Assurances. See the General Section 
of the SuperNOFA for the applicable forms, certifications and 
assurances that you must submit. This includes a certification that you 
are in compliance with Federal Civil Rights laws, as specified in 
Section II(G)(7) of the General Section of this SuperNOFA.
    (G) Affirmatively Furthering Fair Housing. You must comply with 
Section II(D) of the General Section of this SuperNOFA.

V. Application Selection Process

    (A) Rating and Ranking. All applications will be evaluated 
competitively and ranked against applications in the same Field Office.
    The maximum number of points for this program is 102. This includes 
two Empowerment Zone/Enterprise Community (EZ/EC) bonus points, as 
described in the General Section of the SuperNOFA. For bonus points 
related to activities located in Empowerment Zones or Enterprise 
Communities, you must demonstrate that there is a connection between 
such EZ or EC and tenant, local government, and local community support 
and participation in the design and implementation of the proposed 
activities to be funded under this program.
    (B) Distribution of Funds. This year HUD will distribute funds to 
each Multifamily Housing Hub Office, in proportion to the number of 
eligible developments in that area. Each Multifamily Hub Office may 
recommend a total number of awards up to the dollar amount allocated 
for the area covered by the Hub Office. Hub Offices will receive the 
scores from each HUD Field Office which has received, rated, and ranked 
its applications.
    The Hub Offices will conduct the selection process as follows: 
Where a Multifamily Hub covers more than one Field Office jurisdiction, 
the Hub Office will first select the highest ranked application in each 
Field Office for funding. After this selection, the Hub will use 
remaining funds to fully fund as many applications as possible in rank 
order, regardless of Field Office. Hub Offices representing only one 
Field Office shall use their distribution of funds to fully fund in 
rank order as many applications as possible. Any funds still remaining 
after the Hub Office distribution by rank will be forwarded to 
Headquarters, which shall make awards to fund as many remaining 
applications as possible by national rank order. All applications must 
receive a score equal to or greater than the minimum score of 70 
without bonus points to be considered for funding.
    This year's revised process balances a geographic distribution with 
a process that gives priority to the most highly rated applications. 
Your application will primarily compete for funding with other 
applications submitted within that same Hub Office jurisdiction.
    (C) Procedure to Resolve Tied Scores. If two or more applications 
have the same score and there are insufficient funds to fund all of 
them, the application with the highest score for the Soundness of 
Approach rating factor shall be selected for funding. If a tie still 
remains, the application with the highest score for the Capacity of the 
Applicant and Relevant Organizational Experience rating factor shall be 
selected. Further tied applications will be selected by their scores in 
the Need/Extent of Problem, Leveraging Resources, and Comprehensiveness 
and Coordination rating factors, in that order. If the applications 
received the same score for each of the five factors, the Multifamily 
Hub Office or Headquarters will break the remaining tie by selecting 
the application whose developments(s) are in most financial need based 
on a per unit negative cash flow analysis of the most recent Annual 
Financial Statement (AFS).
    (D) Factors for Award Used to Evaluate and Rate Applications. The 
five factors in this section total 100 points. An application must 
receive a score of at least 70 points to be eligible for funding under 
this competition. Each application submitted will be evaluated using 
the following selection criteria set forth below.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which you have organizational 
resources necessary to successfully implement your proposed activities 
in a timely manner. In rating this factor, HUD will consider the extent 
to which you demonstrate the capabilities described below.
    (1) (20 points) Administrative Capacity.
    (a) The knowledge and experience of your staff and your 
administrative capacity to manage grants, including administrative 
support functions, procurement, lines of authority, and fiscal 
management capacity. Your narrative must include a discussion of 
financial capacity, staff resources, and prior experience that will 
enable you to effectively administer a grant and meet reporting 
requirements. Your narrative should not exceed five pages.
    (b) HUD's evaluation approach. (i) For Public Housing Authorities 
(PHAs) and tribally designated housing entities (TDHEs) that had 
previously applied as IHAs, HUD will also consider such measurements as 
the uniform crime index, physical inspections, agency monitoring of 
records, Line of Credit Control System (LOCCS) Reports, audit and such 
other relevant information available to HUD on the capacity of the 
owner or manager to administer the grant.
    (ii) For owners of federally-assisted low income housing, HUD will 
also consider the most recent Management Review (including Rural 
Housing Management Review), HUD's Uniform Physical Conditions Standards 
review, State Agency review, physical inspection, and other relevant 
information available to HUD on the capacity of the owner and manager 
to undertake the grant.
    (2) (Deduct up to 5 points for prior poor performance) Your 
performance in administering Drug Elimination funding in the previous 5 
years. HUD will consider your participation in HUD grant programs 
within the preceding five years and evaluate the degree of your success 
in implementing and managing these grant programs. HUD will look at 
program implementation, timely drawdown of funds, timely submission of 
required reports with satisfactory outcomes related to the plan and 
timetable, audit compliance, whether there are any unresolved findings 
from prior HUD reports (e.g., performance or finance) reviews of audits 
undertaken by HUD, the Office of Inspector General, the General 
Accounting Office or independent public accountants).
    For PHAs, your past experience will be evaluated in terms of your 
ability to attain demonstrated measurable progress in tracking drug 
related crime, enforcement of screening and lease procedures in 
implementation of the ``One Strike and You're Out Initiative'' (as 
applicable), the extent to which you have formed a collaboration with 
Tribal, State and local law enforcement agencies and courts to gain 
access to criminal conviction records of potential tenants to determine 
their suitability for residence in public housing. Such data will be 
measured and evaluated based on your Public Housing Management 
Assessment Program (PHMAP) score (24 CFR part 901).

[[Page 9687]]

Rating Factor 2: Need/Extent of the Problem (25 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities to address a documented 
problem in the target area (i.e., the degree of the severity of the 
drug-related crime problem in the development(s) proposed for funding). 
In responding to this factor, HUD will evaluate your application based 
on the extent to which a critical level of need for your proposed 
activities is explained and you provide a justification for the urgency 
of meeting the need in your development(s) and the area around your 
development(s). Your application must include a description of the 
extent and nature of drug-related crime ``in and around'' the housing 
units or development(s) you propose for funding.
    (1) Drug-Related Crime Statistics. (23 Points) You will receive up 
to 23 points for this factor if your statistics and explanation of need 
establish critical crime problems and an urgency to address these 
problems in and around your development(s). To receive the maximum 
number of points, you must provide statistics for both the premises of 
your development(s) and the smallest geographic area surrounding your 
development(s) for which objective statistics are available in your 
community, town, or city. If you use statistics from institutions 
(e.g., hospitals or schools), the institutions must directly serve the 
residents of the targeted development(s). If the statistics you provide 
do not indicate a critical need, urgency to meet this need, or you do 
not provide statistics that document the need within your 
development(s) or the area around your development(s), you will not 
receive the maximum number of points. If you do not submit the letter 
or documentation for the ``non-objective'' data, indicated in paragraph 
2(a), below, you will also receive fewer points.
    The statistics and information you provide must include the 
following:
    (a) ``Objective Crime Data'' relevant to the target area. Such data 
should consist of verifiable records and not anecdotal reports. Where 
appropriate, the statistics should be reported both in real numbers and 
as an annual percentage of the residents in each development (e.g., 20 
arrests in a one-year period for distribution of heroin in a 
development with 100 residents reflects a 20% occurrence rate). Such 
data may include:
    (i) Police records or other verifiable information from records on 
the types or sources of drug related crime in the targeted development 
and surrounding area;
    (ii) The number of lease terminations or evictions for drug-related 
crime at the targeted development; and
    (iii) The number of emergency room admissions for drug use or that 
result from drug-related crime. Such information may be obtained from 
police Departments and/or fire departments, emergency medical service 
agencies and hospitals. The number of police calls for service from 
your development that include resident initiated calls, officer-
initiated calls, domestic violence calls, drug distribution complaints, 
found drug paraphernalia, gang activity, graffiti that reflects drugs 
or gang-related activity, vandalism, drug arrests, and abandoned 
vehicles.
    (iv) To the extent possible, you should obtain statistics on Part I 
and Part II crimes, as defined by the Uniform Crime Reporting (UCR) 
System. Part 1 crimes include: criminal homicide, forcible rape, 
robbery, aggravated assault two (including domestic violence through 
use of a weapon or by means likely to produce death or great bodily 
harm), burglary-breaking or entering, larceny-theft (except motor 
vehicle theft), motor vehicle theft, and arson. Part II crimes include: 
assaults, forgery and counterfeiting, fraud, embezzlement, vandalism, 
weapons (carrying or possessing), prostitution and commercialized vice, 
sex offenses (except forcible rape, prostitution, and commercialized 
vice), drug abuse violations, gambling, offenses against the family and 
children, driving under the influence, violation of liquor laws, 
drunkenness, disorderly conduct, vagrancy, all other offenses related 
to curfew and loitering laws and runaways.
    For PHAs, such data should include housing authority police records 
on the types and sources of drug related crime ``in and around'' 
developments as reflected in crime statistics or other supporting data 
from Federal, State, Tribal, or local law enforcement agencies.
    (b) Other Crime Data. If you are unable to attain objective crime 
statistics as mentioned above, you may submit other supporting, 
verifiable data on the extent of drug-related crime in the target area. 
If you submit other relevant information in place of objective data, 
you must provide the following to receive the maximum number of points:
    (i) A letter or supporting documentation from your local law 
enforcement agency or another relevant neighborhood organization 
explaining why the objective data mentioned above is not available, and
    (ii) A narrative explanation of the reasons why objective data 
could not be obtained, what efforts were made to obtain it, and what 
efforts will be made (if possible) during the grant period to begin 
obtaining the data. Such data may include the following:

--Surveys of residents and staff in the targeted development surveyed 
on drug-related crime or on-site reviews to determine drug/crime 
activity; and government or scholarly studies or other research in the 
past year that analyze drug-related crime activity in your targeted 
development.
--Vandalism cost at your targeted development, to include elevator 
vandalism (where appropriate) and other vandalism attributable to drug-
related crime.
--Information from schools, health service providers, residents and 
Federal, State, local, and Tribal officials, and the verifiable 
opinions and observations of individuals having direct knowledge of 
drug-related crime, and the nature and frequency of these problems in 
your development proposed for assistance. (These individuals may 
include Federal, State, Tribal, and local government law enforcement 
officials, resident or community leaders, school officials, community 
medical officials, substance abuse, treatment (dependency/remission) or 
counseling professionals, or other social service providers.)
--The school dropout rate and level of absenteeism for youth that you 
can relate to drug-related crime.
--To the extent that the community's Consolidated Plan identifies the 
level of the drug abuse and related crime problems in and around your 
targeted development, and the urgency in meeting the need, references 
to these documents should be included in your response. You will 
receive more points if you use these documents to identify need.

    (2) Development Need Based on Prior Award. (2 points) If you have 
not received an award for the development(s) submitted in your FY 2000 
application in the FY 1997, 1998, or 1999 competitions, you will 
receive two points. If you submit an application with multiple 
developments and one or more developments did not receive an award in 
FY 1997, 1998, or 1999, you will receive one point.

[[Page 9688]]

Rating Factor 3: Soundness of Approach--(Quality of the Plan) (35 
Points)

    This factor addresses the quality and effectiveness of your 
proposed work plan. In rating this factor, HUD will consider the impact 
of your proposed activities and the tangible benefits that can be 
attained by the community and by the target population. Your 
application must include a detailed narrative describing each proposed 
activity for crime reduction and elimination efforts for each 
development proposed for assistance, the amount and extent of resources 
committed to each activity or service proposed, and process used to 
collect, maintain, analyze and report Part I and II crimes as defined 
by the Uniform Crime Reporting (UCR System, as well as police workload 
data.
    In evaluating this factor, HUD will consider the following:
    (1) (14 points) Your plan's approach to address the drug-related 
crime problem and associated problems in the development proposed for 
funding, the resources allocated, and the extent to which your proposed 
activities are targeted to residents, provide for linkages with 
existing community resources, and are likely to have long term impacts 
on reducing drug use and drug-related crime in and around your targeted 
development. Also, you must include the rationale for the proposed 
activities and methods to be used in developing your program and 
approach to reducing drug-related crime and drug abuse. If you propose 
drug prevention or intervention activities, these services must 
constitute a continuing and comprehensive approach to deter drug use or 
abuse among your residents and their neighbors. Your proposal must 
demonstrate how your activities work together with other on-going 
activities in the community and how these activities rely upon each 
other to form a holistic plan. Your plan must include the following 
items. If these are not included, you will receive fewer points under 
this subfactor:
    (a) An explanation of how any proposed physical improvements, 
services, and training programs will be accessible and visitable to 
persons with disabilities and a statement that they will meet the 
accessibility requirements of 24 CFR part 8, Nondiscrimination Based on 
Handicap in Federally Assisted Programs and Activities of the 
Department of Housing and Urban Development;
    (b) A discussion of how any drug education services that you 
propose to undertake directly or through a subcontract will reflect the 
objectives of your program plan;
    (c) A specific explanation of how you plan to incorporate the 
active participation of youth in planning prevention programs and 
services targeted to their needs; and
    (d) If you propose drug treatment activities, you must provide a 
letter from your Single State Agency (or State license provider or 
authority with drug program coordination responsibilities in your 
State) that states that your program is effectively coordinating, 
developing, and implementing drug treatment programs in partnership 
with that entity.
    (2) (10 points) The anticipated effectiveness of your plan and 
proposed activities in reducing or eliminating drug-related crime 
problems immediately and over an extended period. This should include 
the following:
    (a) A description of established performance goals for the results 
to be achieved during the period of your grant. The goals must be 
objective, quantifiable, and measurable, and they must be outcome or 
result-oriented. Outcomes include accomplishments, results, impact and 
the ultimate effects of the program on the drug or crime problem in the 
target/development area.
    (b) An explanation of how your proposed activities enhance and are 
coordinated with on going or proposed programs sponsored by HUD, such 
as Neighborhood Networks, Campus of Learners, Operation Safe Home, 
``One Strike and You're Out'', Department of Justice Weed and Seed 
efforts, or any other prevention/intervention/treatment activities in 
your community. Explain the specific steps you will take to share and 
coordinate information on solutions and outcomes with other law-
enforcement and governmental agencies, and a description of any written 
agreements in place or that will be put in place by you with these 
entities.
    (3) (3 points) Evidence and explanation of how proposed activities 
have been effective in similar circumstances in controlling drug-
related crime. If you are proposing new methods for which there is 
limited knowledge of effectiveness, you should provide the basis for 
modifying past practices and rationale for why you believe the 
modification will yield more effective results.
    (4) (3 points) The process you will use to maintain, analyze, and 
report Part I and II crimes, as well as police workload data. Police 
workload data may include, but are not limited to: all calls for 
service by residents of your development, crime pattern over a period 
of time by type of crime, and plans to improve data collection and 
reporting. Your proposed analysis of the data collected must include a 
method for assessing the impact of activities on the collected crime 
statistics throughout your award period. The results of your activities 
and the effect on statistics is of much greater importance than the 
method you will use to collect such data, so you should pay attention 
to the benchmarks you establish for measuring and evaluating your 
performance, particularly measuring changes in crime rates by Part I 
and Part II crime data.
    (5) (1 point deducted if not addressed) The extent to which your 
program to eliminate crime in your development or neighborhood will 
expand fair housing choice and will affirmatively further fair housing. 
Provide a brief statement outlining the benchmarks you will use to 
measure your success in affirmatively furthering fair housing through 
this program. This may include such items as making physical 
improvements accessible to persons with disabilities, lower vacancy and 
turnover rates and increased new applications for housing in your 
development and in other rental properties in your neighborhood, new 
businesses and other community development initiatives in your area, or 
increased rates of homeownership in your community.
    (6) (5 points) Resident Support. The extent to which you have 
sought the support of residents in planning and implementing the 
proposed activities.
    (a) You must provide evidence that you actively sought comments, 
suggestions, and support from residents for your proposed plan. State 
the steps you took to obtain this information and support. Demonstrate 
that you made your proposed plan available and that you requested 
comments in the language(s) of the tenants residing in your 
development(s).
    (b) Describe and provide written documentation of these comments, 
suggestions, and support. HUD needs clear evidence that the residents 
agree with, support, and will work with your proposed program. If 
applicable, you must explain why you do not have written documentation 
of such support or did not receive any comments or suggestions.
    (c) Describe how residents will be involved in implementing your 
program. If involvement would be minimal or not appropriate, please 
state and explain why.

[[Page 9689]]

Rating Factor 4: Leveraging Community Resources (10 Points)

    To receive points under this rating factor, you must provide 
evidence of the level and type of participation and support by the 
local government or law enforcement agency for your proposed 
activities. This should include the level of assistance received from 
local government, community organizations, and/or law enforcement 
agencies. If a community organization is providing you with staff or 
supporting services, you must include a letter from each organization 
providing staff or support in order to receive maximum points. Each 
letter must specify what type of participation or contributions the 
organization will make to your program. Such letters must be from 
businesses, non-profit or public agencies within your unit of general 
local government (i.e. county, town, city) or incorporated resident 
organizations. Letters stating general support or from people or 
organizations not in and around your development are not relevant and 
you should not include them in your application.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinate your 
activities with other known organizations, participate or promote 
participation in your community's Consolidated Planning process, and 
are working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community.
    In evaluating this factor, HUD will consider your prior efforts and 
future plans to coordinate with other local agencies and organizations 
as follows:
    (1) (3 points) Describe past efforts to coordinate your proposed 
activities with those of other groups or organizations prior to 
submission of your application in order to best complement, support, 
and coordinate all known activities. Explain what specific steps you 
will take to share information on solutions and outcomes with others. 
Please describe any written agreements or memoranda of understanding 
that are or will be in place after award.
    (2) (6 points) Explain what specific steps you have taken or will 
take to develop linkages or coordinate comprehensive solutions through 
meetings, information networks, planning processes, or other 
mechanisms. Explain your past efforts or planned efforts for 
involvement with such programs or other HUD-funded projects/activities 
outside the scope of those covered by the Consolidated Plan; and/or 
other Federal, State, or locally funded activities, including those 
proposed or on-going in the community.
    (3) (1 point) Explain specific steps you have taken or will take to 
become active in your community's Consolidated Planning process 
(including the Analysis of Impediments to Fair Housing Choice) 
established to identify and address a need/problem that is related to 
the activities you propose.

VI. Application Submission Requirements

    (A) There is no limit to the number of developments per 
application. However, all developments in one application must be 
eligible and located in the same Field Office jurisdiction. You must 
demonstrate in Rating Factor 3 ``Soundness of Approach--(Quality of the 
Plan)'' that your program will be feasible to implement among all 
proposed developments. In addition, you must provide pertinent 
information for each Rating Factor for each proposed development.
    (B) Your application must contain the items listed in this Section 
V(B). These items include the standard forms, certifications, and 
assurances listed in the General Section of the SuperNOFA that are 
applicable to this funding (collectively, referred to as the ``standard 
forms''). The standard forms can be found in Appendix B to the General 
Section of the SuperNOFA. The remaining application items that are 
forms (i.e., excluding such items as narratives, letters), referred to 
as the ``non-standard forms'' can be found as Appendix B to this 
program section of the SuperNOFA: The items are as follows:

Standard Forms

    (1) Standard Form 424--Application for Federal Assistance and 
Standard.
    (2) Form HUD-424M--Federal Assistance Funding Matrix.
    (3) Standard Form 424A--Budget Information with Budget Narrative(s) 
and Supporting Documentation.
    (4) Standard Form 424B--Assurances--Non-Construction Programs.
    (5) Form HUD-2880--Applicant/Recipient Disclosure/Update Report.
    (6) Form HUD-50070--Drug Free Workplace Certification.
    (7) Standard Form-LLL--Disclosure of Lobbying Activities 
Certification (if applicable).
    (8) Form HUD-2992--Debarment and Suspension Certification.
    (9) Form HUD-2994--Client Comments and Suggestions.
    (10) Certification of Consistency and Compliance with the General 
Section of the SuperNOFA Threshold Requirements.
    (11) Form HUD-2993--Acknowledgment of Application Receipt.

Other Application Items

    (1) Application Cover Letter that outlines and explains the 
application structure; includes the name of a contact person and a 
number where he/she can be reached, and provides any other information 
you feel would assist HUD in reviewing your application.
    (2) Applicant Data Input Form.
    (3) Abstract of Proposed Program, consisting of one paragraph which 
summarizes your proposed program.
    (4) Rating Factor 1 Narrative. A narrative, not to exceed five 
pages, which includes a discussion of your organization's financial 
capacity, staff resources, and prior experience that will enable you to 
effectively administer a grant and meet reporting requirements.
    (5) Rating Factor 2 Narrative and Statistics. The narrative and 
data must describe critical level of need for your proposed activities 
and a justification for the urgency of meeting the need in your 
development(s) and the area around your development(s). The description 
must indicate the extent and nature of drug-related crime.
    (a) ``Objective Crime Data'' (i.e. statistics and other 
information) relevant to the target area, or
    (b) Other supporting, verifiable data on the extent of drug-related 
crime in the target area. If you submit other relevant information in 
place of objective data, you must also provide the following:
    (i) A letter or supporting documentation from your local law 
enforcement agency or another relevant neighborhood organization 
explaining why objective data are not available, and
    (ii) A narrative explanation of the reasons why objective data 
could not be obtained, what efforts were made to obtain them, and what 
efforts will be made (if possible) during the grant period to begin 
obtaining the data.
    (6) Rating Factor 3 Narrative. A narrative describing your plan's 
approach to address the drug-related crime problem and associated 
problems in the development proposed for funding. The narrative must 
include:
    (a) An explanation of the anticipated effectiveness of your plan 
and proposed activities in reducing or eliminating drug-related crime 
problems immediately and over an extended period.

[[Page 9690]]

    (b) Evidence and explanation of how proposed activities have been 
effective in similar circumstances in controlling drug-related crime.
    (c) A description of the process you will use to maintain, analyze, 
and report Part I and II crimes, as well as police workload data.
    (d) An explanation of the extent to which your program to eliminate 
crime in your development or neighborhood will expand fair housing 
choice and will affirmatively further fair housing.
    (e) Evidence that you actively sought comments, suggestions, and 
support from residents for your proposed plan. Provide written 
documentation of these comments, suggestions, and support. If 
applicable, you must explain why you do not have written documentation 
of such support or did not receive any comments or suggestions. 
Describe how residents will be involved in implementing your program.
    (f) Drug Treatment Program Certification (if applicable).
    (7) Rating Factor 4 Narrative and Letters. The narrative and 
letters must provide evidence of the specific type of participation, 
assistance, or other support received from local government, community 
organizations, and/or law enforcement agencies for your proposed 
activities. If a community organization is providing you with staff or 
supporting services, you must include a letter from each organization 
providing staff or support.
    (8) Rating Factor 5 Narrative. The narrative must describe your 
past efforts to coordinate your proposed activities with those of other 
groups or organizations prior to submission of your application. The 
narrative must include:
    (a) An explanation of the specific steps you have taken or will 
take to develop linkages or coordinate comprehensive solutions through 
meetings, information networks, planning processes, or other 
mechanisms. Explain your past efforts or planned efforts for 
involvement with relevant community activities.
    (b) An explanation of the specific steps you have taken or will 
take to become active in your community's Consolidated Planning 
process.

VI. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VII. Environmental Requirements

    It is anticipated that most activities under this program are 
categorically excluded under 24 CFR 50.19 (b)(4), (b)(12), or (b)(13). 
If grant funds will be used to cover the cost of any non-exempt 
activities, HUD will perform an environmental review to the extent 
required by 24 CFR part 50, prior to grant award.

VIII. Authority

    This program is authorized under Chapter 2, subtitle C, title V of 
the Anti-Drug Abuse Act of 1988 (42 U.S.C. 11901 et seq.), as amended 
by section 581 of the National Affordable Housing Act of 1990 (Pub. L. 
102-550) and section 161 of the Housing and Community Development Act 
of 1992, (Pub. L. 102-550), and further amended by Title V, Subtitle F, 
section 586 of the Fiscal Year 1999 HUD Appropriations Act (Pub. L. 
105-276, approved October 21, 1998). The regulations for the program 
are found in 24 CFR part 761, Drug Elimination Programs.

APPENDIX A--HUD FIELD OFFICE LIST FOR MULTIFAMILY HOUSING

ALABAMA

Multifamily Housing Program Center, HUD--Birmingham Office, 600 
Beacon Parkway West, Rm. 300, Birmingham, AL 35209-3144, OFC Phone: 
(205) 290-7611, FAX: (205) 290-7632

ALASKA

Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite 
190, MS-OAHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext. 
3250, FAX: (206) 220-5206

ARIZONA

Multifamily Housing Program Center, HUD Phoenix Office, 400 North 
Fifth Street, Suite 1600, Phoenix, AZ 85004-2361, OFC Phone: (602) 
379-4434, FAX: (602) 379-3985

ARKANSAS

Multifamily Housing Program Center, HUD Little Rock Office, 425 West 
Capitol Avenue #900, Little Rock, AR 72201-3488, OFC Phone: (501) 
324-5401, FAX: (501) 324-6142,

CALIFORNIA

Multifamily Housing Hub, HUD--San Francisco Office, 450 Golden Gate 
Avenue, PO Box 36003, San Francisco, CA 94102-3448, OFC Phone: (415) 
436-6505, FAX: (415) 436-8996
Los Angeles Multifamily Hub, 611 West Sixth Street, Suite 800, Los 
Angeles, CA 90017, OFC Phone: (213) 894-8000 x 3634, Fax: (213) 894-
8255,

COLORADO

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 11th 
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 
672-5153

CONNECTICUT

Multifamily Housing Program Center, HUD--Hartford Office, One 
Corporate Center, 19th floor, Hartford, CT 06103-3220, OFC Phone: 
(860) 240-4800 Ext. 3068, FAX: (860) 240-4850

DELAWARE

Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker 
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC 
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427

DISTRICT OF COLUMBIA

Multifamily Housing Program Center, HUD Washington, DC Office, Suite 
300, 820 First Street, N.E., Washington, DC 20002-4205, OFC Phone: 
(202) 275-9200, FAX: (202) 275-9212

FLORIDA

Multifamily Housing Hub, HUD--Jacksonville Office 301 West Bay 
Street, Suite 2200, Jacksonville, FL 32202-5121, OFC Phone: (904) 
232-1777 x2144, FAX: (904) 232-2731

GEORGIA

Multifamily Housing Hub, HUD--Atlanta Office, Five Points Plaza 
Building, 40 Marietta Street, S.W., Atlanta, Georgia 30303-2806, OFC 
Phone: (404) 331-4976, FAX: (404) 331-4028

HAWAII

Multifamily Housing Program Center, HUD Honolulu Office 7 Waterfront 
Plaza, 500 Ala Moana Blvd. #500, Honolulu, HI 96813-4918, OFC Phone: 
(808) 522-8185 Ext. 244, FAX: (808) 522-8194

IDAHO

Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite 
190, MS-OAHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext. 
3250, FAX: (206) 220-5206

ILLINOIS

Multifamily Housing Hub, HUD--Chicago Office, Ralph Metcalfe Federal 
Building, 77 West Jackson Boulevard, Chicago, IL 60604-3507, OFC 
Phone: (312) 353-6236 Ext. 2202, FAX: (312) 886-2729

INDIANA

Multifamily Housing Program Center, HUD Indianapolis Office, 151 
North Delaware Street, Suite 1200, Indianapolis, IN 46204-2526, OFC 
Phone: (317) 226-6303, FAX: (317) 226-7308

IOWA

Multifamily Housing Program Center, HUD Des Moines Office, 210 
Walnut Street, Room 239, Des Moines, IA 50309-2155, OFC Phone: (515) 
284-4736, FAX: (515) 284-4743

KANSAS

Multifamily Housing Hub, HUD Kansas City Office 400 State Avenue, 
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844, 
FAX: (913) 551-5469

[[Page 9691]]

KENTUCKY

Multifamily Housing Program Center, HUD--Louisville Office, 601 West 
Broadway, PO Box 1044, Louisville, KY 40201-1044, OFC Phone: (502) 
582-6124, FAX: (502) 582-6547

LOUISIANA

Multifamily Housing Program Center, HUD New Orleans Office, Hale 
Boggs Bldg.--501 Magazine Street, 9th Floor, New Orleans, LA 70130-
3099, OFC Phone: (504) 589-7236, FAX: (504) 589-6834

MAINE

Multifamily Housing Program Center, HUD--Manchester Office, Norris 
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697

MARYLAND

Multifamily Housing Hub, HUD Baltimore Office, 5th Floor 10 South 
Howard Street, Baltimore, MD 21201-2505, OFC Phone: (410) 962-2520 
Ext. 3474, FAX: (410) 962-1849

MASSACHUSETTS

Multifamily Housing Hub, HUD--Boston Office, O'Neil Federal 
Building, 10 Causeway Street, Rm. 375, Boston, MA 02222-1092, OFC 
Phone: (617) 565-5162, FAX: (617) 565-6557

MICHIGAN

Multifamily Housing Hub, HUD Detroit Office, 477 Michigan Avenue, 
Detroit, MI 48226-2592, OFC Phone: (313) 226-7900, FAX: (313) 226-
5611,
 Multifamily Housing Program Center, HUD Grand Rapids, Trade Center 
Building, 50 Louis Street, N.W., Grand Rapids, MI 49503-2648, OFC 
Phone: (616) 456-2100, FAX: (616) 456-2191

MINNESOTA

Multifamily Housing Hub, HUD Minneapolis Office, 220 Second Street, 
South, Minneapolis, MN 55401-2195, OFC Phone: (612) 370-3051 Ext. 0, 
FAX: (612) 370-3090

MISSISSIPPI

Multifamily Housing Program Center, HUD Jackson Office--McCoy 
Federal Building 100 W. Capitol Street, Room 910, Jackson, MS 39269-
1096, OFC Phone: (601) 965-4738, FAX: (601) 965-4773

MISSOURI

Multifamily Housing Hub, HUD Kansas City Office, 400 State Avenue, 
Room 200, Kansas City, KS 66101-2406, OFC Phone: (913) 551-6844, 
FAX: (913) 551-5469,
 Multifamily Housing Program Center, HUD St. Louis Office, Robert A. 
Young Federal Building, 1222 Spruce Street--Third Floor, St. Louis, 
MO 63103-2836, OFC Phone: (314) 539-6382, FAX: (314) 539-6356

MONTANA

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 
672-5153

NEBRASKA

Multifamily Housing Program Center, HUD Omaha Office, 10909 Mill 
Valley Road, Suite 100, Omaha, NE 68154-3955, OFC Phone: (402) 492-
3113, FAX: (402) 492-3184

NEVADA

Multifamily Housing Program Center, HUD Las Vegas Office, 333 N. 
Rancho Drive--Atrium Bldg. Suite 700, Las Vegas, NV 89106-3714, OFC 
Phone: (702) 388-6525, FAX: (702) 388-6244

NEW HAMPSHIRE

Multifamily Housing Program Center, HUD--Manchester Office, Norris 
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697

NEW JERSEY

Multifamily Housing Program Center, HUD--Newark Office--13th Floor, 
One Newark Center, Newark, NJ 07102-5260, OFC Phone: (973) 622-7900 
Ext. 3400, FAX: (973) 645-2271

NEW MEXICO

Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO 
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX: 
(817) 978-5520

NEW YORK

Multifamily Housing Hub, HUD--New York Office, 26 Federal Plaza--
Room 3214, New York, NY 10278-0068, OFC Phone: (212) 264-0777 Ext. 
3713, FAX: (212) 264-1277
 Multifamily Housing Hub, HUD--Buffalo Office, Lafayette Court, 5th 
Floor, 465 Main Street, Buffalo, NY 14203-1780, OFC Phone: (716) 
551-5755 Ext. 5509, FAX: (716) 551-3252

NORTH CAROLINA

Multifamily Housing Hub, HUD Greensboro Office--Koger Building, 2306 
West Meadowview Road, Greensboro, NC 27407, OFC Phone: (336) 547-
4034, FAX: (336) 547-4121

NORTH DAKOTA

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 
672-5153

OHIO

Multifamily Housing Hub, HUD Columbus Office, 200 North High Street, 
Columbus, OH 43215-2499, OFC Phone: (614) 469-5737, Ext. 8111, FAX: 
(614) 469-2432
 Multifamily Housing Program Center, HUD Cincinnati Office, 525 Vine 
Street, Suite 700, Cincinnati, OH 45202-3188, OFC Phone: (513) 684-
2350, FAX: (513) 684-6224
Multifamily Housing Program Center, HUD Cleveland Office, 1350 
Euclid Avenue, Suite 500, Cleveland, OH 44115-1815, OFC Phone: (216) 
522-4058 Ext. 7000, FAX: (216) 522-4067

OKLAHOMA

Multifamily Housing Program Center, HUD Oklahoma City Office, 500 W. 
Main Street, Suite 400, Oklahoma City, OK 73102-2233, OFC Phone: 
(405) 553-7410, FAX: (405) 553-7406

OREGON

Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite 
190, MS-OAHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext. 
3250, FAX: (206) 220-5206

PENNSYLVANIA

Multifamily Housing Hub, HUD Philadelphia Office, The Wanamaker 
Building, 100 Penn Square, East, Philadelphia, PA 19107-3380, OFC 
Phone: (215) 656-0609 Ext. 3533, FAX: (215) 656-3427
Multifamily Housing Program Center, HUD Pittsburgh Office, 339 Sixth 
Avenue--Sixth Floor, Pittsburgh, PA 15222-2515, OFC Phone: (412) 
644-6639, FAX: (412) 644-5872

PUERTO RICO

Multifamily Housing Program Center, HUD Caribbean Office, 171 Carlos 
E. Chardon Avenue, San Juan, PR 00918-0903, OFC Phone: (787) 766-
5401, FAX: (787) 766-5522

RHODE ISLAND

Multifamily Housing Program Center, HUD--Providence Office, 10 
Weybosset Street, Sixth Floor, Providence, RI 02903-2808, OFC Phone: 
(401) 528-5230, FAX: (401) 528-5097

SOUTH CAROLINA

Multifamily Housing Program Center, HUD Columbia Office, 1835 
Assembly Street, Columbia, SC 29201-2480, OFC Phone: (803) 765-5162, 
FAX: (803) 253-3043

SOUTH DAKOTA

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 
672-5153

TENNESSEE

Multifamily Housing Program Center, HUD--Knoxville Office, 710 
Locust Street, SW, Knoxville, TN 37902-2526, OFC Phone: (423) 545-
4411, FAX: (423) 545-4578
Multifamily Housing Program Center, HUD--Nashville Office, 251 
Cumberland Bend Drive, Suite 200, Nashville, TN 37228-1803, OFC 
Phone: (615) 736-5748, FAX: (615) 736-2018

TEXAS

Multifamily Housing Hub, HUD Ft. Worth Office, 801 Cherry Street, PO 
Box 2905, Ft. Worth, TX 76102-2905, OFC Phone: (817) 978-5764, FAX: 
(817) 978-5520
Multifamily Housing Program Center, HUD Houston Office, 2211 
Norfolk, #200, Houston, TX 77098-4096, OFC Phone: (713) 313-2274 
Ext. 7015, FAX: (713) 313-2319
Multifamily Housing Program Center, HUD San Antonio Office, 800 
Dolorosa, San Antonio, TX 78207-4563, OFC Phone: (210) 475-6831, 
FAX: (210) 472-6897

UTAH

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver,

[[Page 9692]]

CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 672-5153

VERMONT

Multifamily Housing Program Center, HUD--Manchester Office, Norris 
Cotton Federal Bldg., 275 Chestnut Street, Manchester, NH 03101-
2487, OFC Phone: (603) 666-7684, FAX: (603) 666-7697

VIRGINIA

Multifamily Housing Hub, HUD Richmond Office, 3600 West Broad 
Street, Richmond, VA 23230-4920, OFC Phone: (804) 278-4500 Ext. 
3146, FAX: (804) 278-4613

WASHINGTON

Multifamily Housing Hub, HUD Seattle Office, 909 First Avenue, Suite 
190, MS-OAHM, Seattle, WA 98104-1000, OFC Phone: (206) 220-5228 ext. 
3250, FAX: (206) 220-5206

WEST VIRGINIA

Multifamily Housing Program Center, HUD--Charleston Office, 405 
Capitol Street, Suite 708, Charleston, WV 25301-1795, OFC Phone: 
(304) 347-7000 Ext. 103, FAX: (304) 347-7050

WISCONSIN

Multifamily Housing Program Center, HUD Milwaukee Office, 310 West 
Wisconsin Avenue, Room 1380, Milwaukee, WI 53203-2289, OFC Phone: 
(414) 297-3214 Ext. 8662, FAX: (414) 297-3204

WYOMING

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver, CO 80202-3607, OFC Phone: (303) 672-5343, FAX: (303) 
672-5153

BILLING CODE 4210-32-P

[[Page 9693]]

APPENDIX B

    The non-standard forms, which follow, are required for your 
Multifamily Housing Drug Elimination Program application. 
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FUNDING AVAILABILITY FOR PUBLIC HOUSING RESIDENT OPPORTUNITIES AND 
SELF SUFFICIENCY (ROSS) PROGRAM

Program Overview

    Purpose of Program. The purpose of the Public Housing Resident 
Opportunities and Self Sufficiency (ROSS) Program is to link services 
to public housing residents by providing grants for supportive 
services, resident empowerment activities and activities to assist 
residents in becoming economically self-sufficient.
    Available Funds. Approximately $55 million.
    Eligible Applicants. Public Housing Agencies (PHAs), resident 
management corporations, resident councils, resident organizations, 
Intermediary Resident Organizations (IROs), City-Wide Resident 
Organizations (CWROs) and nonprofit entities supported by residents.
    Application Deadline. June 15, 2000, for Resident Management and 
Business Development; May 9, 2000, for Capacity Building or Conflict 
Resolution; May 9, 2000, for Resident Service Delivery Models; and 
After publication of this SuperNOFA grant renewals will be accepted 
until all funds are awarded for Service Coordinators.
    Match. At least 25% of the grant amount. This match does not have 
to be a cash match. The match can be in-kind and/or cash contributions.

Additional Information

    If you are interested in applying for funding under any of these 
programs, please review carefully the General Section of this SuperNOFA 
and the following additional information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance.

    Application Due Date. Your completed application (one original and 
two copies) is due on or before 12:00 midnight, Eastern time, on the 
following application due dates to HUD Headquarters at the address 
shown below.
    June 15, 2000, for Resident Management and Business Development; 
May 9, 2000, for Capacity Building or Conflict Resolution; May 9, 2000, 
for Resident Service Delivery Models; and
    After publication of this SuperNOFA, grant renewals will be 
accepted until all funds are awarded for Service Coordinators.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mail application, 
express mail, overnight delivery, or hand-carried).
    Address for Submitting Applications. Submit your completed 
application (the original and one copy) to Grants Management Center 
(GMC), 501 School Street, SW, Suite 800, Washington, DC 20024.
    Submit your second copy of your application to the local HUD Field 
Office with delegated public or assisted housing responsibilities 
attention: Director, Office of Public Housing. See Appendix A of the 
SuperNOFA for a list of HUD offices with delegated responsibility. The 
original application and one copy must be sent to the GMC. You may also 
call the SuperNOFA Information Center at 1-800-HUD-8929 if you have a 
question regarding where you should submit your application. Persons 
with hearing or speech impairments may call the Center's TTY number at 
1-800-HUD-2209.
    On the application due date, hand carried applications will be 
accepted until 12:00 midnight in the South Lobby at HUD Headquarters, 
451 Seventh Street, SW, Washington DC 20410.
    For Application Kits. For an application kit and any supplemental 
material, please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, 
please refer to the ROSS Program, and provide your name, address 
(including zip code) and telephone number (including area code). An 
application kit is also available on the Internet through the HUD web 
site at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
the local HUD field office where you will be submitting your 
application or you may call the Public and Indian Housing Information 
and Resource Center at 1-800-955-2232.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    (A) Total Amount. For FY 2000, approximately $55 million is 
available for the Resident Opportunities and Self Sufficiency Program.
    (B) Allocation. To the extent that there are a sufficient number of 
qualified applications, not less than 25 percent of funds available for 
ROSS shall be provided directly to resident councils, resident 
organizations, resident management corporations, Intermediary Resident 
Organizations (IROs), and City-Wide Resident Organizations (CWROs). 
This requirement will be implemented by the awards made to resident 
organizations for the Technical Assistance/Training Support for 
Resident Organizations and the Resident Service Delivery Models funding 
categories.
    (C) Funding Categories and Funds Allocated to Each Category. There 
are three funding categories under ROSS. The funding categories and the 
amount allocated for each funding category and any subcategories are as 
follows:
    (1) Technical Assistance/Training Support for Resident 
Organizations. A total of $11 million is allocated for this first 
funding category.
    (a) Resident Management and Business Development (RMBD). A total of 
$6 million is allocated for this funding subcategory.
    (i) Grants will be made directly to resident organizations to: 
increase resident involvement and participation in their housing 
developments; develop resident management opportunities; provide 
resident-led business or cooperative development opportunities; and 
obtain necessary supportive services for self-sufficiency.
    (ii) The maximum grant award for this funding category is $100,000 
per applicant.
    (b) Capacity Building or Conflict Resolution (CB/CR). A total of $5 
million is allocate for this funding subcategory. These are two 
separate funding categories that are described below:
    (i) Capacity Building (CB). Grants to Intermediary Resident 
Organizations (IROs) for assistance to site-based resident associations 
who do not yet have the capacity to administer a welfare-to-work 
program or conduct management activities and non-profits which operate 
associations and networks that administer programs benefiting resident 
organizations. You may apply for funding that will be used to assist 
public housing residents in establishing a new resident organization or 
you may apply for funds to help or enhance the capacity of existing 
resident organizations to enable residents to participate in housing 
agency decision-making, manage all or a portion of their housing 
developments, and/or apply for and administer grants.
    (ii) Conflict Resolution (CR). This funding category is designed to 
provide grants to Intermediary Resident Organizations (IROs) and non-
profits which operate associations and

[[Page 9698]]

networks administering programs that benefit public housing residents, 
or resident organizations, and to partner with professional mediators 
or groups with grass roots intervention experience to resolve conflicts 
involving public housing residents, and/or site-based resident 
associations. (See Section IV of this ROSS competition for specific 
requirements for this funding category).
    (iii) The maximum amounts for CB/CR are as follows: $100,000 for 
City-Wide Resident Organizations (CWROs) per applicant, and $240,000 
per applicant for all other eligible applicants in these funding 
categories. Applicants are required to allocate two-thirds of the total 
grant to direct funding of CB or CR activities for Site-Based Resident 
Associations (RAs). CWROs are required to serve a minimum of 3 RAs. All 
other applicants are required to serve a minimum of 10 RAs.
    (2) Resident Service Delivery Models (RSDM). A total of $24 million 
is allocated for this second category of funding.
    (i) The Resident Service Delivery Models (RSDM) funding category 
provides grants to Public Housing Agencies (PHAs), or directly to 
resident management corporations, resident councils, or resident 
organizations, and nonprofit entities supported by residents. There are 
two sub-categories of grants under this funding category: Family--
Grants for program-related activities and supportive services to 
establish and implement comprehensive programs that achieve resident 
self-sufficiency for families; and Elderly and Disabled--Grants for 
independent living for the elderly and persons with disabilities.
    (iii) For RSDM, the maximum grant awards are as follows:
    (A) For PHAs, the maximum grant application award will be based on 
the number of occupied units for family or the elderly and persons with 
disabilities, as applicable. For the RSDM category, PHAs must use the 
number of occupied units to determine the maximum grant amount in 
accordance with the categories listed below for families:

--For PHAs with 1 to 780 occupied family units, the maximum grant award 
is $150,000.
--For PHAs with 781 to 7,300 occupied family units, the maximum grant 
award is $500,000.
--For PHAs with 7,301 or more occupied family units, the maximum grant 
award is $1,000,000.

    (B) For Elderly and Disabled RSDM grants, PHAs may apply for the 
below listed maximums:

--For 1 to 217 units occupied by elderly residents or persons with 
disabilities, the maximum grant award is $54,250.
--For 218 to 1,155 units occupied by elderly residents or persons with 
disabilities, the maximum grant award is $200,000.
--For 1,156 or more units occupied by elderly residents or persons with 
disabilities, the maximum grant award is $300,000.

    (C) The maximum grant award for RAs is $100,000.
    (D) Nonprofit entities supported by residents or RAs are limited to 
$100,000 for each RA. A non-profit may submit a single application for 
no more than three different RAs for a maximum grant award of $300,000.
    (3) Service Coordinator Renewals. A total of $20 million is 
allocated for this third funding category.
    (i) The Service Coordinator Renewal category provides grants to 
PHAs to address the needs of public housing residents who are elderly 
and disabled persons. Service coordinators help residents obtain 
supportive services that are needed to maintain independent living. 
Only renewals of prior FY 1995 Public Housing Elderly and Disabled 
Service Coordinator grants will be funded under this ROSS competition; 
no applications for new Service Coordinator grants will be accepted.
    (ii) These funds may only be used as follows:

--Renewal of existing Service Coordinator (SC) grants from prior years. 
This limitation is imposed to achieve Congressional intent to renew all 
service coordinator and congregate services grants. No applications for 
new elderly Service Coordinator grants will be accepted under this 
funding category.
--For the Elderly and Persons with Disabilities Service Coordinators 
category, award amounts cannot be higher than your highest funding and 
staffing level for any one-year period that was approved for their last 
funded Service Coordinator Grant. An increase of up to 2 percent over 
this amount will be allowed if supported by a narrative justification.

    (iii) The application period for SC renewals is open until all 
funds are awarded.
    (D) Transfer of Funds. If all funds are not awarded in one funding 
category, funds are transferable to other ROSS funding categories in 
this competition.
    (E) Number of Applications Permitted. You may submit no more than 
one application under this ROSS competition. The only exception is that 
PHAs applying for Service Coordinator Renewal grants under this program 
section of the SuperNOFA may apply for one renewal grant and one 
additional grant in another category. A PHA and one of its RAs may not 
both submit an application to serve the same development. Please read 
each funding category carefully for additional limitations.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The purpose of ROSS is to assist residents 
to become economically self sufficient by providing supportive services 
and resident empowerment activities. This program is consistent with 
the Department's goal to most effectively focus resources on ``welfare 
to work'' and on independent living for the elderly and persons with 
disabilities. HUD is looking for applications which implement practical 
solutions within the grant term, and result in improved economic self-
sufficiency for public housing residents. HUD seeks holistic solutions 
that involve the support of the entire community in providing self 
sufficiency opportunities for residents. Therefore, HUD encourages you 
to involve elderly and disabled residents in activities which support 
self sufficiency, such as child care, mentoring, or after school care. 
This philosophy should be reflected in your proposed grant activities 
for all funding categories within this ROSS competition. A description 
of each of the funding categories was provided in Section II of this 
program section. This section describes the eligible applicants and 
eligible activities of each funding category.
    (B) Definitions.
    City-Wide Resident Organization consists of members from Resident 
Councils, Resident Management Corporations, and Resident Organizations 
who reside in housing developments that are owned and operated by the 
same PHA within a city.
    Community Facility means a non-dwelling structure that provides 
space for multiple supportive services for the benefit of public 
housing residents and others eligible for the services provided. 
Services that may include but are not limited to:
    (1) Child care;
    (2) After-school activities for youth;
    (3) Job training;
    (4) Twenty/20 Education Communities (TECs) (formerly Campus of 
Learners) activities; and
    (5) English as a Second Language (ESL) classes.
    Contract Administrator means an overall administrator and/or a 
financial

[[Page 9699]]

management agent that oversees the financial aspects of a grant and 
assists in the entire implementation of the grant. A signed Contractor 
Administrator Partnership Agreement must be included in your 
application. This agreement may be contingent upon you receiving a 
grant award and adherence to PHA procurement policies. The contract 
administrator must assure that the financial management system and 
procurement procedures fully comply with 24 CFR part 84. The Contract 
Administrator may be: Local Housing Agencies; community-based 
organizations such as Community Development Corporations (CDC), 
churches; non-profits; State/Regional associations and organizations. 
Troubled PHAs are not eligible to be Contract Administrators.
    Firmly Committed means there must be a written agreement to provide 
resources. This written agreement may be contingent upon receiving an 
award.
    Elderly person means a person who is at least 62 years of age.
    Jurisdiction-Wide Resident Organization means an incorporated 
nonprofit organization or association that meets the following 
requirements:
    (1) Most of its activities are conducted within the jurisdiction of 
a single housing agency;
    (2) There are no incorporated Resident Councils or Resident 
Management Corporations within the jurisdiction of the single housing 
agency;
    (3) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (4) Public housing residents representing unincorporated Resident 
Councils within the jurisdiction of the single housing agency must 
comprise the majority of the board of directors.
    Intermediary Resident Organizations means Jurisdiction-Wide 
Resident Organizations, City-Wide Resident Organizations, State-Wide 
Resident Organizations, Regional Resident Organizations, and National 
Resident Organizations.
    National Resident Organization (NRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    (1) It is national (i.e., conducts activities or provides services 
in at least two HUD Areas or two States);
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public housing residents representing different geographical 
locations in the country must comprise the majority of the board of 
directors.
    Person with disabilities means an adult person who:
    (1) Has a condition defined as a disability in section 223 of the 
Social Security Act;
    (2) Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance Bill of Rights Act; or
    (3) Is determined to have a physical, mental, or emotional 
impairment which:
    (a) Is expected to be of long-continued and indefinite duration;
    (b) Substantially impedes his or her ability to live independently; 
and
    (c) Is of such a nature that such ability could be improved by more 
suitable housing conditions.
    The term ``person with disabilities'' does not exclude persons who 
have the disease of acquired immunodeficiency syndrome or any 
conditions arising from the etiologic agent for acquired 
immunodeficiency syndrome. In addition, no individual shall be 
considered a person with disabilities, for purposes of eligibility for 
low-income housing, solely on the basis of any drug or alcohol 
dependence.
    The definition provided above for persons with disabilities is the 
proper definition for determining program qualifications. However, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must be 
used for purposes of reasonable accommodations.
    Program Coordinator is a person who is responsible for coordinating 
various proposed activities to ensure that their accomplishment will 
assist in achieving the overall grant goals and objectives.
    Project is the same as ``low-income housing project'' as defined in 
section 3(b)(1) of the United States Housing Act of 1937 (42 U.S.C. 
1437 et seq.) (1937 Act).
    Resident Association (RA) means any or all of the forms of resident 
organizations as they are defined elsewhere in this Definitions section 
and includes Resident Councils (RC), Resident Management Corporations 
(RMC), Regional Resident Organizations (RRO), Statewide Resident 
Organizations (SRO), Jurisdiction-Wide Resident Organizations, and 
National Resident Organizations (NRO).
    Resident Council (RC) means (as provided in 24 CFR 964.115) an 
incorporated or unincorporated nonprofit organization or association 
that shall consist of persons residing in public housing and must meet 
each of the following requirements in order to receive official 
recognition from the PHA/HUD, and be eligible to receive funds for RC 
activities and stipends for officers for their related costs for 
volunteer work in public housing. (Although 24 CFR part 964 defines an 
RC as an incorporated or unincorporated nonprofit organization, HUD 
requires RC applicants for ROSS grants to be registered with the State 
at the time of application submission.) The following also applies to 
resident councils:
    (1) The RMC must adopt written procedures such as by-laws, or a 
constitution which provides for the election of residents to the 
governing board by the voting membership of the public housing 
residents. The elections must be held on a regular basis, but at least 
once every 3 years. The written procedures must provide for the recall 
of the resident board by the voting membership. These provisions shall 
allow for a petition or other expression of the voting membership's 
desire for a recall election, and set the percentage of voting 
membership which must be in agreement in order to hold a recall 
election. This threshold shall not be less than 10 percent of the 
voting membership.
    (2) The RMC must have a democratically elected governing board that 
is elected by the voting membership. At a minimum, the governing board 
should consist of five elected board members. The voting membership 
must consist of heads of households (any age) and other residents at 
least 18 years of age or older and whose name appear on a lease for the 
unit in the public housing that the resident council represents.
    (3) The RMC may represent residents residing in:
    (a) Scattered site buildings in areas of contiguous row houses;
    (b) One or more contiguous buildings;
    (c) A development; or
    (d) A combination of the buildings or developments described above.
    Regional Resident Organization (RRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    (1) The RRO is regional (i.e., not limited by HUD Areas);
    (2) The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    (3) Public housing residents representing different geographical 
locations in the region must comprise the majority of the board of 
directors.
    Resident Management Corporation (RMC) (see 24 CFR 964.7, 964.120) 
means an entity that consists of

[[Page 9700]]

residents residing in public housing and must have each of the 
following characteristics in order to receive official recognition by 
the PHA and HUD:
    (1) The RMC shall be a nonprofit organization that is validly 
incorporated under the laws of the State in which it is located;
    (2) The RMC may be established by more than one RC, so long as each 
such council:
    (a) Approves the establishment of the corporation; and
    (b) Has representation on the Board of Directors of the 
corporation.
    (3) The RMC shall have an elected Board of Directors, and elections 
must be held at least once every 3 years;
    (4) The RMC's by-laws shall require the Board of Directors to; 
include resident representatives of each RC involved in establishing 
the corporation; include qualifications to run for office, frequency of 
elections, procedures for recall; and term limits if desired;
    (5) The RMC's voting members shall be heads of households (any age) 
and other residents at least 18 years of age and whose name appears on 
the lease of a unit in public housing represented by the RMC;
    (6) Where an RC already exists for the development, or a portion of 
the development, the RMC shall be approved by the RC board and a 
majority of the residents. If there is no RC, a majority of the 
residents of the public housing development it will represent must 
approve the establishment of such a corporation for the purposes of 
managing the project; and
    (7) The RMC may serve as both the RMC and the RC, so long as the 
corporation meets the requirements of 24 CFR part 964 for an RC.
    Secretary means the Secretary of Housing and Urban Development.
    Site-Based Resident Associations means Resident Councils and 
Resident Management Corporations.
    Statewide Resident Organization (SRO) means a Site-Based 
incorporated nonprofit organization or association for public housing 
that meets the following requirements:
    (1) The SRO is Statewide;
    (2) The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    (3) Public housing residents representing different geographical 
locations in the State must comprise the majority of the Board of 
Directors.
    (C) Resident Management and Business Development (RMBD).
    (1) Eligible applicants. Site-Based Resident Associations (RAs) and 
City-Wide Resident Organizations (CWROs). If you are an RA that is a 
beneficiary or recipient of proposed grant activities by a CWRO, then 
you cannot also apply under this category. You may only submit one 
application under this funding category.
    (2) Eligible participants. At least 75 percent of the persons 
participating and receiving benefits from RMBD activities must be 
residents of conventional public housing; any other persons (up to 25 
percent per grantee) participating or receiving benefits from these 
programs must be recipients of Section 8 assistance. In addition, you 
must provide a certification that at least 51 percent of those served 
by your proposed activities are residents affected by welfare reform.
    (3) Eligible Activities. Funding is limited to the following 
activities below:
    (a) Training related to resident-owned business or cooperative 
development and technical assistance for job training and placement in 
housing developments;
    (b) Technical assistance and training in resident managed business 
development through: feasibility and market studies; development of 
business plans; outreach activities; and innovative financing methods 
including revolving loan funds and the development of credit unions; 
and legal advice in establishing a resident-managed business entity or 
cooperative. Revolving loan funds can not be used for acquisition, 
disposition, or physical development.;
    (c) Establishing and funding revolving loan funds. Revolving loan 
funds can not be used for acquisition, disposition, or physical 
development;
    (d) Training residents, as potential employees of an RMC, in skills 
directly related to the operation, management, maintenance and 
financial systems of a development;
    (e) Training residents with respect to fair housing requirements; 
and
    (f) Gaining assistance in negotiating management contracts and 
designing a long-range planning system.
    (g) Providing social support needs (such as self sufficiency and 
youth initiatives) including:
    (h) Feasibility studies to determine training and social services 
needs;
    (i) Training in management-related trade skills, computer skills, 
and similar skills;
    (j) Management-related employment training and counseling including 
job search assistance, job development assistance, job placement 
assistance, and follow up assistance;
    (k) Supportive services including: child care services; educational 
services, remedial education, literacy training, ESL instruction, 
assistance in attaining a GED; vocational training including computer 
training; health care outreach and referral services; meal services for 
the elderly or persons with disabilities; personal assistance to 
maintain hygiene/appearance for the elderly or persons with 
disabilities; housekeeping assistance for the elderly or persons with 
disabilities; transportation services; congregate services for the 
elderly or persons with disabilities; and case management;
    (l) Training for programs such as child care, early childhood 
development, parent involvement, volunteer services, parenting skills, 
before and after school programs;
    (m) Training programs on health, nutrition, safety and substance 
abuse; Food costs that are directly attributable to the nutrition and 
health training are eligible grant expenditures. These are not food 
costs associated with entertainment.
    (n) Workshops for youth services including: child abuse and neglect 
prevention, tutorial services, youth leadership skills, youth 
mentoring, peer pressure reversal, life skills, and goal planning. The 
workshops can be held in partnership with community-based organizations 
such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, 
Campfire, and Big Brother/Big Sisters;
    (o) Training in the development of strategies to successfully 
implement a youth program. For example, assessing the needs and 
problems of youth, improving youth initiatives that are currently 
active, and training youth, housing agency staff, resident management 
corporations and resident councils on youth initiatives and program 
activities;
    (p) Physical improvements to facilities at public housing 
developments to provide space for self-sufficiency activities for 
residents, i.e. to provide cosmetic improvements and repairs to space 
to conduct community activities; or to expand existing community space 
for your proposed ROSS activities. Your physical improvements may not 
exceed 50% of the total grant amount and must be directly related to 
providing space for self-sufficiency activities for residents. Refer to 
Office of Management and Budget (OMB) Circular A-87, Cost Principles 
for State, Local and Indian Tribal Governments;
    (i) Renovation, conversion, and repair costs may be essential parts 
of physical improvements. In addition, architectural, engineering, and 
related professional services required to prepare

[[Page 9701]]

architectural plans or drawings, write-ups, specifications or 
inspections may also be part of the cost components to implement 
physical improvements.
    (ii) The renovation, conversion, or combination of vacant dwelling 
units in a PHA development to create common areas to accommodate the 
provision of supportive services is an eligible activity for physical 
improvements.
    (iii) The renovation of existing common areas in a PHA development 
to accommodate the provision of supportive services.
    (iv) The renovation or repair of facilities located near the 
premises of one or more PHA developments to accommodate the provision 
of supportive services.
    (v) If renovation, conversion, or repair is done off-site, the PHA 
or owner must provide documentation that it has control of the proposed 
property for not less than 2 years and preferably for 4 years or more. 
Control can be evidenced through a lease agreement, ownership 
documentation, or other appropriate documentation.
    (vi) All renovations must meet appropriate accessibility 
requirements.
    (q) Establishing and operating centers that use technology and 
telecommunications for job training, after-school youth programs and 
educational activities.
    (4) Ineligible Resident Management and Business Development 
Activities and Costs.
    (a) Entertainment, including associated costs such as food and 
beverages, except normal per diem for meals related to travel performed 
in connection with implementing the Work Plan. (See HUD Travel Notice 
99-24 for more specific guidance.)
    (b) Purchase or rental of land.
    (c) Activities not directly related to the welfare-to-work 
initiatives (e.g., lead-based paint testing and abatement and operating 
capital for economic development activities).
    (d) Purchase of any vehicle (car, van, bus, etc.).
    (e) Payment of salaries for routine project operations, such as 
security and maintenance, or for applicant staff, except that a 
reasonable amount of grant funds may be used to hire a person to 
coordinate the Resident Management and Business Development grant 
activities or coordinate on-site social services.
    (f) Payment of fees for lobbying services.
    (g) Any expenditures that are fraudulent, wasteful or otherwise 
incurred contrary to HUD or OMB directives.
    (h) Any cost otherwise eligible under this program section of the 
SuperNOFA for which funds are being provided from any other source.
    (i) Entertainment equipment such as televisions, radios, stereos, 
and VCRs. An exception to this item may be granted by the HUD Field 
Office if funding is being utilized specifically for the purposes of 
establishing a business directly related to radio, television or film 
or some other form of technical communication, and equipment is being 
utilized for training of residents or RAs. All such exceptions must be 
authorized in writing by the HUD Field Office before purchases may be 
made.
    (j) The cost of application preparation is not eligible.
    (5) Supporting Information. The following information may be useful 
in developing proposed grant activities and costs:
    (a) Training. Training activities may include training on HUD 
regulations and policies governing the operation of low-income public 
housing including contracting/procurement regulations; financial 
management; job and business development training; capacity building to 
develop the necessary skills to assume management responsibilities at 
the project and property management; and training in accessing other 
funding sources.
    (b) Hiring trainers or other experts. Resident grantees must ensure 
that all training is provided by a qualified public housing or 
management specialist (Consultant/Trainer), HUD Headquarters, Field 
staff or the local PHA. To ensure the successful implementation of the 
grant Work Plan activities, you are required to determine the need to 
contract for outside consulting/training services. You and the PHA must 
jointly select and approve the consultant/trainer. Your application 
should make maximum use of your PHA, non profit, or other Federal, 
State, or local government resources for technical assistance and 
training needs. The amount allowed for hiring an individual consultant 
for this purpose shall not exceed 30% of your total grant amount or 
$30,000, whichever is less. The amount available for all consultants 
and contracts should not exceed 50% of your grant amount or $50,000 
whichever is less. HUD Field Offices will monitor this process to 
ensure compliance with program and OMB requirements, and particularly 
the requirement for competitive bidding. Where it is necessary to 
exceed the 50% limitation you must use performance based contracting. 
Performance based contracts require that fees be paid in exchange for 
goods and services actually delivered. For example, a trainer would be 
paid for the number of residents that were trained, i.e. performance, 
regardless of the maximum dollar amount quoted in the contract.
    (c) Stipends. Trainees and program participants of an RA, or CWRO, 
may receive stipends for participating in or receiving training under 
Resident Management to cover reasonable costs related to participation 
in training and other activities in your program, subject to the 
availability of funds. The stipends should be used for additional costs 
incurred during the training programs, such as child care and 
transportation costs. The cost of stipends may not exceed $200 per 
month per trainee without written HUD Field Office authorization.
    (d) Reimbursement of Reasonable Expenses. Reimbursement of 
reasonable expenses incurred by Officers and Board members in the 
performance of their fiduciary duties and/or training related to the 
performance of their official duties.
    (e) Travel. Travel directly related to the successful completion of 
your required Work Plan. You must adhere to the travel policy 
established by HUD Notice 99-24. This policy sets travel costs at a 
maximum amount of $5,000 per RA without special HUD approval.
    (f) Child-Care Expenses. Child care expenses for individual staff, 
board members, or residents in cases where those who need child care 
are involved in training-related activities associated with your grant 
activities.
    (g) Costs incurred by a RA in applying for 501(c) tax exempt status 
with Internal Revenue Service. Please refer to the Internal Revenue 
Service (IRS) Publication 557, which describes the requirements for 
section 501(c) tax exempt organizations and list the applicable forms 
required.
    (h) Administrative costs. These costs are necessary for the 
implementation of your grant activities. Administrative costs are not 
to exceed 20% of the grant. Appropriate administrative costs include, 
but are not limited to, the following reasonable costs or activities:
    (i) Space and equipment. Maintenance, utility costs, postage, 
building lease/rental costs, purchase or lease of telephone, computer, 
printing, copying, and sundry non-dwelling equipment (such as office 
supplies, software, and furniture). You must justify the need for this 
equipment or space based on services being delivered in relationship to 
implementing your approved grant activities.
    (ii) Rental or lease of vehicles. Rental or lease of a car, van, or 
bus by resident grantees to attend training;

[[Page 9702]]

    (6) Grant term. The grant term for Resident Management and Business 
Development grants is thirty-six months from the execution date of your 
grant agreement.
    (D) Capacity Building or Conflict Resolution.
    (1) Eligible applicants. (a) Intermediary Resident Organizations 
(IROs) on behalf of public housing residents, which include Public 
Housing Site-Based Resident Councils and Resident Management 
Corporations may apply for Capacity Building and/or Conflict Resolution 
grants. IROs include National Resident Organizations, Statewide 
Resident Organizations, Regional Resident Organizations, City-Wide 
Resident Organizations, and Jurisdiction-Wide Resident Organizations.
    (b) Eligible applicants cited above may submit either one 
application for conflict resolution or one application for capacity 
building under this funding category.
    (c) Non-profits that operate as associations or networks that 
administer programs that benefit public housing resident organizations 
are also eligible for this funding category.
    (2) Eligible activities. (a) Conflict resolution. Conflict 
resolution grant activities may include, but are not limited to:
    (i) Establishing violence-free zones to enhance the quality of 
living environment for public housing residents. The eligible 
activities for your proposed program must address one or more of the 
following areas: violent crime, youth violence, and/or violent gang 
activity in your housing development or living environment. These areas 
must be addressed in your application. You must at a minimum focus on 
one of these areas, but may include the others where appropriate. Your 
grant application must include specific processes or techniques to 
prevent and reduce violent crime that are measurable within the grant 
term. Implementation strategies may include training at the grass roots 
level, resident employment; resident partnership with local law 
enforcement; personal skill-building to strengthen individual character 
development; and management techniques for preventing violence. You 
must identify the public housing development(s) that will serve as the 
focus for proposed grant activities. Any other areas, (e.g., negatively 
impacted neighborhoods and assisted/insured housing developments) which 
benefit from your proposed grant activities must be adjacent to the 
public housing development;
    (ii) Training programs on mediation and communication skills;
    (iii) Training programs on dispute resolution and reconciliation, 
including training addressing racial, ethnic and other forms of 
diversity;
    (iv) Workshops for youth services including: child abuse and 
neglect prevention, tutorial services, youth leadership skills, youth 
mentoring, peer pressure reversal, life skills, social skills, goal 
planning, health, wellness and nutrition. The workshops may be held in 
partnership with community-based organizations such as local Boys and 
Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, Campfire and Big Brother/Big 
Sisters, etc. Food costs that are directly attributable to the actual 
nutrition, wellness and health training are an eligible grant 
expenditure. These are not food costs associated with entertainment.
    (v) Training in the development of strategies to successfully 
implement a youth program. For example, assessing the needs and 
problems of youth, improving youth initiatives that are currently 
active, and training youth, housing agency staff, resident management 
corporations and resident councils on youth initiatives and program 
activities.
    (b) Capacity Building. Eligible activities for CB grants may 
include, but are not limited to:
    (i) Training Board members in community organizing, Board 
development, and leadership training;
    (ii) Conducting the feasibility of training existing resident 
groups for resident management or for a specific resident management 
project;
    (iii) Assisting in the creation of an RMC, such as consulting and 
legal assistance to incorporate, preparing by-laws and drafting a 
corporate charter;
    (iv) Developing the management capabilities of existing resident 
organizations;
    (v) Determining the feasibility of homeownership by residents, 
including assessing the feasibility of other housing (including HUD-
owned or held single or multi-family) affordable for purchase by 
residents.
    (3) Ineligible Activities. Ineligible activities are the same as 
those listed in Section III(C)(7) of this program section of the 
SuperNOFA, above.
    (a) In addition, physical development activities are not eligible 
for funding under CB or CR grants.
    (b) The cost of application preparation is not eligible.
    (4) Administrative costs may include, but are not limited to, 
purchase of furniture, office equipment and supplies, training, quality 
assurance, travel, and utilities. Administrative costs must not exceed 
20% of the total grant costs.
    (5) Grant term. The grant term for both Conflict Resolution and 
Capacity Building grants is thirty-six months from the execution date 
of the grant agreement.
    (D) Resident Service Delivery Models (RSDM).
    (1) Eligible Applicants. (a) Family. This funding category provides 
grants to PHAs, resident management corporations, resident councils, or 
resident organizations, and nonprofit entities supported by residents, 
to enable them to establish and implement comprehensive programs that 
assist residents in becoming self-sufficient and/or enable independent 
living and aging in place.
    (b) Elderly and Disabled. PHAs and non-profits supported by a duly 
elected resident council are the only eligible applicants in providing 
supportive services for the elderly and disabled.
    (c) IROs with 501(c) status may apply as non-profit entities under 
this funding category.
    (2) Number of RSDM Applications Permitted. (a) General. PHAs must 
submit an application either for a family or an elderly grant. ROs must 
submit one application for a family grant; and non-profits may submit 
one application for a family or elderly grant representing up to three 
public housing resident groups.
    (b) Joint applications. Two or more applicants may join together to 
submit a joint application for proposed grant activities. Joint 
applications must designate a lead applicant. All parties in a joint 
application (lead or non-lead) are considered to be applying for ROSS 
and are therefore subject to the limit of one ROSS application per 
applicant, with the exception of those Public Housing Service 
Coordinator renewal applicants that may also apply in one additional 
ROSS category. Joint applications may include PHAs/IROs, nonprofit 
entities on behalf of residents and resident organizations. Joint 
applications must also provide evidence of resident support. The 
maximum funding for joint applications cannot exceed the sum of the 
individual grants as specified above. Any eligible applicant can serve 
as a lead applicant.
    (3) Eligible participants. At least 75 percent of the persons 
participating and receiving benefits from these activities must be 
residents of conventional public housing. Any other persons (up to 25 
percent per grantee) participating or receiving benefits from these 
programs must be recipients of Section 8 assistance.

[[Page 9703]]

    (4) Eligible activities. Funds may be used for the activities 
described below for the family category.
    (a) Program Coordinator. You are encouraged to include a Program 
Coordinator for proposed RSDM activities for the entire term of your 
grant. A Program Coordinator is a person who is responsible for 
coordinating various proposed activities to ensure that their 
accomplishment will assist in achieving overall grant goals and 
objectives.
    (b) Physical improvements. Physical improvements to provide space 
for self-sufficiency activities for residents (i.e., to provide 
cosmetic repairs for space to conduct community activities; or to 
expand existing community space for proposed ROSS activities). Physical 
improvements may not exceed 50% of the total grant amount and must be 
directly related to providing space for self-sufficiency activities for 
residents. Physical improvements include the following:
    (i) Renovation, conversion, and repair costs may be essential parts 
of physical improvements. In addition, architectural, engineering, and 
related professional services required to prepare architectural plans 
or drawings, write-ups, specifications or inspections may also be part 
of the cost components to implement physical improvements;
    (ii) The renovation, conversion, or combination of vacant dwelling 
units in a housing development to create common areas to accommodate 
the provision of supportive services is an eligible activity for 
physical improvement;
    (iii) The renovation of existing common areas in a housing 
development to accommodate the provision of supportive services is an 
eligible activity for physical improvements;
    (iv) The renovation or repair of facilities located near the 
premises of one or more housing developments to accommodate the 
provision of supportive services is an eligible activity for physical 
improvements;
    (v) If renovation, conversion, or repair is done off-site, you must 
provide documentation that you have control of the proposed property 
for not less than 2 years and preferably for 4 years or more. Control 
can be evidenced through a lease agreement, ownership documentation or 
other appropriate documentation.
    (vi) All renovations must meet appropriate section 504 
accessibility requirements.
    (c) Entrepreneurship training. Entrepreneurship training includes 
literacy training, computer skills training, business development 
planning.
    (d) Entrepreneurship development. Entrepreneurship development 
includes entrepreneurship training curriculum, entrepreneurship 
courses.
    (e) Micro/Loan fund. Developing a strategy for establishing a 
revolving micro/loan fund and/or capitalizing a loan fund, including 
licensing, bonding, and insurance needed to operate a business. 
Revolving loan funds can not be used for acquisition, disposition, or 
physical development;
    (f) Developing credit unions. Developing a strategy to establish 
and/or create on-site credit union(s) to provide financial and economic 
development initiatives to PHA residents. (RSDM grant funds cannot be 
used to capitalize a credit union.) The credit union can support the 
normal financial management needs of the community (i.e., check 
cashing, savings, consumer loans, micro-businesses money management, 
home buyer counseling, educational loans, and other revolving loans).
    (g) Employment training and counseling (e.g., job training (such as 
apprenticeship programs), preparation and counseling, job search 
assistance, job development and placement, and continued follow-up 
assistance).
    (h) Employer linkage and job placement.
    (i) Family only--supportive services activities. The provision of 
services to assist eligible residents to become economically self-
sufficient, particularly families with children where the head of 
household would benefit from the receipt of supportive services and is 
working, seeking work, or is preparing for work by participating in 
job-training or educational programs. Eligible supportive services may 
include, but are not limited to:
    (i) Child care, of a type that provides sufficient hours of 
operation and serves appropriate ages as needed to facilitate parental 
access to education and job opportunities.
    (ii) Computer-based educational opportunities, skills training, and 
entrepreneurial activities.
    (iii) Homeownership training and counseling, development of 
feasibility studies and preparation of homeownership plans/proposals.
    (iv) Education including but not limited to: remedial education; 
computer skills training; career counseling; literacy training; 
assistance in the attainment of certificates of high school 
equivalency; two-year college tuition assistance; trade school 
assistance; youth leadership skills and related activities (activities 
may include peer leadership roles training for youth counselors, peer 
pressure reversal, life skills, and goal planning). Academic support 
shall not be limited to TANF recipients.
    (v) Youth mentoring of a type that mobilizes a potential pool of 
role models to serve as mentors to public housing youth. Mentor 
activities may include after-school tutoring, help with problem 
resolution issues, illegal drugs avoidance, job counseling, or mental 
health counseling.
    (vi) Transportation costs, as necessary to enable any participating 
family member to receive available services to commute to his or her 
training or supportive services activities or place of employment.
    (vii) Personal well-being (e.g., family/parental development 
counseling, parenting skills training for adult and teenage parents, 
self-development counseling, support groups/counseling for victims of 
domestic violence, and/or families with a mentally ill member, etc.).
    (viii) Supportive health care services (e.g., outreach and referral 
services to substance and alcohol abuse treatment and counseling, 
mental health services, wellness programs). Food costs that are 
directly attributable to the actual nutrition and health training are 
an eligible grant expenditures. These are not food costs associated 
with entertainment.
    (ix) Contracting for case management services or employment of case 
managers, which must ensure confidentiality about resident's 
disabilities.
    (x) Establishing and/or operating centers that use technology and 
telecommunications for job training, after-school youth programs and 
educational activities.
    (xi) Administrative costs may include, but are not limited to, 
purchase of furniture, office equipment and supplies, quality 
assurance, travel, and utilities. Administrative costs must not exceed 
20% of the total grant costs.
    (xii) Stipends. No more than $200 per participant per month of the 
grant award may be used for stipends for active trainees and program 
participants to cover the reasonable costs related to participation in 
training and other activities.
    (j) Elderly and disabled--supportive services activities may 
include, but are not limited to:
    (i) Meal service adequate to meet nutritional need;
    (ii) Assistance with daily activities;
    (iii) Housekeeping aid;
    (iv) Transportation services;

[[Page 9704]]

    (v) Wellness programs, preventive health education, referral to 
community resources;
    (vi) Personal emergency response;
    (vii) Congregate services--includes supportive services that are 
provided in a congregate setting at a conventional public housing 
development; and
    (viii) Case management.
    (5) Ineligible Activities. Activities for which costs are 
ineligible for funding under the RSDM funding category include:
    (i) Elderly Service Coordinator salary funding;
    (ii) Payment of wages and/or salaries to participants receiving 
supportive services and/or training programs, except that grant funds 
under family RSDM may be used to hire a resident(s) as a Program 
Coordinator or to provide training program activities;
    (iii) Purchase or rental of land;
    (iv) New construction, materials, costs;
    (v) Purchase of vehicles; and
    (vi) Cost of application preparation is not eligible.
    (6) Grant term. The grant term for Resident Service Delivery Models 
grants is thirty-six months from the execution date of the grant 
agreement.
    (E) Service Coordinators for Elderly and Persons with Disabilities.
    (1) Eligible Applicants. This funding category provides grants to 
PHAs with developments designated for the elderly and persons with 
disabilities which were initially awarded in FY 1995.
    (2) Joint Applications. Two or more PHAs may join together to share 
a service coordinator and so submit joint applications. Joint 
applicants must designate a lead applicant. All joint applicants must 
be existing service coordinator grantees.
    (3) Eligible developments. To be eligible, a development must have 
elderly residents and/or non-elderly residents with disabilities who 
together total at least 25 percent of the building's residents.
    (4) Eligible Activities. Under this funding category, funds may be 
used for the following activities:
    (a) Service Coordinator. To pay for the salary, fringe benefits, 
and related administrative costs for employing a service coordinator. A 
service coordinator is a social service staff person hired or 
contracted by the PHA. The coordinator is responsible for assuring that 
elderly residents, especially those who are frail or at risk, and those 
non-elderly residents with disabilities are linked to the supportive 
services they need to continue living independently in that 
development. The service coordinator, however, may not require any 
elderly person or person with disabilities to accept the supportive 
services. For the purposes of this program, a service coordinator is 
any person who is responsible for one or more of the following 
functions:
    (i) Working with community service providers to coordinate the 
provision of services and to tailor the services to the needs and 
characteristics of eligible residents;
    (ii) Establishing a system to monitor and evaluate the delivery, 
impact, effectiveness and outcomes of supportive services under this 
program;
    (iii) Coordinating this program with other independent living or 
self-sufficiency, education and employment programs;
    (iv) Performing other duties and functions to assist residents to 
remain independent, and to prevent unnecessary institutionalization; 
and
    (v) Mobilizing other national and local public/private resources 
and partnerships.
    (b) Administrative costs. Administrative costs may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
training, quality assurance, travel, and utilities. Administrative 
costs must not exceed 20% of the total grant costs.
    (5) Ineligible Activities/Costs. (a) Applicants may not use these 
monies to replace current funding from other sources for a Service 
Coordinator or for some other staff person who performs service 
coordinator functions; and
    (b) The cost of application preparation is not eligible.
    (6) Grant term. The grant term for Elderly or Persons with 
Disabilities Service Coordinator grants is 12 months.

IV. Program Requirements

    The requirements of this section are applicable to all applicants, 
and grantees under this announcing of funding availability.
    (A) Compliance with Fair Housing and Civil Rights Laws. Your 
application must meet all the applicable threshold requirements found 
in Section II(B) of the General Section of the SuperNOFA, as well as 
the following requirements.
    (B) Affirmatively Furthering Fair Housing. You must adhere to the 
requirement as provided in Section II(D) of the General Section of the 
SuperNOFA.
    (C) Certifications and Assurances. You must comply with the 
certifications and assurances contained in Section II(G) of the General 
Section of the SuperNOFA.
    (D) Applicant Internet Access. Prior to the initial draw down, all 
grantees must have secured online access to the Internet as a means to 
communicate with HUD on grant matters.
    (E) ROSS Evaluation and Assessment. All applicants selected for 
award must be willing to participate in the evaluation and assessment 
that HUD intends to conduct for the ROSS Program. At grant award HUD 
will provide additional information on the evaluation and assessment 
for applicants who receive awards.

V. Application Selection Process

(A) Application Selection Process for Resident Management and Business 
Development

    Applicants for Resident Management and Business Development grants 
are required to address application submission requirements, but are 
not required to address selection factors. HUD will accept for funding 
the first five eligible applications from each of the ten federal 
regions on a first-come, first-serve basis for 120 days after 
publication of this SuperNOFA. Any funds remaining after making awards 
to the first five eligible applications from each region will be 
awarded to the next eligible application from each region, then the 
next, and so forth until funds are exhausted. If sufficient funds are 
not available in any round to fund an eligible application from each 
region, the eligible applications will then be funded in the order in 
which they were received regardless of region. Where physical 
development activities are proposed, HUD will perform an environmental 
review, to the extent required by 24 CFR part 50, prior to award. The 
results of the environmental review may require that proposed 
activities be modified or proposed sites rejected. If all funds are not 
awarded in one funding category, funds are transferable to other ROSS 
funding categories in this ROSS competition.

(B) Application Selection Process for Capacity Building or Conflict 
Resolution

    Applicants for Conflict Resolution or Capacity Building grants are 
required to address application submission requirements but are not 
required to address selection factors. Eligibility will be determined 
by applications that meet the threshold requirements of Section IV of 
this program section of the SuperNOFA. HUD will accept for funding the 
first two eligible applications from each of the ten federal regions on 
a first-come, first-serve basis for 90 days after this SuperNOFA is 
published. Any funds remaining after making awards to the first two 
eligible applications from each region will be awarded to the next 
eligible application

[[Page 9705]]

from each region, then the next, and so forth until funds are 
exhausted. If sufficient funds are not available in any round to fund 
an eligible application from each region, the eligible applications 
will then be funded in the order in which they were received regardless 
of region. If all funds are not awarded in one funding category, funds 
are transferable to the other ROSS funding categories in this ROSS 
competition.

(C) Application Selection Process for Resident Service Delivery Models

    (1) Three types of reviews will be conducted: a screening to 
determine if your application submission is complete and on time; a 
threshold review to determine applicant eligibility; and a technical 
review to rate your application based on the five rating factors 
provided in this section. A minimum score of 55 is required to be 
considered for funding. If you are not the PHA, where physical 
development activities are proposed, HUD will perform an environmental 
review, to the extent required by 24 CFR part 50, prior to award. The 
results of the environmental review may require that proposed 
activities be modified or proposed sites rejected.
    (2) The selection process is designed to achieve geographic 
diversity of grant awards throughout the country. HUD will first select 
the highest ranked application from each of the ten federal regions for 
funding. After this ``round,'' HUD will select the second highest 
ranked application in each of the ten federal regions for funding (the 
second round). HUD will continue this process with the third, fourth, 
and so on, highest ranked applications in each federal region until the 
last complete round is selected for funding. If available funds exist 
to fund some but not all eligible applications in the next round, HUD 
will make awards to those remaining applications in rank order 
regardless of region and will fully fund as many as possible with 
remaining funds. In addition, if all funds are not awarded in this 
funding category, funds are transferable to other funding categories in 
this ROSS Competition.

(D) Factors for Award Used to Evaluate and Rate RSDM Applications

    The factors for rating and ranking applicants and maximum points 
for each factor are provided below. The maximum number of points 
available for this program is 102. This includes two EZ/EC bonus 
points, as described in the General Section of the SuperNOFA. The 
application kit contains a certification that must be completed for the 
applicant to be considered for EZ/EC bonus points and a listing of 
federally designated EZs and ECs. A RSDM application must receive a 
total of 55 points out of 100 to be eligible for funding.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points)

    This factor addresses the extent to which the applicant has the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. In rating this factor HUD will 
consider the extent to which the proposal demonstrates:

(1) Proposed Program Staffing (7 Points)

    (a) Experience. (4 Points) The knowledge and experience of your 
proposed project director and staff, including the day-to-day program 
manager, sub-recipients and partners in planning and managing programs 
for which funding is being requested. Your experience will be judged in 
terms of recent, relevant and successful experience to undertake 
eligible program activities.
    (b) Sufficiency. (3 Points) You and your sub-recipients, and 
partners have sufficient personnel or will be able to quickly access 
qualified experts or professionals, to deliver the proposed activities 
in each proposed service area in a timely and effective fashion, 
including your readiness and ability to immediately begin the proposed 
work program. To demonstrate sufficiency, you must submit the proposed 
number of staff years to be allocated to your program by employees and 
experts, the titles and relevant professional background and experience 
of each employee and expert proposed to be assigned to your program, 
and the roles to be performed by each identified employee and expert.

(2) Program Administration and Fiscal Management (7 Points)

    (a) Program Administration. (4 Points) The soundness of the 
proposed management of your proposed RSDM program. To receive a high 
score, you must provide a comprehensive description of your project 
management structure. Your narrative must provide a description of how 
any co-applicants, sub-grantees, and other partner agencies relate to 
the program administrator as well as the lines of authority and 
accountability among all components of your proposed program.
    (b) Fiscal Management. (3 Points) The soundness of your proposed 
fiscal management. To receive a high score you must provide a 
comprehensive description of the fiscal management structure, 
including, but not limited to, budgeting, fiscal controls, and 
accounting. The application must identify the staff responsible for 
fiscal management, and the processes and timetable for implementation 
during the proposed grant period.

(3) Applicant/Administrator Track Record (6 Points)

    To receive a high score, you must demonstrate your (or your 
proposed Administrator's) program compliance and successful 
implementation of any resident self-sufficiency, security or 
independence oriented grants (including those listed below) awarded to 
you or overseen by your Administrator. If you or your Administrator has 
no prior experience in operating programs that foster resident self-
sufficiency, security or independence you will receive a score of 0 on 
this factor. Your past experience may include, but is not limited to, 
administering the following grants: Family Investment Center Program; 
Youth Development Initiative under Family Investment Center Program; 
Youth Apprenticeship Program; Apprenticeship Demonstration in the 
Construction Trades Program; Urban Youth Corps Program; HOPE I Program; 
Public Housing Service Coordinator Program; Public Housing Drug 
Elimination Program; Tenant Opportunities Program; Economic Development 
and Supportive Services; and Youth Sports Program.

Rating Factor 2: Need/Extent of the Problem (20 Points)

    This factor addresses the extent to which there is a need for 
funding your proposed program activities to address a documented 
problem in the target area. You will be evaluated on the extent to 
which they document a critical level of need in the development or your 
proposed activities in the area where activities will be carried out. 
In responding to this factor, you will be evaluated on:

(1) A Needs Assessment Document (18 Points)

    HUD will award up to 18 points based on the quality and 
comprehensiveness of the needs assessment document.
    (a) To obtain maximum points for Family RSDM applications, this 
document must contain statistical data which provides:
    (i) A thorough socioeconomic profile of the eligible residents to 
be served by your program, in relationship to PHA-wide and national 
public and assisted housing data on residents who are on TANF, SSI 
benefits, or other fixed

[[Page 9706]]

income arrangements; in job training, entrepreneurship, or community 
service programs; and employed;
    (ii) Specific information on training, contracting, and employment 
through the PHA.
    (iii) An assessment of the current service delivery system as it 
relates to the needs of the target population, including the number and 
type of services, the location of services, and community facilities 
currently in use;
    (iv) A description of the goals, objectives, and program strategies 
that will result in the successful transition of residents from 
welfare-to-work.
    (b) In order to obtain maximum points for Elderly and Persons with 
Disabilities RSDM applications, the needs assessment document should 
contain statistical data that provide:
    (i) The numbers of residents needing assistance for activities of 
daily living.
    (ii) An assessment of the current service delivery system as it 
relates to the needs of the target population, including the number and 
type of services, the location of services, and community facilities 
currently in use.
    (iii) A description of the goals, objectives, and program 
strategies that will result in increased independence for proposed 
program participants.

(2) Level of Priority in Consolidated Plan. (2 Points)

    Documentation of the level of priority the locality's, or in the 
case of small cities, the State's, Consolidated Plan has placed on 
addressing the needs. You may also address needs in terms of fulfilling 
the requirements of court actions or other legal decisions or which 
expand upon the Analysis of Impediments to Fair Housing Choice (AI) to 
further fair housing. If you address needs that are in your community's 
Consolidated Plan, AI, or a court decision, or identify and 
substantiate needs in addition to those in the AI, you will receive a 
greater number of points than applicants who do not relate their 
proposed program to the approved Consolidated Plan or AI or court 
action. There must be a clear relationship between your proposed 
activities, community needs and the purpose of the program funding for 
you to receive points for this factor.

Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. In rating this factor HUD will consider: the 
viability and comprehensiveness of your strategies to address the needs 
of residents; budget appropriateness/efficient use of grant; the speed 
at which you can realistically accomplish the goals of the proposed 
RSDM program; the soundness of your plan to evaluate the success of 
your proposed RSDM program at completion and during program 
implementation; and resident and other partnerships; and policy 
priorities.

(1) Viability and Comprehensiveness of the Strategies to Address the 
Needs of Residents (21 Points)

    The score under this subfactor will be based on the viability and 
comprehensiveness of your strategies to address the needs of residents.
    (a) Services. (18 Points for Family RSDM applicants and 21 Points 
for Elderly and Persons with Disabilities RSDM applicants. More points 
are awarded in the Elderly and Persons with Disabilities RSDM 
applications to balance other sections of the rating criteria where 
points are not applicable to an Elderly and Persons with Disabilities 
RSDM applicant) The score under this subfactor will be based on the 
following:
    (i) For Family RSDM applications, the extent to which your plan 
provides services that specifically address the successful transition 
from welfare to work of non-elderly families. To receive a high score, 
your plan must include case Management/counseling, job training/
development/placement (and/or business training/development/startup), 
child care, and transportation services.
    (ii) In order to receive maximum points, the goals and objectives 
of your proposed plan must represent significant achievements related 
to welfare-to-work and other self-sufficiency/independence goals. 
Specifically for those residents affected by welfare reform, the number 
of residents employed or resident businesses started are preferable to 
the number of residents receiving training.
    (iii) For Elderly and Persons with Disabilities RSDM applications, 
services in your plan should include case management, health care, 
congregate services and transportation. To obtain maximum points, you 
must describe the goals, objectives, and program strategies that will 
result in increased independence for proposed program participants; 
your services must be located in a community facility; and must be 
available on a 12-hour basis or as needed by the eligible residents.
    (b) Resident Contracting and Employment. (3 Points) The score in 
this factor will be based on the extent to which residents will achieve 
self-sufficiency through your contracts with resident-owned businesses 
and through resident employment. A high score will be awarded where 
there is documentation (a letter or resolution from your governing 
body) describing your commitment to hire or contract with at least 15% 
of residents and a narrative describing the number of resident jobs or 
contracts involved, as well as the training processes related to the 
comprehensive plan of your application. Elderly and Persons with 
Disabilities RSDM applications will not be scored on the criterion in 
this subcategory.

(2) Budget Appropriateness/Efficient Use of Grant. (5 Points.)

    The score in this factor will be based on the following:
    (a) Detailed Budget Break-Out. The extent to which your application 
includes a detailed budget break-out for each budget category in the 
SF-424A.
    (b) Reasonable Administrative Costs. The extent to which your 
application includes administrative costs at or below the 20% 
administrative cost ceiling.
    (c) Budget Efficiency. The extent to which your application 
requests funds commensurate with the level of effort necessary to 
accomplish your goals and anticipated results.

(3) Reasonableness of the Timetable 

    (2 Points for Family RSDM applicants and 4 Points for Elderly and 
Persons with Disabilities RSDM applicants. More points are awarded in 
Elderly and Persons with Disabilities RSDM applications in order to 
balance other sections of the rating criteria where points are not 
applicable to an Elderly and Persons with Disabilities RSDM applicant)
    The score in this factor will be based on a reasonable response 
that you can accomplish the goals of your proposed RSDM program. To 
receive a high score, you must demonstrate that it will make 
substantial program implementation progress within the first six months 
after grant execution, including putting staff in place, finalizing 
partnership arrangements, completing the development of requests for 
proposals, and achieving other milestones that are prerequisites for 
implementation of the program. In addition, you must demonstrate that 
your proposed timetable for all components of the proposed program is 
feasible considering the size of your award and activities and results 
that can be accomplished within the 36-month time limit.

[[Page 9707]]

(4) Program Assessment 

    (3 Points for Family RSDM and Elderly and Persons with Disabilities 
RSDM) The score in this factor will be based on the soundness of your 
plan to evaluate the success of your proposed RSDM program both at the 
completion of your program and during program implementation. At a 
minimum, you must track the goals and objectives of your proposed work 
plan program, which must include, if applicable, a plan for monitoring 
your Contract Administrator's performance. Your application should 
track specific measurable achievements for the use of program funds, 
such as number of residents employed, salary scales of jobs obtained, 
persons removed from welfare roles 12 months or longer, number of 
elderly or persons with disabilities residents receiving supportive 
services, and number of persons receiving certificates for successful 
completion of training in careers such as computer technology.

(5) Resident and Other Partnerships (9 Points for Family RSDM 
Applicants and 7 Points for Elderly and Persons With Disabilities RSDM 
Applicants)

    (a) Resident Involvement in RSDM Activities (3 Points for Family 
RSDM applicants and 4 Points for Elderly and Persons with Disabilities 
RSDM applicants. More points are awarded in Elderly and Persons with 
Disabilities RSDM applications in order to balance other sections of 
the rating criteria where points are not applicable to an Elderly and 
Persons with Disabilities RSDM applicant): The score in this factor 
will be based on the extent of resident involvement in developing your 
proposed RSDM program as well as the extent of proposed resident 
involvement in implementing your proposed RSDM program. To receive a 
high score on this factor, you must describe the involvement of 
residents in the planning phase for this program, and a commitment to 
provide continued involvement in grant implementation. For applicants 
to receive the maximum number of points, a work plan, must be included.
    (b) Other Partnerships. (3 Points) The score in this factor will be 
based on the successful integration of partners into implementation of 
the proposed RSDM program. To receive a high score, you must provide a 
signed Memorandum of Understanding (MOU) or other equivalent signed 
documentation that delineates the roles and responsibilities of each of 
the parties in your program and the benefits they will receive. In 
assessing this subfactor, HUD will examine a number of aspects of the 
proposed partnership, including:
    (i) The division of responsibilities/management structure of your 
proposed partnership relative to the expertise and resources of your 
partners;
    (ii) The extent to which the partnership as a whole addresses the 
unmet resident needs; and (iii) The extent to which the addition of the 
partners provides the ability to meet needs that the applicant could 
not meet without the partner(s).
    (c) Overall Relationship/Coordination. (3 Points for Family RSDM 
only) For Family RSDM applicants, the score in this factor will be 
based on the extent of coordination between your proposed RSDM program 
and any existing or proposed programs within your jurisdiction. To 
receive a high score, you must contain an MOU that describes 
collaboration between the applicant and residents on all of the 
specific components related to the work plan of the proposed RSDM 
program. To receive points, at a minimum, you must have a narrative 
description of this collaboration. Elderly and Persons with 
Disabilities RSDM applications will not be scored on this criterion.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure community resources 
(note: financing is a community resource) that can be combined with 
HUD's program resources to achieve program purposes. You must have at 
least a 25% cash or in-kind match to receive points under this rating 
factor. Leveraging in excess of the 25% of the grant amount will 
receive a higher point value. In evaluating this factor HUD will 
consider:
    The extent to which you have partnered with other entities to 
secure additional resources to increase the effectiveness of your 
proposed program activities. The budget, the work plan, and commitments 
for additional resources and services, other than the grant, must show 
that these resources are firmly committed, will support the proposed 
grant activities and will, in combined amount (including in-kind 
contributions of personnel, space and/or equipment, and monetary 
contributions) equal at least 25% of the RSDM grant amount proposed in 
this application. ``Firmly committed'' means there must be a written 
agreement with the provider of resources, signed by an official legally 
able to make commitments on behalf of the organization. The signed, 
written agreement may be contingent upon you receiving a grant award. 
Other resources and services may include: the value of in-kind 
services, contributions or administrative costs provided to the 
applicant; funds from Federal sources (not including RSDM funds); funds 
from any State or local government sources; and funds from private 
contributions. You may also partner with other program funding 
recipients to coordinate the use of resources in your target area.
    You must provide evidence of leveraging/partnerships by including 
in the application letters of firm commitments, Memoranda of 
Understanding, or agreements to participate from those entities 
identified as partners in the application. To be firmly committed there 
must be a written agreement with the provider of resources signed by an 
official legally able to make commitments on behalf of the 
organization. This agreement may be contingent upon you receiving a 
grant award. Each letter of commitment, Memorandum of Understanding, or 
agreement to participate should include the organization's name, 
proposed level of commitment and responsibilities as they relate to the 
proposed program.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which your program reflects a 
coordinated, community-based process of identifying needs and building 
a system to address the needs by using available HUD funding resources 
and other resources available to the community.
    In evaluating this factor HUD will consider the extent to which 
your application addresses:
    (1) Coordination with the Consolidated Plan (2 Points for Family 
RSDM applicants and 6 points for Elderly and Persons with Disabilities 
RSDM applicants. More points are awarded for Elderly and Persons with 
Disabilities RSDM applications in order to balance other sections of 
the rating criteria where points are not applicable to an Elderly and 
Persons with Disabilities RSDM applicant.) Demonstrates the applicant 
has reviewed the community's Consolidated Plan and/or Analysis of 
Impediments to Fair Housing Choice, and has proposed activities that 
address the priorities, needs, goals or objectives in those documents; 
or substantially furthers fair housing choice in the community.
    (2) For Family RSDM Applications, Coordination with the State (4 
Points): Provides evidence that your proposed RSDM program has been 
coordinated with and supports the PHA's, efforts to increase resident 
self-sufficiency and is

[[Page 9708]]

coordinated and consistent with the State, or local Welfare Plan.
    (3) Coordination with Other Activities (4 Points) Demonstrates that 
in carrying out your program activities, you will develop linkages 
with: other HUD-funded program activities proposed or on-going in the 
community; or other State, Federal or locally funded activities 
proposed or on-going in the community which, taken as a whole, support 
and sustain a comprehensive system to address the needs.
    (D) Application Selection Process for Service Coordinators
    Applicants for Service Coordinators are required to address 
application submission requirements but are not required to address 
selection factors. Eligibility will be determined by applications that 
meet the threshold requirements of Section IV of this program section 
of the SuperNOFA. HUD will accept for funding all eligible renewals 
until funds are exhausted.

VI. Application Submission Requirements

(A) All Applications

    All applications for assistance under the ROSS competition 
regardless of funding categories must include the forms, certifications 
and assurances listed in Section IV of the General Section of the 
SuperNOFA (collectively referred to as the ``standard forms'') These 
forms are:
    SF-424, Application Federal Assistance;
HUD-424M, Federal Assistance Funding Matrix;
SF-424A, Federal Assistance Budget Information--Non Construction;
SF-424B, Assurances for Non-Construction Programs;
HUD Form 50070, Drug-Free Workplace Certification;
HUD Form 50071, Certification of Payments to Influence Federal 
Transactions, and if applicable SF-LLL, Disclosure of Lobbying 
Activities;
HUD Form 2880, Applicant/Recipient Disclosure/Update Report;
HUD Form 2992, Certification of Debarment and Suspension;
HUD Form 2993, Acknowledgement of Application Receipt.

    The standard forms can be found in Appendix B to the General 
Section of the SuperNOFA. The remaining application items that are 
forms (i.e., excluding such items as narratives), referred to as the 
``non-standard forms'' can be found as Appendix A to this program 
section of the SuperNOFA.
    All applicants must include the following information regardless of 
the category under which they are applying for funds.
    (1) ROSS Application Cover Sheet;
    (2) ROSS Fact Sheet;
    (3) ROSS Program Summary;
    (4) Certification of Consistency and Compliance with threshold 
requirements of General Section of the SuperNOFA;
    (5) Match Requirement. (a) Your must supplement grant funds with an 
in-kind and/or cash match of not less than 25% of the grant amount. 
This match does not have to be a cash match. The match may include: The 
value of in-kind services, contributions or administrative costs 
provided to the applicant; funds from Federal sources (but not ROSS 
funds); funds from any State or local government sources; and funds 
from private contributions. Any services, such as child care or 
mentoring, conducted by elderly or disabled residents who are not TANF 
participants, will not be counted toward your match requirement. You 
may also satisfy the match requirement by establishing the in-kind 
value of computer and office equipment, software and space used for 
training in computer technology, education/employment and skills 
development for self sufficiency training programs such as Twenty/20 
Education Communities (TEC Centers).
    (b) Your must demonstrate that the cash or in-kind resources and 
services, which you will use as match amounts (including resources from 
a Comprehensive Grant, other governmental units/agencies of any type, 
and/or private sources, whether for-profit or not-for-profit), are 
firmly committed and will support the proposed grant activities. 
``Firmly committed'' means there must be a written agreement to provide 
the resources and services signed by an official legally able to make 
commitments on behalf of the organization and specifies the cash and/or 
in-kind assistance to be provided. If offering in-kind assistance, the 
letter should provide an estimated dollar value for the in-kind 
services. The written agreement may be contingent upon your receiving a 
grant award. The following are guidelines for valuing certain types of 
in-kind contributions:
    (c) The value of volunteer time and services shall be computed at a 
rate of six dollars per hour except that the value of volunteer time 
and services involving professional and other special skills shall be 
computed on the basis of the usual and customary hourly rate paid for 
the service in the community where the activity is located; and
    (d) The value of any donated material, equipment, building, or 
lease shall be computed based on the fair market value at time of 
donation. Such value shall be documented by bills of sales, advertised 
prices, appraisals, or other information for comparable property 
similarly situated not more than one-year old taken from the community 
where the item or activity is located, as appropriate. You may also 
satisfy the match requirement by establishing the in-kind value of 
computer and office equipment, software and space used for training in 
computer technology, education/employment and skills development for 
sufficiency training programs such as Twenty/20 Education Communities 
(TEC Centers).
    (B) RMBD Applications. 
    Applicants for Resident Management and Business Development grants 
are required to address application submission requirements, but are 
not required to address selection factors. Only threshold requirements, 
and not application submission requirements, will be used for 
determining eligibility for first-come first serve funding.
    All applications for funding under this funding category must 
contain the following documents and information (Please note that items 
1-8 are threshold requirements used to determine awards for this 
category; items 9-13 will be used for grant administration):
    (1) Your application must contain a written certification that at 
least 51 percent of the public housing residents (including Section 8 
tenants as applicable) to be included in the proposed program are 
currently eligible to receive, are currently receiving, or have 
received within the preceding four years, assistance or services funded 
under the TANF, SSI, or food stamp programs.
    (2) Your application must contain a signed Memorandum of 
Understanding (MOU) between the RA and PHA which describes the specific 
roles, responsibilities and activities to be undertaken by all parties 
to the MOU. Your MOU, at a minimum must identify the principal parties 
(i.e. the name of the PHA and RA, the terms of agreement), expectations 
or terms for each party, and indicate that the agreement pertains to 
the support of your grant application.
    This document is the basis for the foundation of the relationship 
between the Ra and PHA. The MOU must be precise and outline the 
specific duties and objectives to be accomplished under the grant. All 
MOUs must be finalized, dated and signed by duly authorized officials 
of both the RA and PHA upon submission of the

[[Page 9709]]

application. Submission of the MOU is not required as part of the 
application process.
    (3) Accessible Community Facility. You must provide written 
evidence (e.g. through an executed use agreement if the facility is to 
be provided by an entity other than the PHA) that a majority of the 
proposed activities will be administered at community facilities within 
easy transportation access (i.e., walking or by direct (no transfers 
required), convenient, inexpensive and reliable transportation of the 
property represented by the PHA. The written agreement must certify 
that community facilities meet the structural accessibility requirement 
of section 504 of the Rehabilitation Act of 1973 and the Americans With 
Disabilities Act of 1990.
    (4) Your application must contain letter(s) of support indicating 
supplemental grant funds of not less than 25% of the grant amount. See 
section VI (A) (5) of the program section of this SuperNOFA.
    (5) You must provide either a signed certification from HUD or an 
Independent Public Accountant that your financial management system and 
procurement procedures fully comply with 24 CFR part 84, or your 
application must contain a signed Contract Administrator Partnership 
Agreement that you will use the services of a Contract Administrator in 
administering your grant. Applicants that are troubled PHAs are 
required to provide written agreement that a Contract Administrator has 
been retained for the term of the grant. In cases where the Contract 
Administrator is the PHA, the Contract Administration responsibilities 
can be incorporated into the MOU discussed above.
    (6) If you are a RA/RC/RMC/CWRO you must include evidence that your 
organization is registered with the State as a nonprofit corporation at 
the time of application submission or has section 501(c) status with 
the United States Internal Revenue Service at the time of application . 
Evidence of State registration shall be a copy of the certificate of 
incorporation or certificate of good standing from the State Government 
(i.e. Secretary of State or Secretary of Corporations). Evidence of 501 
(c) status shall be a copy of the IRS 501 (c) designation.
    (7) Certification of Resident Council Board Elections. If you are a 
Resident Organization, you must submit certifications of the RA board 
election as required by HUD, signed by the local PHA and/or an 
independent third party monitor and notarized;
    (8) List of RAs participating with the City-Wide Resident 
Organization (CWRO). You must list in your application, the name(s) of 
RAs that will receive services and you must submit letters of support 
from each RA identified in your application;
    (9) Physical Improvements. You must submit a description of the 
renovation or conversion to be conducted along with a budget and 
timetable for those activities. You must demonstrate a firm commitment 
of assistance from one or more sources ensuring that supportive 
services will be provided for not less that 2 years following the 
completion of renovation, conversion, or repair activities funded under 
this ROSS competition.
    The following are application submission requirements and will not 
be used for determining eligibility for first-come first serve funding.
    (10) Explanations for proposed grant activities must be provided by 
narrative statements or descriptions;
    (11) Resident Management and Business Development grant 
applications must include a narrative description (two page limit) 
describing the activities that you will carry out with RMBD grant 
funds. Your description must include specific goals, objectives and 
program strategies that will result in successful transition of 
residents from welfare to work or other proposed grant activities;
    (12) Your RMBD application must provide information about the RA, 
including its history, staff qualifications, and its previous 
experience (two page limit). For proposed grant staffing, you must 
include a resume or summary of qualifications for all proposed grant 
staff:

Chart A--RMBD Program Staffing
Chart B--RMBD Applicant/Administrator Track Record
Chart C--Summary RMBD Budget Line Items

    (13) You must provide a summary of a proposed work plan to carry 
out proposed grant activities. This work plan must include tasks, 
budgeted amounts, and dates for all activities during the grant period.
Chart D--Budget Workplan Summary

(C) Applications for Capacity Building or Conflict Resolution.

    All applications for funding under this funding category must 
contain the following documents and information (Please note that items 
1-5 are threshold requirements used to determine awards for this 
category; items 6-10 will not be used to select awardees):
    (1) Written Agreement with Mediator. Only conflict Resolution 
applicants must develop a work plan with a professional mediator or 
``grass roots'' mediation organization (mediation/partner) that 
outlines the roles and responsibilities of each party. The work plan 
must specify that the mediation/partner will train grantee staff and/or 
volunteers such that the grantee will be capable of providing mediation 
assistance independently by the end of the grant term.
    (2) Mediation Experience/Referral Agreement. Only conflict 
Resolution applicants must provide evidence that their mediator/partner 
has at least one year of experience in providing mediation services and 
at least one year of mediation training. Include either one referral 
agreement with a judicial, law enforcement, or social service agency 
such as the court system or Welfare Department for mediation of public 
housing residents, or a narrative description of direct experience with 
public or assisted housing residents.
    (3) Applicant Nonprofit Status. You must provide evidence that your 
organization has registered with the State as a nonprofit corporation 
or has 501(c) nonprofit corporation status with the United States 
Internal Revenue Service at the time of application submission.
    (4) Your application must contain letter(s) of support indicating 
supplemental grant funds of not less than 25% of the grant amount. See 
section VI(A)(5) of this program section of the SuperNOFA.
    (5) List of RAs Receiving Support. In CB and CR applications, you 
must list in your application the name of the RAs that will receive 
training, technical assistance and/or coordinated supportive services 
and you must submit letters of support from each entity identified in 
your application.
    The following are application submission requirements. Only 
threshold requirements, and not application submission requirements, 
will be used to determine eligibility for first-come first serve 
funding.
    (6) Explanations for proposed grant activities must be provided by 
narrative statements or descriptions as well as the forms indicated 
below:
    (7) Needs Assessment. For the CB and CR grant applications you must 
provide a narrative description of proposed activities that addresses 
the following information:
    (i) A description of the geographic boundaries of the RAs or RMCs 
included in the application;
    (ii) A description of the public housing community;

[[Page 9710]]

    (iii) A detailed description of the issues or problems involved 
with each RA to be served by the grant; and
    (iv) The resources that are currently being devoted to the problem 
or issue under consideration.
    (8) Proposed Program Activities. Resident Management and Business 
Development grant applications must include a narrative description 
describing the activities that you will carry out with CB/CR grant 
funds. Your description must include specific goals, objectives and 
program strategies that will result in successful proposed grant 
activities;
    (9) Experience and Staffing. Your CB/CR grant application must 
provide information about the RA, including its history, staff 
qualifications, and its previous experience (two page limit). For 
proposed grant staffing, you must include a resume or summary of 
qualifications for all proposed grant staff:

Chart A--CB/CR Program Staffing
Chart B--CB/CR Applicant/Administrator Track Record
Chart C--Summary CB/CR Budget Line Items

    (10) Budget and Cost Information. You must provide a summary of 
your proposed work plan to carry out your proposed grant activities. 
The work plan must include tasks/activities, budgeted amounts, and 
start and end dates for all activities during the grant period.
Chart D--Budget Workplan Summary
    (D) Application Submission Requirements for Resident Service 
Delivery Models
    All applications for funding under this funding category must 
contain the following documents and information (Please note that items 
1-9 are threshold requirements used to determine scoring of ranking and 
ranking factors for this category):
    (1) Your application must contain a written certification that at 
least 51 percent of the public housing residents (including Section 8 
tenants as applicable) to be included in the proposed program are 
currently eligible to receive, are currently receiving, or have 
received within the preceding four years, assistance or services funded 
under the TANF, SSI, or food stamp programs.
    (2) Elderly and/or Disabled Housing Development Certification. A 
certification that at least 25% of the residents of the development(s) 
proposed for grant activities are elderly and/or non-elderly people 
with disabilities at the time of application.
    (3) Accessible Community Facility. You must provide evidence (e.g. 
through an executed use agreement if the facility is to be provided by 
an entity other than the PHA) that a majority of the proposed 
activities will be administered at community facilities within easy 
transportation access (i.e., walking or by direct (no transfers 
required), convenient, inexpensive and reliable transportation of the 
property represented by the PHA. The written agreement must certify 
that the community facilities meet the structural accessibility 
requirements of section 504 of the Rehabilitation Act of 1973 and the 
Americans With Disabilities Act of 1990.
    (4) Your application must contain letter(s) of support indicating 
supplemental grant funds of not less than 25% of the grant amount. See 
section VI (A)(5) of this program section of the SuperNOFA.
    (5) Physical Improvements. You must submit a description of the 
renovation or conversion to be conducted along with a budget and 
timetable for those activities. You must demonstrate a firm commitment 
of assistance from one or more sources ensuring that supportive 
services will be provided for not less that 2 years following the 
completion of renovation, conversion, or repair activities funded under 
this ROSS competition.
    (6) You must provide either a signed certification from HUD or an 
Independent Public Accountant that your financial management system and 
procurement procedures fully comply with 24 CFR part 84, or your 
application must contain a signed Contract Administrator Partnership 
Agreement that you will use the services of a Contract Administrator in 
administering your grant. Applicants that are troubled PHAs are 
required to provide evidence that a Contract Administrator has been 
retained for the term of the grant. In cases where the Contract 
Administrator is the PHA, the Contract Administration responsibilities 
can be incorporated into the MOU discussed above.
    (7) Applicant Non-Profit Status. Except for PHAs, you must provide 
evidence that the applicant is registered with the State as a nonprofit 
corporation or has 501(c) status with the United States Internal 
Revenue Service at the time of application submission. Evidence of 
State registration shall be a copy of the certificate of incorporation 
or certificate of good standing from the State Government (i.e. 
Secretary of State or Secretary of Corporations). Evidence of 501(c) 
status shall be a copy of the IRS 501(c) designation.
    (8) Certification of Resident Council Board Elections;
    (9) List of RAs Receiving Support. In RSDM applications you must 
list in your application the name of the RAs that will receive 
training, technical assistance and/or coordinated supportive services 
and must submit letters of support from each entity identified in your 
application.
    (10) Responses to Factors of Award may be narrative statements or 
descriptions and the forms indicated below:

Factor 1--Capacity of the Applicant and Relevant Organizational 
Experience;
Chart A--Program Staffing
Chart B--Applicant/Administrator Track Record
Factor 2--Need/Extent of the Problem;
Chart C--Summary Budget line Items
Chart D--Budget Workplan Summary
Factor 3--Soundness of Approach;
Factor 4--Leveraging Resources; and
Factor 5--Comprehensiveness and Coordination.
Certification of Consistency with the Consolidated Plan
Bonus Points
Certification of Consistency with the EZ/EC Strategic Plan

(E) Application Submission Requirements for Service Coordinators for 
the Elderly and Persons With Disabilities

    All applications for funding under this funding category must 
contain the following documents and information (Please note that items 
1-4 are threshold requirements used to determine renewal funding for 
this category):
    (1) Elderly Housing Development Certification. A certification that 
at least 25% of the residents of the development(s) proposed for grant 
activities are elderly and/or non-elderly people with disabilities at 
the time of application.;
    (2) Accessible Community Facility. The application must provide 
evidence (e.g., through an executed use agreement or MOU if the 
facility is to be provided by an entity other than the PHA. The 
majority of the proposed activities will be administered at community 
facilities within easy transportation access, i.e., walking or by 
direct (no transfers required), convenient, inexpensive and reliable 
transportation, to the property represented by the PHA. Your executed 
use agreement or MOU must specifically state that the community 
facilities meet the structural accessibility requirements of section 
504 of the Rehabilitation Act of 1973 and the Americans With 
Disabilities Act of 1990.
    (3) Your application must contain letter(s) of support indicating 
supplemental grant funds of not less

[[Page 9711]]

than 25% of the grant amount. See section VI (A)(5) of this program 
section of the SuperNOFA.
    (4) SC Request Letter Format; The following are application 
submission requirements. Only threshold requirements, and not 
application submission requirements, will be used for determining 
eligibility for renewal funding.
    (5) Evidence of comparable salaries in local area;
    (6) Lead Agency letter format (if appropriate);

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    It is anticipated that most activities under this ROSS funding will 
be categorically excluded under 24 CFR 50.19(b)(3), (b)(9), (b)(12), or 
(b)(14). An applicant proposing any acquisition, including long-term 
leasing, disposition, or physical development activities is prohibited 
from rehabilitating, converting, leasing, repairing or constructing 
property, or committing or expending HUD or non-HUD funds for these 
types of program activities, until one of the following has occurred:
    (1) If the grantee is not a PHA, HUD has completed an environmental 
review to the extent required by 24 CFR part 50, prior to grant award.
    (2) If the grantee is a PHA, HUD has approved the grantee's Request 
for Release of Funds (HUD Form 7015.15) following a Responsible 
Entity's completion of an environmental review under 24 CFR part 58, 
where required, or if HUD has determined in accordance with Sec. 58.11 
to perform the environmental review itself under part 50, HUD has 
completed the environmental review.

IX. Authority

    Section 34 of the U.S. Housing Act of 1937.

BILLING CODE 4210-32-P

[[Page 9712]]

Appendix A

    The non-standard forms, which follow, are required for the ROSS 
application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9779]]



FUNDING AVAILABILITY FOR OUTREACH AND TRAINING ASSISTANCE GRANTS 
(OTAG)

Program Overview

    Purpose of the Program. OTAG funds are used to provide technical 
assistance for tenants or tenant groups in properties with project-
based rental assistance contracts that are nearing expiration and 
properties whose tenants have received notice that the owner intends to 
prepay its HUD-insured mortgage. Funds are available to conduct 
outreach and training activities for HUD tenants in such properties, 
under section 514(f)(3) of the Multifamily Assisted Housing Reform and 
Affordability Act of 1997 (``MAHRA''). Section 534 of the Departments 
of Veterans Affairs and Housing and Urban Development, and Independent 
Agencies Appropriations Act, 2000, amended section 514(f)(3) to extend 
technical assistance to below-market properties.
    Available Funds. Approximately $6.0 million.
    Eligible Applicants. Any resident-controlled non-profit 
organization, community-based organization and public entities may 
apply for and receive OTAG grant assistance in accordance with section 
514 of the MAHRA Act of 1997 and this SuperNOFA.

    Application Deadline. April 26, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Applications Kits, Further Information, 
and Technical Assistance

    Application Due Date. Submit your completed applications (one 
original and two copies) on or before 12:00 midnight, Eastern time, on 
April 26, 2000, to the address shown below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. To HUD Headquarters. Submit 
your completed application (an original and two copies) to: The Office 
of Multifamily Housing Assistance Restructuring, Attn: Victor Lambert, 
1280 Maryland Avenue, SW, Suite 4000, Washington, DC 20024. When 
submitting your application, please refer to OTAG, and include your 
name, mailing address (including zip code) and telephone number 
(including area code).
    For Application Kits. For an application kit and any supplemental 
materials please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. The application kit also will be 
available on the Internet through the HUD Web site at http://
www.HUD.gov. When requesting an application kit, please refer to OTAG 
and provide your name, address (including zip code), and telephone 
number (including area code).
    For Further Information and Technical Assistance. You may contact 
Victor Lambert at (202) 708-0001 (ext. 3779). Persons with speech or 
hearing impairments may call HUD's TTY number (202) 708-0770, or 1-800-
877-8399 (the Federal Information Relay Service TTY). Other than the 
``800'' number, these numbers are not toll-free. Mr. Lambert can also 
be reached via the Internet at victor__r.__lambert@HUD.gov.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    HUD has available a maximum of up to $6.0 million for the OTAG 
program, as appropriated in Pub. L. 105-65, ``Multifamily Assisted 
Housing Reform and Affordability Act of 1997'' (MAHRA), (Title V-HUD 
Multifamily Housing Reform, Subtitle A--Section 514--Mortgage 
Restructuring and Rental Assistance Sufficiency Plan), amended by 
section 534 of the Department of Veterans Affairs and Housing and Urban 
Development and Independent Agencies Appropriations Act, 2000.

III. Program Description; Eligible Applicants; Eligible Activities; 
Ineligible Activities

    (A) Program Description. The Mark-to-Market (M2M) OTAG program was 
created in 1998 to provide funds to organizations to conduct outreach 
and training development for HUD tenants in properties eligible to 
participate in the M2M program. Six million dollars was made available 
under the M2M OTAG program. Section 534 of the FY 2000 Appropriations 
Act added below market properties to the categories of properties for 
which technical assistance is available to tenants under section 
514(f)(3) of MAHRA. Therefore, this OTAG section of the SuperNOFA is 
intended to make up to an additional $6 million available to ensure 
that the residents of all eligible properties receive technical 
assistance. The technical assistance is intended to allow the tenants 
to (1) participate meaningfully in changes occurring at the property 
and (2) affect decisions about the future of their housing. For 
geographic areas in which no OTAG grantee was selected for an OTAG 
grant in 1998, HUD is seeking applicants to provide services to tenants 
in all properties described in the Program Overview section, above. For 
geographic areas in which an OTAG grantee was selected in 1998, that 
grantee may apply for additional funding necessary to provide services 
to below-market properties in addition to the M2M properties for which 
the OTAG grantee is currently providing services under the 1998 NOFA. A 
list of the grantees from the 1998 OTAG funding competition, specifying 
the geographic area served is provided in Appendix A.
    (B) Eligible Applicants. (1) An organization applying for OTAG 
funding must be:
    (a) A resident-controlled nonprofit organization with a majority of 
the board consisting of residents of HUD assisted housing, and have at 
least two years of experience in resident organizing and education;
    (b) A Community-Based Organization (CBO), with at least two years 
of experience in resident organizing and education; or
    (c) A public entity such as: Community action, legal service, and 
fair housing counseling agencies; state and local government agencies; 
and intermediaries.
    (2) These grants will be awarded on a community-, city-, county-, 
multi-county-, or state-wide basis. Approved grantees must initiate an 
outreach program that will identify, deliver training to, and develop a 
process to organize the unorganized residents of eligible low-income 
housing so they can participate in the changes occurring at the 
property and understand the options available to them. If your group is 
applying for an OTAG you must have at least two years of experience in 
organizing and training tenants to create a tenant organization that is 
able to keep tenants informed of their rights and responsibilities 
under Section 8, or have an affiliation with an organization that has 
such experience. However, the affiliated organization providing the 
experience must not have influence over your decision making.

[[Page 9780]]

    (3) All funds expended under this program section of the NOFA must 
be used for tenant activities as described later in this program 
section.
    (4) The definition of a CBO is: A private nonprofit organization 
that:
    (a) Is organized under state or local laws;
    (b) Has no part of its earnings accruing to the benefit of any 
member, founder, contributor, or individual;
    (c) Is neither controlled by, nor under the direction of, 
individuals or entities seeking to derive profit or gain from the 
organization;
    (d) Does not include a public body (including the participating 
jurisdiction) or an instrumentality of a public body. The state or 
local government may not have the right to appoint more than one-third 
of the membership of the CBO's governing body and no more than one-
third of the board members can be public officials;
    (e) Has a standard of financial accountability that conforms to 24 
CFR part 84;
    (f) Has among its purposes the provision of decent housing that is 
affordable to low-income and moderate-income persons, as evidenced in 
its charter, articles of incorporation, resolutions or by-laws;
    (g) Is accountable to low-income community residents by:
    (i) Having at least one-third of its governing board's membership 
consisting of low-income neighborhood residents, other low-income 
community residents, or elected representatives of low-income 
neighborhood organizations. For urban areas, ``community'' may be a 
neighborhood or neighborhoods, town, village, county, or multi-county 
area or state; and
    (ii) Providing a formal process for low-income program 
beneficiaries to advise the CBO on its decisions regarding the 
acquisition, rehabilitation and management of affordable housing.
    (C) Eligible Activities. An applicant must identify its specific 
jurisdiction and the activities it will undertake to accomplish its 
objectives. Activities for OTAGs can include:
    (1) Identifying residents and resident groups living in eligible 
properties. Eligible properties include any property with an expiring 
Section 8 contract that may not be renewed and properties whose tenants 
have received notice that the owner intends to prepay its HUD-insured 
mortgage;
    (2) Providing outreach and training to tenants to explain the 
changes to the Section 8 contract renewal or the impact the non-renewal 
will have on tenants;
    (3) Organizing residents of eligible low-income housing so the 
tenants can effectively participate in the decision making resulting 
from the changes in the rental assistance or changes in the building's 
ownership;
    (4) Performing outreach, training, and counseling consisting of 
fair housing counseling, which may include teaching sound housing 
management, maintenance, and financial management and requirements of 
the Fair Housing Act, to residents and resident groups living in 
eligible OTAG properties;
    (5) Delivering project-based, community-, city-, county-, or state-
wide training programs on resident homeownership options;
    (6) Establishing an information clearinghouse as a resource to 
resident organizations, community groups and potential purchasers 
within their assigned jurisdiction;
    (7) Creating informational materials about changes to current 
Section 8 contracts for local/state-wide distribution;
    (8) Assisting tenants and others approved by HUD to understand 
their rights under the Section 8 renewal or opt-out process;
    (9) Educating parties outside the Department (including but not 
limited to appraisers, financial institution officials, state and local 
government officials, community groups, and owner entities) about 
changes to Section 8 contracts, impacts on the property, and the OTAG 
process;
    (10) Reimbursing the expenses of individual tenants necessary to 
attend tenant meetings, limited to child care and transportation (the 
grantee shall multiply $1.00 times the number of units in the building 
to determine the total amount of funds available for reimbursement; 
tenants attending the meeting may be reimbursed for actual expenses, 
with the aggregate reimbursement not to exceed this amount.);
    (11) Purchasing of computers that are necessary for the proposed 
activities of this grant (reimbursement shall be limited to $1,000); 
and
    (12) Other activities approved by HUD, which will further the 
purposes of the grant.
    (D) Ineligible Activities.
    (1) Purchase of land or buildings or any improvements to land or 
buildings or real estate brokering fees;
    (2) Activities already being performed or that would result in 
duplication of funding;
    (3) Activities completed prior to date funding is approved under 
this NOFA;
    (4) Activities that do not meet the purposes and intent of this 
NOFA; and
    (5) Entertainment, including associated costs such as food and 
beverages, including refreshments and supplies for organizational 
meetings.

IV. Program Requirements

    (A) Reporting Requirements. OTAG Grantees must submit a quarterly 
performance report to the Director of the Office of Multifamily Housing 
Assistance Restructuring, 1280

[[Page 9781]]

Maryland Avenue, SW, Suite 4000, Washington, DC, 20024, which lists the 
properties and number of tenants assisted by the OTAG activities being 
performed that quarter. These reports must identify activities 
conducted, beneficiaries of assistance provided, evidence of 
information provided tenants informing them of meetings and their 
responsibilities and specific results achieved.
    (B) Auditing Requirements. OTAG grantees must have an accounting 
system that meets the OMB requirements for financial management systems 
in 24 CFR part 84.
    All accounting and other records associated with OTAG 
administration must be made available to HUD or its designee upon 
request.
    (C) Conflict of Interest (CI) Requirements.
    (1) Funds received under the OTAG program shall not be used to 
supplant or duplicate other resources for the proposed activities. In 
carrying out your duties under this program, you must avoid even the 
appearance of a conflict of interest. All executives, board members, 
key management personnel, or any other person or entity with direct or 
indirect control, are required to execute a Conflict of Interest 
Certification at the time of execution of your Grant Agreement and on 
each anniversary date of execution.
    (2) If you are providing services under your Grant Agreement that 
are related to a specific property, and any group related to that 
property receives grant funds under an Intermediary Technical 
Assistance Grant (ITAG) program, you must cease billing for activities 
related to that property under the Grant Agreement within 30 days.
    (3) If you provide any services (e.g., consultant) to any property 
or entity that receives ITAG or OTAG funding, they must report such 
services and the compensation received for such services in the reports 
submitted under the Grant Agreement. All OTAG and consultant services 
under an OTAG grant must be maintained with separate records and funds 
cannot be co-mingled.
    (4) You may only receive funding under another technical assistance 
grant program (i.e., Public Entity Grants) if the proposed activities 
qualify under the terms of such grants and do not duplicate activities 
eligible under your OTAG's Grant Agreement.
    (D) Funding Requirements. The competition in this program is for up 
to $6.0 million to fund resident-controlled nonprofit organizations, 
community-based organizations and public entities in the pursuit of 
OTAG activities. Up to $6.0 million will be awarded in Fiscal Year 
2000, but will be utilized for OTAG technical assistance activities for 
a period ending September 30, 2001. This period may be extended through 
the termination date of MAHRA, if MAHRA is extended beyond this date.
    (E) Grant Requirements. HUD will accept OTAG applications that 
propose a term of up to three successive years. Your statement of work 
should propose activities for a one year period of time. The term of 
your grant begins on the date of the execution of your grant agreement 
and will be for a period of one year and may be renewed annually for no 
more than a total of three years. The grant period will only be 
extended if the term of MAHRA is extended beyond September 30, 2001. 
The renewal will be based upon demand for TA for tenants and your 
ability to perform the work stated in your application submission 
(which must be approved by HUD), and the availability of funds. Your 
proposed annual grant amount should not exceed $150,000. For grantees 
that received an award under the 1998 OTAG portion of the SuperNOFA, 
the proposed annual grant amount should only reflect additional funding 
necessary to provide services to below-market properties in addition to 
the M2M properties already being serviced under the 1998 OTAG grant. 
Your grant may be terminated if you fail to complete the activities 
proposed for the initial one year grant period. HUD reserves the right 
to give the funds taken from a grantee to another grantee, if HUD 
determines that the other grantee has greater demand and the capacity 
to meet such demand. In carrying out all activities associated with the 
grant, grantees shall act on behalf of HUD, and at all times act in 
HUD's best interest.

V. Application Selection Process

    Two types of reviews will be conducted: (1) A threshold review to 
determine applicant eligibility; and (2) evaluation of your response to 
the factors for award described below.
    (A) Threshold Criteria For Funding Consideration. Under the 
threshold review, your application will be ineligible for the 
competition if you are not in compliance with the requirements of the 
General Section of the SuperNOFA and if you do not qualify as an 
Eligible Applicant as defined in Section III(B) of this OTAG Section of 
the SuperNOFA.
    (B) Factors For Award Used To Evaluate and Rate Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are provided below. The maximum number of points for this 
program is 102. This includes two EZ/EC bonus points, as described in 
the General Section of the SuperNOFA.

Rating Factor 1: Capacity (25 Points)

    HUD will rate your application based on your organization's 
capacity and staffing to carry out activities of the kind proposed in 
your application. In rating this factor HUD will consider the extent to 
which your proposal demonstrates:
    (1) (5 points) The knowledge and direct experience of your proposed 
project director and staff, including the day-to-day program manager, 
consultants and contractors in planning and managing the kind of 
programs for which you are requesting funding. You will be judged in 
terms of relevant and successful experience over the last five years in 
undertaking eligible program activities. You must demonstrate you have 
sufficient personnel, or access to qualified experts or professionals, 
to enable you to deliver your proposed activities in each proposed 
service area in a timely and effective fashion. Judgment of your 
capacity also includes the readiness and ability of your organization 
to immediately begin your proposed work program.
    (2) (5 points) Your experience in managing programs similar in 
scope or nature directly relevant to the work activities proposed and 
ability to carry out grant management responsibilities. If you have 
managed large, complex, interdisciplinary programs, you should include 
the information as it will be used as evidence of your organization's 
management abilities.
    (3) (5 points) If you received OTAG funding in previous years, your 
past experience will be evaluated in terms of your ability to attain 
demonstrated measurable progress in the implementation of your most 
recent grant awards, as measured by your rate of draw down of funds and 
expenditures and measurable progress in achieving the purpose for which 
funds were provided. You should indicate the name of the properties at 
which you have organized residents or educational workshops you have 
conducted. If you currently have an on-going grant with HUD, you must 
be able to demonstrate how you will be able to manage a new grant in 
addition to your existing grant(s). If your organization has not 
previously been an OTAG, indicate your organization's ability to 
identify and organize residents and conduct educational workshops for 
tenants of eligible OTAG properties. Training is to be conducted in a 
reasonable time period, within budget, and in an effective manner. This 
criterion can be demonstrated through past performance, as evidenced by

[[Page 9782]]

previous experience and success in outreach, training, recruitment, 
counseling, and development of tenant nonprofit organizations. 
References should be included that indicate groups of individuals, 
entities, and projects that received training, along with contact 
information.
    (4) (5 points) Applicants that can demonstrate they have the staff 
capacity to cover state-wide Outreach and Training activities will 
receive a greater number of points than applicants who can only provide 
assistance to smaller area(s) within a state. Any applicant that can 
clearly demonstrate the ability to cover the entire state will receive 
5 points. Applicants who propose to cover less than the entire state 
will receive proportionally fewer points.
    (5) (5 points) Your fiscal capability in meeting the reporting and 
audit requirements of 24 CFR part 84 under past awards. The ability of 
your key staff to handle, manage, and adequately account for financial 
resources, and to use acceptable financial control procedures, 
demonstrated through your past performance with federal, state or local 
funds, or if you had not previously been an OTAG, ensure that you can 
meet the requirements. Your ability to maintain records and report to 
HUD on the types of TA services provided, the locations served and the 
beneficiaries of the TA, as well as your ability to identify Best 
Practices or innovative approaches and document approaches in a manner 
that others can use to help create or organize tenant groups. If you, 
or any staff person or consultant associated with your organization, 
intends to seek other technical assistance funding, as a consultant or 
by any other means, under section 514 of MAHRA (i.e. Intermediary 
Technical Assistance Grant program), you must demonstrate that you can 
maintain the financial systems required to avoid even the appearance of 
a conflict of interest or duplication of funding. Evidence of meeting 
this criteria can be shown by the demonstrated performance of a recent 
audit review of your organization or consultant or a satisfactory HUD 
Field Office Management Review.

Rating Factor 2: Need/Extent of the Problem (25 Points)

    This factor addresses the extent to which there is a need for 
funding the proposed program activities and an indication of the 
urgency of meeting the need in the area you targeted for assistance. 
Need will be evaluated based on the number of properties with project-
based assistance in the geographic area for which you propose to 
provide services and in which the HAP contracts expire between January 
2000 and December 31, 2003. Points will be awarded based on the 
following:

------------------------------------------------------------------------
                                                                 Points
       Number of projects with project-based assistance         awarded
------------------------------------------------------------------------
600 and over.................................................         15
400-599......................................................         12
300-399......................................................         10
200-299......................................................          8
100-199......................................................          6
------------------------------------------------------------------------

    Additional points will be awarded based on the number of properties 
in which the owner has opted-out of the Section 8 contract within the 
geographic area in the period from 1997-1999.

------------------------------------------------------------------------
           Section 8 opt-out properties 1997 total               Points
------------------------------------------------------------------------
30+..........................................................         10
20-29........................................................          6
10-19........................................................          4
5-9..........................................................          2
1-4..........................................................          1
------------------------------------------------------------------------

    A list of projects with project-based assistance and a list of 
properties in which the owner opted out of Section 8 will be made 
available with the application kit.

Rating Factor 3: Soundness of Approach (30 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. There must be a clear relationship between your 
proposed activities, community needs and the purpose of the program 
funding to receive points for this factor. This factor will be 
evaluated based on the extent to which your proposed activities will:
    (1) (10 points) Help solve or address an urgent need or problem in 
the area identified in Rating Factor 2. The impact of the activity will 
be evaluated, including the tangible benefits to be attained by the 
properties in the geographic area being applied for, and by the target 
population, including affirmatively furthering fair housing for classes 
protected under the Fair Housing Act. You will receive a greater number 
of points if your activities aid a broad diversity of eligible client 
or beneficiary groups, including those that have been traditionally 
underserved, and help increase community awareness in a culturally 
sensitive manner through education and outreach. HUD will consider, 
within the context of your program, the extent to which your activities 
are providing for geographic coverage for articulated needs, and will 
assist or result in a community taking actions to overcome the effects 
of problems created by the expiration of project-based section 8 
assistance.
    (2) (10 points) Achieve the purposes of the program for which 
funding is requested and result in measurable accomplishments that are 
consistent with the purposes of the program.
    (3) (10 points) Be undertaken using technically competent 
methodologies for conducting the work to be performed and using a cost 
effective plan for designing, organizing and carrying out the proposed 
activities. The proposed cost estimates should be reasonable for the 
work to be performed and consistent with rates established for the 
level of expertise required to perform the work in the proposed 
geographic area.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure community assets, 
resources and/or financing to achieve program purposes. In evaluating 
this factor HUD will consider:
    (1) (5 points) The extent to which you have leveraged resources, 
such as funding and/or in-kind services from governmental entities, 
private organizations, resident management organizations, educational 
institutions, or other entities to help you implement your program 
activities.
    (2) (5 points) The extent to which you have partnered with other 
entities to make more effective use of available public or private 
resources. Partnership arrangements may include, but are not limited 
to, funding or in-kind services from local governments or government 
agencies, nonprofit or for-profit entities, private organizations, 
educational institutions or other entities that are willing to partner 
with the applicant on proposed activities in order to leverage 
resources, or partnering with other program funding recipients to make 
more effective use of resources within the geographic area covered by 
the award either within the community or within the field office 
jurisdiction in which activities are occurring. You may partner 
directly or in concert with others to more effectively address needs of 
underserved populations, rural areas, minority groups or other client 
groups that need attention either in the target area or the area 
covered by the field office jurisdiction in which the activities are to 
take place.
    Evidence of commitment must include letters of firm commitment 
signed by the chief executive officer of organizations legally able to 
commit the organization, indicating the dollars or in-kind services or 
donations to be provided to the applicant to conduct your program 
activities. Letters of commitment, memoranda of understanding, or 
agreements to

[[Page 9783]]

participate must be signed by an official of the organization legally 
able to make commitments for the organization. The greater the 
leverage, the higher the number of points awarded.

Rating Factor 5: Comprehensiveness & Coordination (10 Points)

    This factor addresses the extent to which the applicant coordinates 
its activities with other known organizations, participates or promotes 
participation in a community's Consolidated Planning process, and is 
working toward addressing a need in a holistic and comprehensive manner 
through linkages with other activities in the community. In evaluating 
this factor, HUD will consider the extent to which you can demonstrate 
that you have:
    (1) (4 points) Coordinated your proposed activities with other 
groups or organizations prior to submission of your application to best 
complement, support and coordinate all known activities, and outline 
the specific steps you will take to share information on solutions and 
outcomes with others. You must submit any written agreements or 
memoranda of understanding that will be in place after the award has 
occurred.
    (2) (3 points) Taken or will take specific steps to become active 
in the community's Consolidated Planning process (including the 
Analysis of Impediments to Fair Housing Choice) established to identify 
and address a need/problem that is related to the activities the 
applicant proposes. In the case of technical assistance providers, you 
should describe the specific steps you will take to work with 
recipients of technical assistance services to inform them of, and get 
them involved in, the community's Consolidated Planning process. The 
Department will review more favorably applicants who can demonstrate 
they are active, will become active, or in the case of technical 
assistance providers, work with recipients of technical assistance to 
get them involved in the local Consolidated Planning (CP) process.
    (3) (3 points) Taken or will take specific steps to develop 
linkages to coordinate comprehensive solutions through meetings, 
information networks, planning processes or other mechanisms with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other federal, state or locally funded activities, including 
those proposed or on-going in the community.
    (c) The HUD Field Office that has responsibility for the projects 
in which you will carry out activities.
    (C) Selections. HUD will review each OTAG application and assign up 
to 102 points, in accordance with the criteria described in this 
Section. After rating, the staff will rank the applications received 
from applicants in geographic areas that did not receive funding in the 
1998 NOFA according to score and will fund them in rank order. The 
staff will then rank the applications received from applicants that 
received funding in the 1998 NOFA, and to the extent that funds remain, 
will fund them in rank order.
    Funds will be awarded based upon the highest scores, which 
represent the best overall assessment of the potential of the proposed 
work activities for achieving the principal objectives of this 
competition. Applicants not found to be technically qualified will not 
be considered for funding. If two or more applications have the same 
number of points, a resident-controlled (51 percent or more of Board 
participation by HUD tenants) nonprofit organization will receive 
priority rating over a nonprofit organization that is not resident-
controlled.
    HUD reserves the right to make selections out of rank order to 
provide for geographic distribution of funded OTAGs. The approach HUD 
will use, if it decides to implement this option, will be to award to 
the highest ranked applicant in a state, and to fund the next highest 
ranked applicants in another state before duplicating funding for any 
one state.
    After all applications have been rated and ranked and selections 
have been made, HUD may require that all winners participate in 
negotiations to determine the specific terms of the Statement of Work 
and the grant budget. In cases where HUD cannot successfully conclude 
negotiations, or a selected applicant fails to provide HUD with 
requested information, awards will not be made. In such instances, HUD 
may elect to offer an award to the next highest ranking applicant. 
After award but before grant execution, winners will be required to 
provide a certification from an Independent Public Accountant or the 
cognizant government auditor, stating that the financial management 
system employed by the applicant meets prescribed standards for fund 
control and accountability required by OMB Circular A-133, Uniform 
Administrative Requirements for Grant Agreements With Institutions of 
Higher Education, Hospitals, and other Non-Profit Organizations, 
Revised OMB Circular A-110, or 24 CFR part 85 for states and local 
governments, or the Federal Acquisition Regulations (for all other 
applicants). This information should contain the name and telephone 
number of the Independent Auditor, cognizant federal auditor, or other 
audit agency, as applicable.

VI. Application Submission Requirements

    (A) Your OTAG application must contain the items listed in this 
Section VI(A). These items include the standard forms, certifications, 
and assurances listed in the General Section of the SuperNOFA that are 
applicable to this funding (collectively, the ``standard forms''). The 
standard forms can be found in Appendix B to the General Section of the 
SuperNOFA. (Some programs in this SuperNOFA, in addition to the 
standard forms use additional forms (i.e., excluding such items as 
narratives to the rating factors, letters, etc.) that are referred to 
as the ``non-standard forms.'' This program does not use any non-
standard forms.) The application items are as follows:
    (1) Application for Federal Assistance, SF-424;
    (2) Federal Assistance Funding Matrix, HUD-424M;
    (3) Budget Information, SF-424A;
    (4) Assurances for Non-Construction, SF-424B
    (5) Certification of Drug-Free Workplace, HUD-50070;
    (6) Disclosure of Lobbying Activities, SF-LLL (if applicable);
    (7) Applicant/Recipient Disclosure/Update Form, HUD-2880;
    (8) Certification Regarding Debarment and Suspension, HUD-2992;
    (9) Certification of Consistency with the EZ/EC Strategic Plan, 
HUD-2990 (if applicable);
    (10) A narrative response to Rating Factor 1--Capacity. Information 
about applicant, including your history, staff qualifications, and 
experience (two page limit), including any written agreements or signed 
letters of understanding in support of Rating Factor 1;
    (11) In response to Rating Factor 2, a map outlining the proposed 
geographic area in which you will perform OTAG activities, including 
your determination of the number of Projects with HAP contract 
expirations between January 1, 2000 and December 31, 2003 and the 
number of Section 8 contracts that an owner has opted out of during the 
period from 1997-1999.
    (12) A narrative response to Rating Factor 3, including a proposed 
plan of activities you will carry out, including your proposed budget 
to carry out the proposed activities (two page limit); 
    (13) A narrative response to Rating Factor 4, including signed 
third-party

[[Page 9784]]

commitment letters pledging funds in support of Rating Factor 4: 
``Leverage of other financial resources'';
    (14) A narrative response to Rating Factor 5; and
    (15) Acknowledgment of Application Receipt form.
    (B) Your application must meet all the applicable threshold 
requirements of the General Section of this SuperNOFA.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(c)(9) and (13) and 58.34(a)(9) and 
58.35(b)(2), the assistance provided by these programs relates only to 
the provision of technical assistance and supportive services (up to 
$6.0 million) and is categorically excluded from the requirements of 
the National Environment Policy Act and not subject to environmental 
review under the related laws and authorities. This determination is 
based on the ineligibility of real property acquisition, construction, 
rehabilitation, conversion, leasing or repair for HUD assistance under 
these technical assistance programs.

IX. Authority

    Section 514, Multifamily Assisted Housing Reform and Affordability 
Act of 1997, and section 534 of the Department of Veteran Affairs and 
Housing and Urban Development and Independent Agencies Appropriations 
Act, 2000.

BILLING CODE 4210-32-P

[[Page 9785]]

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Notices  

[[Page 9787]]


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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9789]]



FUNDING AVAILABILITY FOR THE ECONOMIC DEVELOPMENT INITIATIVE (EDI)

Program Overview

    Purpose of the Program. HUD intends the approximately $24.1 million 
in EDI funds to stimulate economic development by local governments and 
private sector parties. HUD desires to see EDI and Section 108 funds 
used to finance projects and activities that will provide near-term 
results and demonstrable economic benefits, such as job creation and 
increases in the local tax base. EDI funds are used to enhance the 
security of a loan guaranteed by HUD under Section 108 of the Act (as 
defined in Section III(A)(1) below). An EDI grant must be used in 
conjunction with a new Section 108 guaranteed loan commitment. In FY 
2000, two types of projects are eligible for funding: general economic 
development projects and regional economic development projects.
    Available Funds. Approximately $24.1 million is available for EDI 
grants as follows:
    (1) Up to $14.1 million for proposals for general economic 
development projects, and;
    (2) Up to $10.0 million for regional economic development projects.
    Eligible Applicants. Eligible applicants are Community Development 
Block Grant entitlement units of general local government and non-
entitlement units of general local government eligible to receive loan 
guarantees under 24 CFR part 570, subpart M. Urban counties as defined 
in 24 CFR 570.3 and 570.307 may apply for funding, but units of general 
local government which participate in the Urban County may not submit 
an application independent of the Urban County.
    Application Deadline. May 24, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Please submit your completed applications 
(one original and two copies) on or before 12:00 midnight, Eastern 
time, on May 24, 2000, to the addresses shown below. In your 
transmittal letter, please indicate whether you are applying for 
funding as a general economic development project or a regional 
economic development project.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. To HUD Headquarters. Submit 
your completed application (an original and one copy) to: Processing 
and Control Unit, Room 7251, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Washington, DC 20410, Attention: EDI Grant, by mail or hand 
delivery.
    To the Appropriate CPD Field Office. At the same time you submit 
your application to HUD Headquarters, you must submit an additional 
copy of your application to the Community Planning and Development 
Division of the appropriate HUD Field Office for your jurisdiction.
    When submitting your application, please refer to EDI, and include 
your name, mailing address (including zip code) and telephone number 
(including area code).
    For Application Kits. For an application kit and any supplemental 
information, please call HUD's SuperNOFA Information line toll free at 
1-800-HUD-8929. When requesting the application kit, please refer to 
EDI. Please provide your name, address (including zip code), and 
telephone number (including area code). The application kit also will 
be available on the Internet through the HUD web site at http://www.hud.gov. Persons with hearing or speech impairments may call the 
Center's TTY number at 1-800-HUD-2209 to obtain an application kit.
    For Further Information and Technical Assistance. You may contact 
either Tony Johnston or Paul Webster of the Office of Economic 
Development Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room 7136, Washington, DC 20410; telephone (202) 708-1871 
(this is not a toll-free number). Persons with speech or hearing 
impairments may access this number via TTY by calling the toll-free 
Federal Information Relay Service at 1-800-877-8339.
    See the General Section of this SuperNOFA for guidance on the 
provision of technical assistance for EDI grants. The Section 108 Loan 
Guarantee program is not a competitive program and therefore is not 
subject the HUD Reform Act. HUD staff will be available to provide 
advice and assistance to develop your Section 108 loan applications.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    A maximum of $24.1 million is available for the EDI program for FY 
2000, as appropriated in Pub.L. 106-74, the FY 2000 HUD Appropriations 
Act.
    If any additional funds become available during Fiscal Year 2000, 
HUD may either fund additional applicants in accordance with this 
program section of this SuperNOFA or may add these funds to any future 
EDI competitions. If additional funds are used for this competition, 
they shall be distributed in proportion to the demand for funds in 
general economic development projects and regional economic development 
projects. Eligible applications in both categories will be funded in 
rank order.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. EDI funds are used to enhance the security 
of a loan guaranteed by HUD under Section 108 of the Act (as defined in 
Section III(A)(1) below) for the same project, or to improve the 
viability of the project financed with the Section 108-guaranteed loan. 
An EDI grant must be used in conjunction with a new Section 108 
guaranteed loan commitment. Both Section 108 loan guarantee proceeds 
and EDI grant funds are initially made available by HUD to public 
entities approved for assistance. Such public entities may re-loan the 
Section 108 loan proceeds and provide EDI funds to a business or other 
entity to carry out an approved economic development project, or the 
public entity may carry out the eligible project itself. In either 
case, EDI grant funds and the 108 proceeds must be used together to 
support the same eligible project.
    In addition to funding general economic development projects, HUD 
is announcing for FY 2000 its intention to target a specific amount for 
regional economic development projects. Regional economic development 
projects are those which demonstrate broad economic benefit to a region 
and result from a project undertaken by combinations of units of 
general local governments formalized through an executed inter-
municipal agreement among the participants. HUD believes such projects 
are deserving of special consideration based on their cross-
jurisdictional and regional benefits,

[[Page 9790]]

including the generation of collateral economic development, tax 
revenues and jobs. The inter-municipal or cooperative agreement must 
authorize one of the participating units of general local government to 
serve as the lead applicant for the FY 2000 EDI grant application. To 
the maximum extent possible, HUD will deal exclusively with the lead 
entity with respect to issues of coordination, program administration, 
execution of grant agreements and loan documents.
    One application shall be submitted for each regional economic 
development project which must consist of two parts: Part I, Lead 
Applicant's Submission, must include a Cooperative Agreement which 
stipulates a workplan for the regional economic development project. 
The Cooperative Agreement must be executed by the chief executives of 
the participating jurisdictions. The Cooperative Agreement workplan 
must indicate the overall purpose, objectives and accomplishments 
expected from carrying out the project. Your application shall also 
include the Standard Form 424, the required certifications signed by 
the lead applicant, and other materials as described in Section IV(D) 
of this program section of this SuperNOFA. The lead applicant shall be 
responsible for coordinating actions of the workplan with respect to 
timing and scheduling. Part II of the application, Participating 
Members' Plans, shall contain discrete EDI and Section 108 loan 
guarantee requests by each participating member identifying activities 
to be financed by the jurisdiction with grant funds and guaranteed loan 
proceeds and shall meet the other requirements described more fully in 
Section VI D(2). The member submission must be consistent with the 
member's applicable portion of the Cooperative Agreement submitted by 
the lead applicant. HUD reserves the right to clarify any discrepancies 
between the lead applicant's submission and the participating member's 
submission under the provisions regarding technical discrepancies 
described in the General Section of the SuperNOFA. However, if the 
discrepancies cannot be clarified to the satisfaction of the 
Department, HUD reserves the right to eliminate the member 
jurisdiction's application and fund the remaining portions of the 
application provided the integrity of the regional economic development 
project is intact. However, if HUD determines the removal of one or 
more members' applications destroys the integrity or financial 
feasibility of the economic development project, HUD will disqualify 
the application from further funding as a regional economic development 
project. Upon HUD approval of the regional economic development 
project, each participating partner would be awarded an EDI grant that 
will be accompanied by a related Section 108 loan guarantee to finance 
the member's activities under the regional development project. Such 
activities might be carried out within a participating partner's own 
jurisdiction, partly in the partner's jurisdiction and partly outside 
of it, or completely outside of it. If the participating partner 
carries out an activity outside of its jurisdiction, it must 
demonstrate that such an activity is necessary to further the community 
development objectives of the regional economic development project and 
that reasonable benefits from the activity will accrue to residents 
within the member's jurisdiction. The participating partner shall 
document the basis for such determination as part of its plan under 
Part II of the application. Each participating partner will be 
expected, if the application is approved, to execute a separate EDI 
agreement, Section 108 commitment, set of section 108 promissory notes 
and Contracts for Loan Guarantee Assistance covering the EDI and 
Section 108 funds to be expended by such jurisdiction.
    HUD will rate the regional economic development project as a whole, 
including the details included in the Cooperative Agreement workplan 
submitted by the applicant. Economic development projects may include 
projects where the participating partners invest in one project with 
each participating partner's role (e.g. specific contributions to the 
project, funding being provided) demonstrating how the activity is both 
necessary to further the regional objectives while accruing benefits to 
residents of the jurisdiction. An economic development project might 
also include projects carried out within the boundaries of each 
participating member's jurisdiction where the effect of carrying out 
the project activities in multiple jurisdictions will create a regional 
synergy that will result in a reduction or elimination of high poverty 
levels, high unemployment rates or otherwise support other on-going 
economic development projects.
    HUD reserves the right to determine whether an application 
qualifies for ranking as a regional economic development project as 
described above, or meets the general economic development project 
category.
    (1) Definitions. Terms used in this program section of this 
SuperNOFA have the meanings given in 24 CFR part 570 unless otherwise 
specified.
    Act means Title I, Housing and Community Development Act of 1974, 
as amended, (42 U.S.C. 5301 et seq.).
    Application means a single set of documents submitted by an 
eligible applicant for EDI grant funds accompanied by a Section 108 
loan guarantee request in accordance with the provisions of this 
program section of this SuperNOFA to finance a general economic 
development project. For a regional economic development project, an 
Application also means a single application submitted by an eligible 
lead applicant (Part I) and other eligible participating units of 
general local government (Part II) in accordance with the provisions of 
this program section of this SuperNOFA to finance activities under the 
region economic development project.
    CDBG funds means those funds collectively defined at 24 CFR 570.3, 
including grant funds received pursuant to section 108(q) of the Act 
and this program section of this SuperNOFA.
    Economic Development Initiative (EDI) means the competitive award 
of economic development grant assistance under section 108(q) of the 
Act, as authorized by Section 232 of the Multifamily Housing Property 
Disposition Reform Act of 1994 (Pub.L. 103-233, approved April 11, 
1994).
    Economic development project means an activity or activities 
(including mixed use projects with housing components) that are 
eligible under the Act and under 24 CFR 570.703, and that increase 
economic opportunity for persons of low- and moderate-income or that 
stimulate or retain businesses or jobs or that otherwise lead to 
economic revitalization. Unless the context indicates otherwise, the 
term economic development project includes a ``regional economic 
development project'' as defined below.
    Empowerment Zone or Enterprise Community means an urban area so 
designated by the Secretary of HUD pursuant to 24 CFR part 597 or part 
598, or a rural area so designated by the Secretary of Agriculture 
pursuant to 7 CFR part 25, subpart B.
    General Economic Development Project means an activity or 
activities (including mixed use projects with housing components) that 
are eligible under the Act and under 24 CFR 570.703, and that increase 
economic opportunity for persons of low- and moderate-income or that 
stimulate or retain businesses or jobs or that otherwise lead to 
economic revitalization through projects that are carried out by a 
single jurisdiction.

[[Page 9791]]

    Strategic Plan means a strategy developed and agreed to by the 
nominating local government(s) and State(s) and submitted in partial 
fulfillment of the application requirements for an Empowerment Zone or 
Enterprise Community designated pursuant to 24 CFR part 597 or part 
598.
    Regional economic development project means an activity or 
activities (including mixed use projects with housing components) that 
are eligible under the Act and under 24 CFR 570.703, and that increase 
economic opportunity for persons of low- and moderate-income or that 
stimulate or retain businesses or jobs or that otherwise lead to 
economic revitalization through projects that generate economic benefit 
to a region or multi-jurisdictions. Especially, a regional economic 
development project shall (a) have participant members whose 
jurisdictional borders are contiguous with those of at least one other 
participating member, (b) be carried out by a combination of at least 
two units of general local government, (c) be carried out under a 
written cooperative agreement among the participating units of general 
local government with an attached workplan detailing the activities to 
be carried out and the accomplishments to be realized.
    (2) Background. (a) HUD has multiple programs which are intended to 
stimulate and promote economic and community development. Primary among 
HUD's resources are the Community Development Block Grant (CDBG) 
program and the Section 108 loan guarantee program.
    (b) The CDBG program provides grant funds (approximately $4.240 
billion in FY 2000) by formula to eligible local governments (either 
directly or through States) to carry out community and economic 
development activities. The Section 108 loan guarantee program provides 
local governments with a source of financing for economic development, 
public facilities and other eligible large scale physical development 
projects. HUD is authorized pursuant to Section 108 to guarantee notes 
issued by CDBG entitlement communities, and non-entitlement units of 
general local government eligible to receive funds under the State CDBG 
program. The Section 108 program is subject to the regulations of 24 
CFR part 570 applicable to the CDBG program, as described in 24 CFR 
part 570, subpart M. EDI grants must support Section 108 loan 
guarantees as generally described in this program section of this 
SuperNOFA.
    (c) For FY 2000, the Section 108 program is authorized at $1.261 
billion in loan guarantee authority. The full faith and credit of the 
United States will be pledged to the payment of all guarantees made 
under Section 108. Under this program, communities (and States, if 
applicable) pledge their continuing CDBG allocations as security for 
loans guaranteed by HUD. The Section 108 program, however, does not 
require CDBG funds to be escrowed for loan repayment (unless such an 
arrangement is specifically negotiated as loan security and included in 
the applicable ``Contract for Loan Guarantee Assistance''). This means 
that a community can ordinarily continue to spend its existing 
allocation for other CDBG purposes, unless needed for loan repayment.
    (3) EDI Program. The EDI program was enacted in 1994 and is 
intended to complement and enhance the Section 108 Loan Guarantee 
program. A purpose of EDI grant funds is to reduce grantees' potential 
loss of future CDBG allocations:
    (a) By strengthening the economic feasibility of the projects 
financed with Section 108 funds (and thereby increasing the probability 
that the project will generate enough cash to repay the guaranteed 
loan);
    (b) By directly enhancing the security of the guaranteed loan; or
    (c) Through a combination of these or other risk mitigation 
techniques.
    (4) Purpose of EDI Funding. HUD intends the approximately $24.1 
million in EDI funds to stimulate economic development by local 
governments and private sector parties. HUD desires to see EDI and 
Section 108 funds used to finance projects and activities that will 
provide near-term results and demonstrable economic benefits, such as 
job creation and increases in the local tax base.
    (5) Additional Security for Section 108 Loan Guarantee. Public 
entities should be mindful of the need to provide additional security 
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3). 
Although a public entity is required by the Act to pledge its current 
and future CDBG funds as security for the Section 108 loan guarantee, 
the public entity will usually be required to furnish additional 
collateral. In most cases, the additional collateral consists (in whole 
or in part) of the asset financed with the Section 108 loan funds 
(e.g., a loan made to a business as part of an economic development 
project). Applications proposing uses for EDI funding that directly 
enhance the value of the assets securing the Section 108 loan will help 
ensure that the project-based asset(s) will satisfy the additional 
collateral requirements.
    (6) Typical Project Structures. Provided that proposals are 
consistent with other CDBG requirements, including national objectives, 
HUD envisions that the following project structures could be typical:
    (a) Funding Reserves. The cash flow generated by an economic 
development project may be expected to be relatively ``thin'' in the 
early stages of the project, i.e. potentially insufficient cash flows 
to meet operating expenses and debt service obligations. The EDI grant 
can make it possible for reserves to be established in a way that 
enhances the economic feasibility of the project.
    (b) Over-Collateralizing the Section 108 Loan.
    (i) The use of EDI grant funds may be structured in appropriate 
cases to improve the likelihood that project-generated cash flow will 
be sufficient to cover debt service on the Section 108 loan and 
directly to enhance the security of the guaranteed loan. One technique 
for accomplishing this approach is over-collateralization of the 
Section 108 loan.
    (ii) An example is the creation of a loan pool funded with both 
Section 108 and EDI grant funds. The community would make loans to 
various businesses from the combined pool at an interest rate equal to 
or greater than the rate on the Section 108 loan. The total loan 
portfolio would be pledged to the repayment of the Section 108 loan.
    (c) Direct Enhancement of the Security of the Section 108 Loan. The 
EDI grant can be used to cover the cost of providing credit 
enhancements. An example of how the EDI grant can be used for this 
purpose is by using the grant funds to cover the cost of a standby 
letter of credit, issued in favor of HUD. This letter of credit will be 
available to fund amounts due on the Section 108 loan if other sources 
fail to materialize and thus will serve to protect the public entity's 
future CDBG funds.
    (d) Provision of Financing to For-Profit Businesses at a Below 
Market Interest Rate.
    (i) While the rates on loans guaranteed under Section 108 are only 
slightly above the rates on comparable U.S. Treasury obligations, they 
may nonetheless be higher than can be afforded by businesses in 
severely economically distressed neighborhoods. The EDI grant can be 
used to make Section 108 financing affordable.
    (ii) EDI grant funds could serve to ``buy down'' the interest rate 
up front, or make full or partial interest

[[Page 9792]]

payments, allowing the businesses to be financially viable in the early 
start-up period not otherwise possible with Section 108 alone. This 
strategy would be particularly useful where a community was undertaking 
a large commercial/retail project in a distressed neighborhood to act 
as a catalyst for other development in the area.
    (e) Combination of Techniques. You could employ a combination of 
these or other techniques in order to implement a strategy that carries 
out an economic development project.
    (B) Eligible Applicants. (1) Any public entity eligible to apply 
for Section 108 loan guarantee assistance pursuant to 24 CFR 570.702 
may apply for EDI grant assistance under Section 108(q). Eligible 
applicants are CDBG entitlement units of general local government and 
non-entitlement units of general local government eligible to receive 
loan guarantees under 24 CFR part 570, subpart M. Urban Counties, as 
defined at 24 CFR 570.3 and 570.307, are eligible applicants for EDI 
funds; units of general local government which participate in an Urban 
County program are not independently eligible applicants. For non-
entitlement applicants other than those subject to 24 CFR 570, subpart 
F, applicants will be required to provide proof that the State will 
support the related Section 108 loan with a pledge of its CDBG funds 
pursuant to the requirements of 24 CFR 570.705(b)(2). Note that 
effective January 25, 1995, non-entitlement public entities in the 
states of New York and Hawaii were authorized to apply to HUD for 
Section 108 loans (see 59 FR 47510, December 27, 1994). Thus, non-
entitlement public entities in all 50 states and Puerto Rico are 
eligible to participate in the Section 108 and EDI programs.
    (2) Applicants for both general economic development projects and 
regional economic development projects must comply with the threshold 
requirements of Section II of the General Section of the SuperNOFA.
    (C) Eligible Activities and National Objectives. (1) EDI grant 
funds and section 108 loan guarantee funds may be used for activities 
listed at 24 CFR 570.703, provided such activities are carried out as 
part of an economic development project as described in this EDI 
section of this SuperNOFA including Section III(A). If your application 
fails to meet the requirements for an EDI project as set forth in this 
program section of the SuperNOFA, HUD will not give it a rating.
    (2) Each activity assisted with Section 108 loan guarantee or EDI 
funds must meet a national objective of the CDBG program as described 
in 24 CFR 570.208. You must clearly identify in your narrative 
statement (as described in Section V.(B) below) the CDBG national 
objective your proposed project will achieve and provide the 
appropriate CDBG national objectives regulatory citation found at 24 
CFR 570.208. Also, you must address, when applicable, how your proposed 
activities will comply with the public benefit standards of the CDBG 
program as reflected in the regulation at 24 CFR 570.209 for the CDBG 
Entitlement and Small Cities programs or 24 CFR 570.482 for the State 
CDBG program.
    (3) In the aggregate, your use of CDBG funds, including any Section 
108 loan guarantee proceeds and section 108(q) (EDI) funds provided 
pursuant to this program section of this SuperNOFA, must comply with 
the CDBG primary objectives requirement as described in section 101(c) 
of the Act and 24 CFR 570.200(c)(3), or 24 CFR 570.484 in the case of 
State grantees.
    (4) For purposes of a unit of general local government's compliance 
with CDBG primary and national objectives and public benefit 
regulations for regional economic development projects, only the EDI 
grant funds and section 108 loan guarantee proceeds made available to 
each unit of general local government participating in the project 
shall be counted toward that unit's primary objective, low and moderate 
income benefit national objective, and public benefit percentage goals. 
In addition, each unit of general local government's Section 108 
outstanding obligations for purposes of compliance with 24 CFR 
570.705(a)(2) (regarding maximum outstanding section 108 guaranteed 
obligations) shall include only those obligations issued by such unit 
of general local government itself, not those issued by other 
participating jurisdictions.

IV. Program Requirements

    (A) CDBG Program Regulations. In addition to 24 CFR 570.701 
(Definitions), 570.702 (Eligible applicants), and 570.703 (Eligible 
activities), as explained elsewhere in this program section of the 
SuperNOFA, the CDBG regulatory requirements in 24 CFR 570.707, 
including subparts J (Grant Administration), K (Other Program 
Requirements), and O (Performance Reviews) govern the use of EDI funds, 
as applicable. As with general economic development projects, 
participants in regional economic development projects must insure that 
all activities carried out with EDI funds are eligible activities, they 
meet national objective requirements, and meet the citizen 
participation requirements in the applicable jurisdiction, as required 
under 24 CFR 570.704.
    (B) Compliance with Applicable Laws. An award of EDI funding does 
not in any way relieve you or third party users of EDI funds from 
compliance with all applicable Federal, State and local laws.
    (C) Related Section 108 Loan Guarantee Application.
    (1) Each EDI application must be accompanied by a request for new 
Section 108 loan guarantee assistance. Notwithstanding the form of your 
request for new section 108 loan guarantee assistance under paragraphs 
(a), (b), (c), or (d) of this section below, you must include citations 
to the specific regulatory subsections supporting activity eligibility 
and national objectives compliance for the project described in your 
application. Both the EDI and Section 108 funds must be used in 
conjunction with the same economic development project. This request 
may take any of several forms as defined below.
    (a) A formal application for new Section 108 loan guarantee(s), 
including the documents listed at 24 CFR 570.704(b).
    (b) A brief description (not to exceed three pages) of the project 
to be applied for in a new Section 108 loan guarantee application(s). 
Such 108 application(s) must be submitted within 60 days of a notice of 
EDI selection, with HUD reserving the right to extend such period on a 
case-by-case basis where HUD determines there is evidence of good 
cause. EDI awards will be conditioned on approval of actual Section 108 
loan commitments. This Section 108 application description must be 
sufficient to support the basic eligibility of the proposed project and 
activities for Section 108 assistance. (See Section III(C) of this 
program section of this SuperNOFA.)
    (c) A copy of a pending, unapproved Section 108 loan guarantee 
application, and any proposed amendments to the Section 108 application 
which are related to the EDI application. The applicant's submission of 
such an EDI/Section 108 application shall be deemed by HUD to 
constitute a request to suspend separate processing of the Section 108 
application. The Section 108 application will not be approved until on 
or after the date of the related EDI award.
    (d) A request for a Section 108 loan guarantee assistance 
(analogous to Section IV(C)(1)(a) or (b) above) that proposes to 
increase the amount of a previously approved application. However, any 
amount of Section 108

[[Page 9793]]

loan guarantee authority approved before HUD's announcement of an EDI 
grant for the same project is not eligible under this program section.
    (2) Further, a Section 108 loan guarantee amount that is required 
to be used in conjunction with a prior EDI or Brownfields Economic 
Development Initiative (BEDI) grant award, whether or not the Section 
108 loan guarantee has been approved as of the date of this SuperNOFA, 
is not eligible for an EDI award under this SuperNOFA. For example, if 
a public entity has a previously approved Section 108 loan guarantee 
commitment of $12 million, even if none of the funds have been 
utilized, or if the public entity had previously been awarded an EDI 
grant of $1 million and had certified that it will submit a Section 108 
loan application for $10 million in support of that EDI grant, the 
public entity's EDI application under this SuperNOFA must propose to 
increase the amount of its total Section 108 loan guarantee commitments 
beyond those amounts (the $12 million or $10 million in this example) 
to which it has previously agreed.
    (D) Limitations on Use of EDI and Section 108 Funds. Certain 
restrictions shall apply to the use of EDI and Section 108 funds:
    (1) EDI grants must not be used as a resource to immediately repay 
the principal of a loan guaranteed under Section 108. Repayment of 
principal is only permissible with EDI grant funds as a matter of 
security if other sources projected for repayment of principal prove to 
be unavailable.
    (2) You may not use Section 108 funds to finance activities that 
also include financing generated through the issuance of federally tax 
exempt obligations. Pursuant to Office of Management and Budget (OMB) 
Circular A-129 (Policies for Federal Credit Programs and Non-Tax 
Receivables), Section 108 guaranteed loan funds may not directly or 
indirectly support federally tax-exempt obligations.
    (3) HUD will not consider for funding any EDI proposal in which the 
related Section 108 loan guarantee would be used solely as security. 
EDI funds are to be used to support and enhance activities financed 
with Section 108 loan guarantee proceeds from HUD's interim lending or 
public offering mechanisms and thereby leverage greater use of the 
Section 108 program. Awarding EDI funds to a project which would use 
the Section 108 guarantee only as a security guarantee for other 
financing can be tantamount to making a simple grant to the project and 
thereby fails to fulfill the goals of the EDI program.
    (E) Time-frames. EDI grant awards will contain conditions requiring 
you to adhere to your stated time-frames for implementing your proposed 
projects and drawing Section 108 and EDI funds. If you fail to adhere 
to these schedules, HUD may recapture the EDI funds.
    (F) Limitations on Grant Amounts. (1) HUD expects to approve EDI 
grant amounts for approvable applications at a range of ratios of EDI 
grant funds awarded to new Section 108 loan guarantee commitments, but 
the minimum ratio will be $1 of Section 108 loan guarantee commitments 
for every $1 of EDI grant funds. However, if you propose a leverage 
ratio of 1:1, you will not receive any points under Rating Subfactor 
4(1): ``Leverage of Section 108 Funds.'' For example, an applicant 
requesting an EDI grant of $1 million will be required to leverage a 
minimum of at least $1 million in new Section 108 loan guarantee 
commitments. Of course, even though there is a minimum ratio of 1:1, 
applications with higher ratios will receive more points under Rating 
Factor 4, ``Leveraging Resources/Financial Need'' and, all other things 
being equal, will be more competitive. You should propose projects with 
a greater leverage ratio of new Section 108 to EDI grant funds 
(assuming such projects are financially viable). For example, $1 
million of EDI could leverage $12 million of new Section 108 loan 
commitments. HUD intends that the EDI funds will be used for projects 
which leverage the greatest possible amount of Section 108 loan 
guarantee commitments. Because a fundable application is competitive in 
part because of the applicant's proposed ratio of EDI funds to funds 
guaranteed by a Section 108 loan guarantee, HUD will condition a EDI 
grant award on the grantee's achievement of that specific ratio. Your 
failure to meet that condition by obtaining timely HUD approval of a 
commitment for, and issuance of, the required Section 108 guaranteed 
obligations ratio may result in the cancellation and recapture of all 
or a proportionate share of the EDI grant award.
    (2) HUD will cap EDI awards at a maximum of $2 million for both 
general and regional economic development projects. Any application in 
excess of $1 million may be reduced below the amount requested by the 
applicant if HUD determines that such a reduction is appropriate. In 
the case of regional economic development projects, these caps shall 
apply to the total project amount for the regional economic development 
project.
    (3) If additional EDI grant funds become available (e.g., from 
recaptures, appropriations) to HUD, HUD reserves the right to award 
grants under this SuperNOFA during FY 2000 whose aggregate total may 
exceed the $24.1 million announced in this program section of this 
SuperNOFA, up to the maximum amount authorized by law. If HUD decides 
to award grants from these additional funds, HUD may make such funds 
available in proportion to the demand for funds in either the general 
economic development projects or regional economic development projects 
and the projects shall be funded in rank order.
    (4) In the event you are awarded an EDI grant that has been reduced 
below the original request (e.g. the application contained some 
activities that were ineligible or there were insufficient funds to 
fund the last competitive application at the full amount requested or 
there were technical deficiencies that could not be resolved), you will 
be required to modify your project plans and application to conform to 
the terms of HUD's approval before HUD will execute a grant agreement. 
HUD also will proportionately reduce or deobligate the EDI award if you 
do not submit approvable Section 108 loan guarantee applications on a 
timely basis (including any extension authorized by HUD) in the amount 
required by the EDI/108 leveraging ratio which will be approved by HUD 
as a special condition of the EDI grant award (see Section IV(E)(1) 
above of this program section of the SuperNOFA). Any modifications or 
amendments to your application approved pursuant to this SuperNOFA, 
whether requested by you or by HUD, must be within the scope of the 
approved original EDI application in all respects material to rating 
the application, unless HUD determines that the revised application 
remains within the competitive range and is otherwise approvable under 
this SuperNOFA competition.
    (5) In the case of requested increase in guarantee assistance for a 
project with a previously approved Section 108 loan guarantee 
commitment (as further discussed in Section IV(C)(1)(d), above), the 
EDI assistance approved will be based on the increased amount of 
Section 108 loan guarantee assistance.
    (6) Pursuant to another portion of this SuperNOFA, HUD is 
simultaneously announcing the availability of $25 million of 
Brownfields Economic Development Initiative (BEDI) funds. While HUD 
will permit applicants to pursue BEDI and EDI funds for the same 
project, HUD requires that the BEDI and EDI applications (and their 
components)

[[Page 9794]]

be independent of one another. Thus, each application should have an 
identifiable amount of Section 108 funding associated with its 
respective request for EDI and BEDI funds for purposes of determining 
the leverage of Section 108 funding to the corresponding amount of EDI 
or BEDI funds requested. Further, the proposed amount of Section 108 
borrowing associated with the BEDI or EDI grant shall not be used to 
determine leverage of other financial resources under Rating Subfactor 
4(3). Further, if you seek both BEDI and EDI funds for the same 
project, you must include in your response to Rating Factor 3 and the 
``Financial feasibility'' portion of Rating Factor 4 a discussion of 
how the project can be financed and implemented if you fail to obtain 
either BEDI or EDI funds under this SuperNOFA.
    (G) Timing of Grant Awards. (1) To the extent you submit a full 
Section 108 application with your EDI grant application, HUD will 
evaluate the Section 108 application concurrently with the request for 
EDI grant funds. Note that EDI grant assistance cannot be used to 
leverage a Section 108 loan guarantee approved prior to the date of 
HUD's announcement of an EDI grant pursuant to this SuperNOFA. However, 
the EDI grant may be awarded before HUD approval of the Section 108 
commitment if HUD determines that such award will further the purposes 
of the Act.
    (2) HUD notice to you of the amount and conditions of EDI funds 
awarded, based upon review of the EDI application, constitutes an 
obligation of grant funds, subject to compliance with the conditions of 
award and execution of a grant agreement. EDI funds must not be 
disbursed to the public entity before the issuance of the related 
Section 108-guaranteed obligations.
    (H) Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). Section 3 of the Housing and Urban Development Act of 1968 
(12 U.S.C. 1701u) is applicable to EDI grant recipients. Please see 
Section II(E) of the General Section of the SuperNOFA.

V. The Application Selection Process

    (A) Rating and Ranking. (1) Each rating factor and the maximum 
number of points is provided below. The maximum number of points to be 
awarded is 102. All EDI applications must obtain an average score of at 
least 70 points to be considered fundable. This includes two EZ/EC 
bonus points as described in the General Section of this SuperNOFA.
    (2) All technically acceptable applications will be scored under 
the selection criteria below. Applications will be selected for funding 
in two groups as follows:
    (a) All acceptable EDI grant applications for general economic 
development projects will be separately ranked in order of points 
assigned with the applications receiving more points ranking above 
those receiving fewer points. Acceptable economic development 
applications must meet the threshold requirements stipulated in the 
General Section of this SuperNOFA and be complete as required by the 
Submission requirements of this program section of this SuperNOFA. 
General economic development projects will be funded in rank order 
until the total aggregate amount of the applications funded is equal to 
up to $14.1 million (subject to the Department's discretion described 
in Section V(A)(4) below).
    (b) All acceptable EDI applications for regional economic 
development projects will be separately ranked in order of points 
assigned with the application receiving more points ranking above those 
receiving fewer points. Acceptable applications for regional economic 
development projects are those that meet the threshold requirements in 
the General Section of this SuperNOFA and the Submission requirements 
in Section VI of this program section of this SuperNOFA. Such 
applications shall also meet the definition requirements for 
``Application'' and ``Regional economic development project,'' as 
described in Section III(A)(1), including the threshold requirements. 
HUD will rate the regional economic development project by evaluating 
the Cooperative Agreement and the descriptive details included in the 
workplan attached against the factors for award. The workplan details 
must include (i) the activities to be carried out and accomplishments 
to be realized under the regional economic development project and (ii) 
the management plan followed to insure the successful coordination of 
the varies actions undertaken by the participating partners and to 
insure proper coordination with other nonprofit, local, state and 
federal agencies' involvement in the project. This description must be 
included in Part I, the Lead Applicant's section of the application, 
and must include the role of the lead applicant in coordinating the 
activities under the project generally and the extent of its 
coordinating activities within the jurisdictions of the participating 
members.
    Economic development projects may include projects where the 
participating partners invest in one project with each participating 
partner's role (e.g. funding, planning) being explained to demonstrate 
how the activity is both necessary to further the regional objectives 
while accruing reasonable benefits to residents of the partner's 
jurisdiction. An economic development project might also include 
projects carried out within the boundaries of each participating 
member's jurisdiction where the effect of carrying out the project 
activities in multiple jurisdictions will create a regional synergy 
that will cause a reduction to or elimination of the regional problem 
or condition (e.g., high poverty levels, high unemployment). The 
workplan must describe such jurisdictional efforts and the extent to 
which their combined efforts accomplish the objectives of the regional 
economic development project. Regional economic development projects 
will be funded in rank order until the total aggregate amount of the 
applications funded is equal to up to $10 million (subject to the 
Department's discretion described in section V(A)(4) below);
    (c) If there are more EDI funds than general economic development 
projects qualified for funding then such excess funds can be shifted to 
fund regional economic development projects qualified for funding.
    (3) After selection, but prior to award, if HUD determines that 
your application could be funded at a lesser EDI grant amount than 
requested consistent with feasibility of the funded project or 
activities and the purposes of the Act, HUD reserves the right to 
reduce the amount of the EDI award and/or increase the required Section 
108 loan guarantee commitment, if necessary. An application in excess 
of $1 million may be reduced below the amount requested by the 
applicant if HUD determines that such a reduction is appropriate.
    (B) Narrative Statement.
    (1) Provide narrative statements describing the activities that you 
will carry out with the EDI grant funds. Your narrative statement must 
not exceed three (3) 8.5'' by 11" pages.
    (2) Describe how your proposed uses of EDI funds will meet the 
national objectives under 24 CFR 570.208 for the CDBG program and 
qualify as eligible activities under 24 CFR 570.703. You must include 
citations to the specific regulatory subsections supporting activity 
eligibility and national objectives compliance. (See Section III(C) of 
this program section of this SuperNOFA).
    (3) You must respond to the rating factors below. Each of the 
listed rating factors (or, where applicable, each

[[Page 9795]]

subfactor) below has a separate page limitation specified.
    (4) Print your narrative statements in 12 point type/font, and use 
sequentially numbered pages.
    (C) Factors for Award Used to Evaluate and Rate Applications. HUD 
will consider your application for selection based on the following 
factors that demonstrate the quality of your proposed project or 
activities, and your capacity and commitment to obtain maximum benefit 
from the EDI funds, in accordance with the purposes of the Act.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement your 
proposed activities in a timely manner. The rating of the ``applicant'' 
or the ``applicant's organization and staff'' for will include any 
subcontractors, consultants, subrecipients, and members of consortia 
that are firmly committed (i.e., has a written agreement or a signed 
letter of understanding with the applicant agreeing in principle to its 
participation and role in the project). In rating this factor, HUD will 
consider the following:
    (1) With regard to the EDI/Section 108 project you propose, you 
should demonstrate that you have the capacity to implement the specific 
steps required to successfully carry out your proposed EDI/Section 108 
project. This includes factors such as your:
    (a) Performance in the administration of your CDBG, HOME or other 
programs;
    (b) Previous experience, if any, in administering a Section 108 
loan guarantee;
    (c) Performance and capacity in carrying out economic development 
projects;
    (d) Ability to conduct prudent underwriting;
    (e) Capacity to manage and service loans made with the guaranteed 
loan funds or previous EDI or BEDI grant funds;
    (f) Capacity to carry out your projects and programs in a timely 
manner; and,
    (g) If applicable, your capacity to manage projects under this 
program section of this SuperNOFA along with any federal funds awarded 
as a result of a federal urban Empowerment Zone/Enterprise Community 
designation (including Enhanced Enterprise Community (EEC) 
designation).
    (2) If you have previously received an EDI or BEDI grant award(s), 
you must describe the status of the implementation of those project(s) 
assisted with EDI or BEDI funds, any delays that have been encountered 
and the actions you are taking to overcome any such delays to carry out 
the project in a timely manner. For such previously funded EDI or BEDI 
grant projects, HUD will consider the extent to which you have used the 
awarded EDI or BEDI grant funds and the associated Section 108 
guaranteed loan funds, and the accomplishments achieved.
    (3) The capacity of subrecipients, nonprofit organizations and 
other entities that have a role in implementing your proposed program 
will be included in this review.
    (4) In addition to the application, HUD also may rely on 
information from performance reports, financial status information, 
monitoring reports, audit reports and other information available to 
HUD in making its determination under this factor.
    (5) For regional economic development projects submitted under Part 
II of the application by each participating member: the extent to which 
the participating member's description under this factor is supportive 
of and compatible with the description in the overall workplan 
incorporated into the Cooperative Agreement.

Rating Factor 2: Distress/Extent of the Problem (15 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the extent to which there is need for funding 
your proposed activities based on levels of distress, and an indication 
of the urgency of meeting the need/distress in your target area.
    (1) In applying this factor, HUD will consider current levels of 
distress in the immediate community to be served by your project and 
the jurisdiction applying for assistance. If you are able to indicate a 
level of distress in the immediate project area that is greater than 
the level of distress in your jurisdiction as a whole, HUD will give 
your application a higher score for this factor. HUD requires you to 
use sound and reliable data that is verifiable to support the level of 
distress you claim in your application. You must provide a source for 
all information you cite and indicate the publication date or 
origination date of the data.
    (2) In previous EDI competitions, the poverty rate was often 
considered the best indicator of distress. Therefore, at a minimum, 
your response must provide the poverty rate for your jurisdiction as a 
whole and for the areas to be served and/or where the EDI/Section 108 
funded project is located; however, in addition, you may demonstrate 
the level of distress with other factors such as income levels and 
unemployment rates.
    (3) Regional economic development projects only: Additionally, the 
lead applicant must identify the region's problems that have impacted 
negatively or adversely on sound regional economic development growth 
and the attractiveness of the region for economic development 
opportunities requiring immediate attention to correct which changes 
are the result of national shifts in the economy. HUD requires the use 
of sound and reliable data (e.g., U.S. Census data, statistical 
reports, university studies/reports) to document such national shifts 
or conditions to support the claims in your application.
    (4) To the extent that your Consolidated Plan and your Analysis of 
Impediments to Fair Housing choice (AI) identifies the level of 
distress in the community and the neighborhood in which your project is 
being carried out, you should include references to such documents in 
preparing your response to this factor. Also, you should discuss the 
extent to which the analysis of impediments identifies unhealthy 
environmental conditions in your project area, and how such conditions 
negatively impact your target neighborhood.
    (5) For regional economic development projects submitted under Part 
II of the application by each participating member: HUD will evaluate 
the extent to which the participating member's description under this 
factor is supportive of and compatible with the description in the 
overall workplan incorporated into the Cooperative Agreement.

Rating Factor 3: Soundness of Approach (30 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the quality and cost-effectiveness of your 
proposed plan. There must be a relationship between the proposed 
activities, community needs and purposes of the program funding for you 
to receive points for this factor. In rating this factor, HUD will 
consider the following:
    (1) The quality of your plan/proposal for the use of EDI funds and 
Section 108 loan funds, including the extent to which your proposed 
plan for effective use of EDI grant/Section 108-guaranteed loan funds 
will address the needs you described in Rating Factor 2 above

[[Page 9796]]

regarding the distress and extent of the problem in your immediate 
community and/or jurisdiction. As part of the response to this factor, 
you should identify the eligible activities you will carry out and 
fully describe how your project will achieve a national objective. You 
should demonstrate how your proposed project would mitigate or 
otherwise address the distress identified in Rating Factor 2 above.
    (2) The extent to which your plan is feasible and likely to achieve 
its stated purpose. HUD's desire is to fund projects and activities 
which will quickly produce demonstrable results and advance the 
purposes of the EDI program, including the number of jobs to be created 
by the project and the impact of the project on job creation that will 
benefit individuals on welfare or low to very low income persons. You 
should demonstrate that you have a clear understanding of the steps 
required to implement your project, the actions that you and others 
responsible for implementing your project must complete. You must 
include a time schedule for carrying out your project. You must use the 
timeline form contained in the Appendix A to this program section of 
this SuperNOFA.
    (3) For Regional economic development projects: Points will be 
received for this factor to the extent to which:
    (a) Your workplan is feasible there are specific projects and 
activities and benefits to be derived from the projects and activities 
in your plan that will work to address the specific regional needs 
described in Rating Factor 2;
    (b) Responsibilities are delineated;
    (c) Activities/actions undertaken by the participating partners are 
shown to contribute to the cooperative undertaking and will effect 
cohesiveness in the cooperative relationship; and
    (d) The extent to which your proposal addresses the conditions that 
have negatively and adversely impacted the region's competitiveness 
with other regions and emphasizes solutions to such regional problems 
that stress emerging technologies, environmentally sound developments 
and/or tourism. Where proposed activities for regional economic 
development projects are designed to enhance existing cultural and 
historic resources of national significance that will benefit from the 
project, your application will receive a higher rating score. Resources 
of national significance are those recognized by the Federal 
Government, such as historic properties, historic battlefields, 
declared scenic rivers or environmental safe areas. Your plan/proposal 
will be evaluated on the extent to which it will contribute to the 
physical and economic revitalization of the region and strengthen its 
economic health through job creation, improving the local tax base and 
similar or other benefits;
    (4) The extent to which your proposed project addresses your 
Analysis of Impediments and the needs identified in Rating Factor 2; 
the extent to which such project activities will result in the physical 
and economic improvement for the residents in the neighborhood in which 
your project will be carried out; the extent to which you will offer 
residents an opportunity to relocate to environmentally healthy housing 
or neighborhoods; or the extent to which residents will benefit from 
the funded project to enable them to continue to live in a redeveloped 
or revitalized neighborhood and thus share in the anticipated economic 
benefits your project is expected to generate.
    (5) The extent to which your project incorporates one or more 
elements that facilitate a successful transition of welfare recipients 
from welfare to work. Such an element could include, for example, 
linking your proposed project or loan fund to social and/or other 
services needed to enable welfare recipients to successfully secure and 
carry out full-time jobs in the private sector; provision of job 
training to welfare recipients who might be hired by businesses 
financed through the proposal; and/or incentives for businesses 
financed with EDI/section 108 funds to hire and train welfare 
recipients.
    (6) Due to 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's consideration of the 
response to this factor, ``Soundness of Approach,'' will include the 
extent to which Dallas'' plan for the use of EDI funds and Section 108 
loans will be used to eradicate the vestiges of racial segregation in 
the Dallas Housing Authority's programs consistent with the Court's 
order. Up to two (2) additional points will be awarded to any 
application submitted by the City of Dallas, Texas, to the extent this 
subfactor is addressed.
    (7) For regional economic development projects submitted under Part 
II of the application by each participating member: The extent to which 
the participating member's description under this factor is supportive 
of and compatible with the description in the overall workplan 
contained in the Cooperative Agreement.

Rating Factor 4: Leveraging Resources/Financial Need (30 Points)

    [Page limits for the response to this factor are listed separately 
for each subfactor under this factor.]
    In evaluating this factor, HUD will consider the extent to which 
your response demonstrates the financial need and feasibility of your 
project and the leverage ratio of Section 108 loan proceeds to EDI 
grant funds. This factor has three subfactors, each with its own 
maximum point total:
    (1) Leverage of Section 108 funds (15 points).
    [Your response to this subfactor is limited to one (1) page.]
    The minimum ratio of Section 108 funds to EDI funds in any project 
may not be less than 1:1. The extent to which your proposed project 
leverages an amount of Section 108 funds beyond the 1:1 ratio will 
result in your receiving a higher number of points. If you have a ratio 
of 1:1, your application will not receive any points under this 
subfactor. If you use your EDI grant to leverage more new Section 108 
commitments, your application will receive more points under this 
subfactor.
    (2) Financial feasibility (10 points).
    [Your response to this subfactor is limited to three (3) pages.]
    HUD will consider the extent to which you demonstrate that your 
project is financially feasible. In responding to this subfactor, you 
must clearly address the question of why the EDI funds are critical to 
the success of this project. Your response should include these items 
as applicable:
    (a) Project costs and financial requirements. You should provide a 
funding sources and uses statement (not included in the 3 page 
narrative limit), as well as justifications for project costs.
    (b) The amount of any debt service or operating reserve accounts 
you will establish in connection with the economic development project.
    (c) The reasonableness of the costs of any credit enhancement paid 
with EDI grant funds.
    (d) The amount of program income (if any) you will receive each 
year during the repayment period for the guaranteed loan.
    (e) Interest rates on those loans to third parties (other than 
subrecipients) (either as an absolute rate or as a plus/minus spread to 
the Section 108 rate).
    (f) Underwriting criteria that you will use in determining project 
feasibility.
    (3) Leverage of other financial resources (5 points). Your response 
to this subfactor is limited to one (1) page plus supporting 
documentation evidencing third party commitment

[[Page 9797]]

(written and signed) of funds. HUD will evaluate the extent to which 
you leverage other funds (public or private) with EDI grant funds and 
Section 108 guaranteed loan funds and the extent to which such other 
funds are firmly pledged to the project. This could include the use of 
CDBG funds, other Federal or state grants or loans, your general funds, 
project equity or commercial financing provided by private sources or 
funds from non-profits or other sources. Funds will be considered 
pledged to the project if there is evidence of the third party's 
written commitment to make the funds available for the EDI/108 project, 
subject to approval of the EDI and Section 108 assistance and 
completion of any environmental review required under 24 CFR part 58 
for the project. Note, that with respect to CDBG funds, your pledge of 
your CDBG funds will be considered sufficient commitment.
    (4) For regional economic development projects submitted under Part 
II of the application by each participating member: Your application 
will be evaluated based on the extent to which the participating 
member's description under this factor is supportive of and compatible 
with the description in the overall workplan incorporated into the 
Cooperative Agreement.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    [Your response to this factor is limited to two (2) pages.]
    This factor addresses the extent to which you have coordinated your 
activities with other known organizations; you participate or promote 
participation in your or a State's Consolidated Planning process; and 
you are working towards addressing a need in a comprehensive manner 
through linkages with other activities in the community.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations before submission, in order to best complement, 
support and coordinate all known activities; and developed specific 
steps to share information on solutions and outcomes with others. 
Describe any written agreements or memoranda of understanding in place, 
or that will be in place after award. For regional economic development 
projects, these are agreements in addition to your Cooperative 
Agreement signed by your participating members.
    (2) Developed linkages, or specific steps to develop linkages with 
other activities, programs or projects (through meetings, information 
networks, planning processes or other mechanisms to coordinate 
activities), so that solutions are holistic and comprehensive. Describe 
any linkages with other HUD-funded projects/activities outside the 
scope of those covered by the Consolidated Plan, as well as established 
linkages and outreach with residents of your project area.
    (3) For Regional economic development projects. The extent to which 
your workplan demonstrates collaboration with Federal agencies 
including but not limited to those mentioned in Rating Factor 3 above, 
as well as the U.S. Department of Commerce and the Small Business 
Administration and evidence of existing Federal, state and not-for-
profit presence and participation in regional economic development 
(through evidence of funding, providing in-kind contributions, 
participating in planning efforts, coordinating activities, providing 
other resources, etc.) will be critical to the overall competitiveness 
of your plan/proposal for this factor. Further, the workplan will be 
evaluated on the extent to which the regional economic development 
project includes specific steps taken or to be taken to protect the 
environment, and evidences authority to proceed with the project by 
having received from or filed with the appropriate agencies of your 
unit of general local government, other unit(s) of general local 
government, as well as state and federal agencies for any necessary 
zoning classification, waivers, general permits, special use permits, 
assessment districts designation, public easements and rights-of way.
    (4) For regional economic development projects submitted under Part 
II of the application by each participating member: The extent to which 
the participating member's description under this factor seems 
supportive of and compatible with the description in the overall 
workplan contained in the Cooperative Agreement.

VI. Application Submission Requirements

    A. EDI Funding. If you are submitting an application for funding 
under the EDI funding allocation under this program section of the 
SuperNOFA you must submit the following items to have a complete 
application. The standard forms, certifications and assurances that are 
required for the EDI application (and listed in paragraph (G) below) 
can be found in Appendix B to the General Section. The remaining 
application items that are forms (i.e., excluding such items as 
narratives or letters, etc.), referred to as the ``non-standard forms'' 
can be found in Appendix B to this program section of the SuperNOFA.

    Note:  that the first 6 application items in Appendix A to this 
program section of the SuperNOFA are applicable to both EDI and BEDI 
(the BEDI funding announcement follows). The remaining application 
items are applicable to regional economic development projects.

    (B) Transmittal Letter signed by the authorized representative of 
your organization indicating that you are submitting your application 
for funding under the Economic Development Initiative Program and you 
are requesting funding consideration for an EDI project.
    (C) Checklist and Submission Table of Contents indicating the page 
numbers where the submission items can be found in your application 
(form HUD-40076-EDI/BEDI).
    (D) Section 108 Funding Eligibility Statement. A completed EDI/BEDI 
Section 108 Funding Eligibility Statement (form HUD-40076-EDI/BEDI).
    (E) Request for Loan Guarantee Assistance. A request for loan 
guarantee assistance under Section 108, as further described in Section 
IV(C) of this program section of the SuperNOFA. Full application 
guidelines for the Section 108 program are found at 24 CFR 570.704.
    (F) Narrative Response to Factors for Award:
    (1) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating your capacity and the 
relevant capacity of your organization and staff to perform the work 
for which you are requesting funding.
    (2) Rating Factor 2: Need Statement Identifying the level of 
Distress/Extent of the Problem. Provide a narrative statement including 
any documentation supporting your statement of need. You may also use 
optional form HUD-40076-EDI/BEDI as a format to respond to this factor 
for award.
    (3) Rating Factor 3: Soundness of Approach. Include your 
activities, budget and time frame for conducting activities in your 
response (see form HUD40076-EDI/BEDI).
    (4) Rating Factor 4: Leveraging Resources/Financial Need. Your 
response should include a completed copy of form HUD-40076-EDI/BEDI, 
``Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses 
Statement.''

[[Page 9798]]

    (5) Rating Factor 5: Comprehensiveness and Coordination. Provide a 
narrative response to this factor.
    (G) Additional Application Forms and Certifications. In addition to 
any forms you have submitted in response to the Factors for Award 
(which may be found at Appendix A for general ED project and for 
regional ED project, you must also submit the following forms and 
certifications.
    (1) Application for Federal Assistance (Standard Form (SF) 424).
    (2) Federal Assistance Funding Matrix (HUD 424M).
    (3) Standard Form for Assurances--Non-Construction Programs (SF 
424B) and/or Standard Form for Assurances--Construction Programs (SF 
424D)--not applicable for this program section.
    (4) Drug-Free Workplace Certification, HUD-50070.
    (5) Certification of Payments to Influence Federal Transactions, 
HUD- 50071, and if engaged in Lobbying, the Disclosure Form Regarding 
Lobbying, SF-LLL.
    (6) Applicant/Recipient Disclosure/Update Report, HUD-2880
    (7) Certification Regarding Debarment and Suspension, HUD-2992
    (8) Certification of Consistency With EZ/EC Strategic Plan, HUD-
2990
    These forms are found in the Appendix B to the General Section of 
this SuperNOFA. You are not required to submit Budget Information on 
Standard Forms 424B or 424C under this EDI section of the SuperNOFA.
    If you wish to receive an acknowledgment of HUD's receipt of your 
application, please submit a completed Acknowledgment of Receipt of 
Application form.
    (H) Regional Economic Development Projects. If you are submitting 
an application for a regional economic development project, then you 
must submit the following items to have a complete application:
    (1) Part 1: Lead Applicant Submission
    (2) Transmittal Letter signed by the authorized representative of 
your organization indicating that you are submitting your application 
for funding under the Economic Development Initiative Program and you 
are requesting funding consideration for a Regional Economic 
Development Project.
    (3) Checklist and Submission Table of Contents (form HUD-40076-EDI/
BEDI) indicating the page numbers where the submission items can be 
found in your application.
    (4) A Cross-Jurisdictional Funding Sources and Uses Statement.
    (5) Cross-Jurisdictional letters of Commitment signed by authorized 
officials of each of the jurisdictions participating in your regional 
economic development project and indicating they agree to the Work Plan 
submitted with your application.
    (6) Certifications specified in Section II(G) of the General 
Section of this NOFA, with the exception of Standard Form 424A, Budget 
Information for Non-Construction Programs and Standard Form 424C, 
Budget Information for Construction Programs.
    The required forms include:
    (1) Application for Federal Assistance (SF 424).
    (2) Federal Assistance Funding Matrix (HUD 424M).
    (3) Standard Form for Assurances--Non-Construction Programs (SF 
424B) and/or Standard Form for Assurances--Construction Programs (SF 
424D) as applicable to your proposed work plan.
    (4) Drug-Free Workplace Certification, HUD-50070.
    (5) Certification of Payments to Influence Federal Transactions, 
HUD 50071, and if engaged in Lobbying, the Disclosure Form Regarding 
Lobbying, SF-LLL.
    (6) Applicant/Recipient Disclosure/Update Report, HUD-2880.
    (7) Certification Regarding Debarment and Suspension, HUD-2992.
    (8) Certification of Consistency With EZ/EC Strategic Plan, HUD-
2990.
    (9) A Cooperative Agreement, executed on behalf of each of the 
participating members by its authorized representative which describes 
the nature of the project and the activities to be carried out in each 
jurisdiction and which activities will be financed with EDI and Section 
108 loan guarantee proceeds. The agreement must include a certification 
that the entities have the capacity to carry out the eligible 
activities under the regional economic development project as required.
    (10) A Workplan attached to the agreement which shall contained, as 
described in Section V(B) of this program section of this SuperNOFA, a 
narrative statement (3 page limit) describing the activities that you 
will carry out with the EDI grant funds;
    (11) Responses in the Workplan to each of the rating factors 
(within the page limits provided for each factor or sub-factor as 
applicable). The rating factors for award and submission requirements 
are:
    (a) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating your capacity and the 
relevant capacity of your organization and staff to perform the work 
for which you are requesting funding.
    (b) Rating Factor 2: Need Statement Identifying the level of 
Distress/Extent of the Problem. Provide a narrative statement including 
any documentation supporting your statement of need. You may also use 
optional form HUD as a format to respond to this factor for award (form 
HUD-40076-EDI/BEDI).
    (c) Rating Factor 3: Soundness of Approach. Include your 
activities, budget and time frame for conducting activities in your 
response.
    (d) Rating Factor 4: Leveraging Resources/Financial Need. Your 
response should include a completed copy of HUD Form, ``Rating Factor 
4: Leveraging Resources/Financial Need Sources and Uses Statement'' 
(form HUD-40076-EDI/BEDI)
    (e) Rating Factor 5: Comprehensiveness and Coordination. Provide a 
narrative response.
    (12) Part II, Participating Member's Plan. The participating 
members in your regional economic development project must submit with 
your Part II documents, the following information:
    (a) A request for loan guarantee assistance under Section 108 as 
further described in Section IV(C) of this program section of the 
SuperNOFA. Full application guidelines for the Section 108 loan 
guarantee program are found at 24 CFR 570.704;
    (b) As described in Section V(B) of this program section of this 
SuperNOFA, a narrative statement (3 page limit) describing the 
activities that you will carry out with the EDI grant funds; Responses 
to each of the rating factors (within the page limits provided for each 
factor or sub-factor as applicable) which must be supportive of and 
compatible with the description in the Workplan attached to the 
Cooperative Agreement for each corresponding factor. The rating factors 
for award and submission requirements are:
    (i) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating your capacity and the 
relevant capacity of your organization and staff to perform the work 
for which you are requesting funding.
    (ii) Rating Factor 2: Need Statement Identifying the level of 
Distress/Extent of the Problem. Provide a narrative statement including 
any documentation supporting your statement of need. You may also use 
optional form HUD-40076-EDI/BEDI) as a format to respond to this factor 
for award.
    (iii) Rating Factor 3: Soundness of Approach. Include your 
activities, budget and time frame for conducting activities in your 
response.

[[Page 9799]]

    (iv) Rating Factor 4: Leveraging Resources/Financial Need. Your 
response should include a completed copy of HUD Form 40076-EDI/BEDI), 
``Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses 
Statement''
    (v) Rating Factor 5: Comprehensiveness and Coordination. Provide a 
narrative response.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    (A) Environmental Review. After the completion of this competition 
and after HUD's award of EDI grant funds, pursuant to 24 CFR 570.604, 
each project or activity assisted under this program is subject to the 
provisions of 24 CFR part 58, including limitations on the EDI grant 
and Section 108 public entity's commitment of HUD and non-HUD funds 
prior to the completion of environmental review, notification and 
release of funds. No such assistance will be released by HUD until a 
request for release of funds is submitted and the requirements of 24 
CFR part 58 have been met. All public entities, including 
nonentitlement public entities, shall submit the request for release of 
funds and related certification, required pursuant to 24 CFR part 58, 
to the appropriate HUD field office for each project to be assisted.
    (B) Environmental Justice. Executive Order 12898 (Federal Actions 
to Address Environmental Justice in Minority Populations and Low-Income 
Populations) directs Federal agencies to develop strategies to address 
environmental justice. Environmental justice seeks to rectify the 
disproportionately high burden of environmental pollution that is often 
borne by low-income, minority, and other disadvantaged communities, and 
to ensure community involvement in policies and programs addressing 
this issue.

IX. Authority

    Section 108(q), Title I, Housing and Community Development Act of 
1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.
BILLING CODE 4210-32-P

[[Page 9800]]

Appendix A

    The first 6 non-standard forms, which follow, are required for your 
EDI (General) or BEDI applications. The remaining forms are applicable 
to regional economic development project applications. 
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Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9815]]



FUNDING AVAILABILITY FOR THE BROWNFIELDS ECONOMIC DEVELOPMENT 
INITIATIVE (BEDI)

Program Overview

    Purpose of the Program. BEDI funds are used to enhance the security 
of a loan guaranteed by HUD under Section 108 of the Act as defined in 
Section III(A)(1) below for the same project, or to improve the 
viability of the project financed with the Section 108-guaranteed loan. 
A BEDI grant is required to be used in conjunction with a new Section 
108 guaranteed loan commitment. Both Section 108 loan guarantee 
proceeds and BEDI grant funds are initially made available by HUD to 
public entities approved for assistance under the application process 
described herein. Such public entities may re-loan the Section 108 loan 
proceeds to a business or other entity to carry out an economic 
development project eligible under this program section of this 
SuperNOFA, or the public entity may carry out the eligible project 
itself. In either case, BEDI grant funds must be used in support of the 
same eligible project in accordance with this program section.
    Available Funds. Approximately $25 million.
    Eligible Applicants. Any public entity eligible to apply for and 
receive Section 108 loan guarantee assistance in accordance with 24 CFR 
570.702 may apply for BEDI grant assistance under section 108(q) and 
this SuperNOFA. (See Section III(B) below for additional information 
regarding eligible applicants.)
    Application Deadline. June 13, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit your completed applications (one 
original and two copies) on or before 12:00 midnight, Eastern time, on 
June 13, 2000, to the addresses shown below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Addresses for Submitting Applications. To HUD Headquarters. Submit 
your completed application (an original and one copy) to: Processing 
and Control Unit, Room 7251, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Washington, D.C. 20410, Attention: BEDI Grant, by mail or 
hand delivery.
    To the Appropriate CPD Field Office. At the same time your submit 
your application to HUD Headquarters, you must submit an additional 
copy of the application to the Community Planning and Development 
Division of the appropriate HUD Field Office for your jurisdiction.
    When submitting your application, please refer to BEDI, and include 
your name, mailing address (including zip code) and telephone number 
(include area code).
    For Application Kits. For an application kit and any supplemental 
information, please call HUD's SuperNOFA Information line toll free at 
1-800-HUD-8929. When requesting an application kit, please refer to 
BEDI. Please be sure to provide your name, address (including zip 
code), and telephone number (including area code). Persons with hearing 
or speech impairments may call the Center's TTY number at 1-800-HUD-
2209 to obtain an application kit. The application kit will also be 
available on the Internet through the HUD web site at http://www.hud.gov.
    For Further Information and Technical Assistance. You may contact 
either Tony Johnston or Paul Webster, Financial Management Division, 
Office of Block Grant Assistance, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Room 7136, Washington, DC 20410, 
telephone (202) 708-1871 (this is not a toll-free number). Persons with 
speech or hearing impairments may access this number via TTY by calling 
the toll-free Federal Information Relay Service at 1-800-877-8339.
    See the General Section of this SuperNOFA for guidance on technical 
assistance. With respect to the Section 108 Loan Guarantee program, 
which is not a competitive program and thus not subject to those 
provisions of the HUD Reform Act pertaining to competitions, HUD staff 
will be available to provide advice and assistance to develop Section 
108 loan applications.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    HUD has available a maximum of $25 million for the BEDI program, as 
appropriated in the FY 2000 HUD Appropriations Act for the purpose of 
assisting public entities in the redevelopment of brownfields.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. BEDI is designed to help cities redevelop 
abandoned, idled, or underutilized industrial and commercial facilities 
where expansion or redevelopment is complicated by real or perceived 
environmental contamination--brownfields. BEDI accomplished this by 
providing funding to local governments to be used in conjunction with 
Section 108 loan guarantees to finance redevelopment of brownfields 
sites.
    (1) Definitions. Unless otherwise defined herein, terms defined in 
24 CFR part 570 and used in this program section of this SuperNOFA 
shall have the respective meanings given thereto in that part.
    Act means Title I, Housing and Community Development Act of 1974, 
as amended, (42 U.S.C. 5301 et seq.).
    Brownfields means abandoned, idled, or under-used real property 
(including industrial and commercial facilities) where expansion or 
redevelopment is complicated by real or perceived contamination.
    Brownfields Economic Development Initiative (BEDI) means the 
competitive award of up to $2 million, as appropriated in the FY 2000 
HUD Appropriations Act, for economic development grant assistance under 
section 108(q) of the Act for the purpose of assisting public entities 
in the redevelopment of brownfields.
    Brownfields economic development (BEDI) project means an activity 
or activities (including mixed use projects with housing components) 
that are eligible under the Act and under 24 CFR 570.703, and that 
increase economic opportunity for persons of low- and moderate-income 
or that stimulate or retain businesses or jobs or that otherwise lead 
to economic revitalization in connection with brownfields.
    CDBG funds means those funds collectively defined at 24 CFR 570.3, 
including grant funds received pursuant to section 108(q) and this 
program section of this SuperNOFA.
    Economic Development Initiative (EDI) means the provision of 
economic development grant assistance under section 108(q) of the Act, 
as authorized by section 232 of the Multifamily

[[Page 9816]]

Housing Property Disposition Reform Act of 1994 (Pub.L. 103-233, 
approved April 11, 1994).
    Empowerment Zone or Enterprise Community means an urban area so 
designated by the Secretary of HUD pursuant to 24 CFR part 597 or part 
598, or a rural area so designated by the Secretary of Agriculture 
pursuant to 7 CFR part 25, subpart B.
    EPA means the U.S. Environmental Protection Agency.
    Showcase Community means an applicant chosen by the Federal 
Government's Brownfields National Partnership for inclusion in the 
Federal Government's Brownfields Showcase Communities program.
    Strategic Plan means a strategy developed and agreed to by the 
nominating local government(s) and State(s) and submitted in partial 
fulfillment of the application requirements for an Empowerment Zone or 
Enterprise Community designated pursuant to 24 CFR part 597 or part 
598.
    (2) Background. (a) HUD has multiple programs which are intended to 
stimulate and promote economic and community development and can be 
effectively employed to address and remedy brownfields conditions. 
Primary among HUD's resources are the Community Development Block Grant 
(CDBG) program and the Section 108 loan guarantee program.
    The CDBG program provides grant funds (approximately $4.240 billion 
in FY 2000) by formula to local governments (either directly or through 
States) to carry out community and economic development activities. The 
Section 108 loan guarantee program provides local governments with a 
source of financing for economic development, public facilities, and 
other eligible large scale physical development projects. HUD is 
authorized pursuant to Section 108 to guarantee notes issued by CDBG 
entitlement communities and non-entitlement units of general local 
government eligible to receive funds under the State CDBG program. 
Regulations governing the Section 108 program are found at 24 CFR part 
570, subpart M. It must be noted that the Section 108 program is 
subject to the regulations of 24 CFR part 570 applicable to the CDBG 
program as described in 24 CFR part 570, subpart M. EDI and BEDI grants 
must support Section 108 loan guarantees as generally described under 
the above section entitled ``Purpose of the Program.''
    For FY 2000, the Section 108 program is authorized at $1.261 
billion in loan guarantee authority. The full faith and credit of the 
United States will be pledged to the payment of all guarantees made 
under Section 108. Under this program, communities (and States, if 
applicable) pledge their continuing CDBG allocations as security for 
loans guaranteed by HUD. The Section 108 program, however, does not 
require CDBG funds to be escrowed for loan repayment (unless such an 
arrangement is specifically negotiated as loan security) and included 
in the applicable ``Contract for Loan Guarantee Assistance.'' This 
means that a community can ordinarily continue to spend its existing 
allocation for other CDBG purposes, unless needed for loan repayment.
    (3) EDI Program. The EDI program was enacted in 1994 and is 
intended to complement and enhance the Section 108 Loan Guarantee 
program. A purpose of EDI (and BEDI) grant funds is to reduce grantees' 
potential loss of future CDBG allocations:
    (a) By strengthening the economic feasibility of the projects 
financed with Section 108 funds (and thereby increasing the probability 
that the project will generate enough cash to repay the guaranteed 
loan);
    (b) By directly enhancing the security of the guaranteed loan; or
    (c) Through a combination of these or other risk mitigation 
techniques.
    (4) BEDI Program. For FY 2000, Congress has made a specific 
appropriation of $25 million for the EDI program to assist in financing 
``brownfields'' redevelopment. HUD intends the $25 million in 
Brownfields EDI (BEDI) funds available pursuant to this program section 
of this SuperNOFA to be used with a particular emphasis upon the 
redevelopment of brownfields sites consistent with the statutory 
purpose of the FY 2000 HUD Appropriations Act. Accordingly, BEDI funds 
shall be used as the stimulus for local governments and private sector 
parties to commence redevelopment or continue phased redevelopment 
efforts on brownfields sites where contamination is known or suspected 
and a redevelopment plans exist. HUD desires to see BEDI and Section 
108 funds used to finance projects and activities that will provide 
near-term results and demonstrable economic benefits, such as job 
creation and increases in the local tax base. HUD does not encourage 
applications whose scope is limited only to site acquisition and/or 
remediation (i.e., land banking), where there is no immediately planned 
redevelopment.
    (5) Redevelopment Focus. The redevelopment focus for BEDI-assisted 
projects is also prompted by the need to provide additional security 
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3). 
While public entities are required by the Act to pledge their current 
and future CDBG funds as a source of security for the Section 108 loan 
guarantee, the public entity will usually be required to furnish 
additional collateral which, ideally, will be the assets financed with 
the Section 108 loan funds. Clearly, a redevelopment focus for the BEDI 
funds will help achieve this goal by enhancing the value of the assets 
securing the Section 108 loan.
    (6) Integration of Other Government Brownfields Programs. HUD 
expects and encourages local governments which are designated through 
(a) the Federal Government's Brownfields Showcase Community program, 
(b) other Federal brownfields programs (e.g., EPA's Assessment Pilot or 
Revolving Loan Fund programs), (c) a State-supported brownfields 
program, or (d) a State or local related economic development program, 
to integrate efforts arising from those programs in developing projects 
for assistance under HUD's BEDI and Section 108 programs. Applicants 
should elaborate upon these ties in their response to the rating 
factors, where appropriate (e.g. ``Capacity of the Applicant,'' 
``Soundness of Approach,'' ``Leveraging Resources,'' or 
``Comprehensiveness and Coordination,''--Rating Factors 1, 3, 4, and 5 
respectively.)
    (7) Typical Project Structures. Provided that proposals are 
consistent with other CDBG requirements, including national objectives, 
HUD envisions that the following project structures could be typical:
    (a) Land Writedowns. Local governments may use a combination of 
Section 108 and BEDI funds to acquire a brownfields site for purposes 
of reconveying the site to a private developer at a discount from its 
purchase price. This approach would provide the developer with an asset 
of enhanced value which could be used as collateral for other sources 
of funding. Such other sources of financing could be used to finance 
environmental remediation or other development costs. In theory, the 
level of BEDI assistance would approximate the difference between the 
original cost of the site and its remediation in comparison to the 
market value of the remediated property.
    (b) Site Remediation Costs. Local governments may use BEDI funds in 
any of several ways to address site remediation costs. If the local 
government used Section 108 funds to acquire real property, BEDI funds 
could be used to address assessment and site

[[Page 9817]]

remediation costs as part of demolition, clearance, or site preparation 
activities. If the local government used Section 108 funds to make a 
loan to a developer, BEDI funds could be granted to the developer for 
the purpose of addressing remediation costs as part of an economic 
development activity.
    (c) Funding Reserves. The cash flow generated by an economic 
development project may be expected to be relatively ``thin'' in the 
early stages of the project, i.e. potentially insufficient cash flows 
to meet operating expenses and debt service obligations. The BEDI grant 
can make it possible for reserves to be established in a way that 
enhances the economic feasibility of the project.
    (d) Over-Collateralizing the Section 108 Loan.
    (i) The use of BEDI grant funds may be structured in appropriate 
cases so as to improve the likelihood that project-generated cash flow 
will be sufficient to cover debt service on the Section 108 loan and 
directly to enhance the guaranteed loan. One technique for 
accomplishing this approach is over-collateralization of the Section 
108 loan.
    (ii) An example is the creation of a loan pool funded with both 
Section 108 and BEDI grant funds. The community would make loans to 
various businesses from the combined pool at an interest rate equal to 
or greater than the rate on the Section 108 loan. The total loan 
portfolio would be pledged to the repayment of the Section 108 loan.
    (e) Direct Enhancement of the Security of the Section 108 Loan. The 
BEDI grant can be used to cover the cost of providing enhanced 
security. An example of how the BEDI grant can be used for this purpose 
is by using the grant funds to cover the cost of a standby letter of 
credit, issued in favor of HUD. This letter of credit will be available 
to fund amounts due on the Section 108 loan if other sources fail to 
materialize and thus will serve to protect the public entity's future 
CDBG funds.
    (f) Provision of Financing to For-Profit Businesses at a Below 
Market Interest Rate.
    (i) While the rates on loans guaranteed under Section 108 are only 
slightly above the rates on comparable U.S. Treasury obligations, they 
may nonetheless be higher than can be afforded by businesses in 
severely economically distressed neighborhoods. The BEDI grant can be 
used to make Section 108 financing affordable.
    (ii) BEDI grant funds could serve to ``buy down'' the interest rate 
up front, or make full or partial interest payments, allowing the 
businesses to be financially viable in the early start-up period not 
otherwise possible with Section 108 alone. This strategy would be 
particularly useful where a community was undertaking a large 
commercial/retail project in a distressed neighborhood to act as a 
catalyst for other development in the area.
    (g) Combination of Techniques. An applicant could employ a 
combination of these or other techniques in order to implement a 
strategy that carries out a BEDI project.
    (B) Eligible Applicants. Any public entity eligible to apply for 
Section 108 loan guarantee assistance in accordance with 24 CFR 570.702 
may apply for BEDI grant assistance under section 108(q). Eligible 
applicants are CDBG entitlement units of general local government and 
non-entitlement units of general local government eligible to receive 
loan guarantees under 24 CFR part 570, subpart M. Urban Counties, as 
defined at 24 CFR 570.3 and 570.307, are eligible applicants for BEDI 
funds; units of general local government which participate in an Urban 
County program are not independently eligible applicants. Non-
entitlement applicants, other than those subject to 24 CFR part 570, 
subpart F will be required to provide proof that the State will support 
the related Section 108 loan with a pledge of its CDBG funds pursuant 
to the requirements of 24 CFR 570.705(b)(2). Note that effective 
January 25, 1995, non-entitlement public entities in the states of New 
York and Hawaii were authorized to apply to HUD for Section 108 loans 
(see 59 FR 47510, December 27, 1994). Thus non-entitlement public 
entities in all 50 states and Puerto Rico are eligible to participate 
in the Section 108 and BEDI programs.
    (C) Eligible Activities and National Objectives. (1) BEDI grant 
funds and section 108 loan guarantee funds may be used for activities 
listed at 24 CFR 570.703, provided such activities are carried out as 
part of a BEDI project as described in this BEDI section of this 
SuperNOFA, including Section III(A) of this program section of the 
SuperNOFA. You are required to submit applications that seek funding 
for BEDI projects that will contribute to the redevelopment and 
revitalization of brownfields. Applications that fail to meet the 
requirements for a BEDI project as set forth in this SuperNOFA will not 
be rated by HUD.
    (2) Each activity assisted with Section 108 loan guarantee or BEDI 
funds must meet a national objective of the CDBG program as described 
in 24 CFR 570.208. Applicants must clearly identify in their narrative 
statement (as described in Section V(B) of this program section below) 
the CDBG national objective to be achieved by the proposed project and 
provide the appropriate CDBG national objective regulatory citation 
found at 24 CFR 570.208. Applicants must also address, when applicable, 
how the proposed activities will comply with the public benefit 
standards of the CDBG program as reflected in the regulation at 24 CFR 
570.209 for the Entitlement and Small Cities programs or 24 CFR 570.482 
for the State CDBG program.
    (3) In the aggregate, a grantee's use of CDBG funds, including any 
Section 108 loan guarantee proceeds and section 108(q) (EDI) funds 
provided pursuant to this program section of this SuperNOFA, must 
comply with the CDBG primary objectives requirements as described in 
section 101(c) of the Act and 24 CFR 570.200(c)(3) or 570.484 in the 
case of State grantees.

IV. Program Requirements

    (A) CDBG Program Regulations. In addition to 24 CFR 570.701 
(Definitions), Sec. 570.702 (Eligible applicants), and Sec. 570.703 
(Eligible activities), as explained elsewhere in this program section 
of the SuperNOFA, the CDBG regulatory requirements cited in 24 CFR 
570.707, including subparts J (Grant Administration), K (Other Program 
Requirements), and O (Performance Reviews) govern the use of BEDI 
funds, as applicable.
    (B) Compliance with Applicable Laws. Applicants are advised that an 
award of BEDI funding does not in any way relieve the applicant or 
third party users of BEDI funds from compliance with all applicable 
Federal, State and local laws, particularly those addressing the 
environment. Applicants are further advised that HUD may require 
evidence that any project involving remediation has been or will be 
carried out in accordance with State law, including voluntary clean up 
programs.
    (C) Related Section 108 Loan Guarantee Application. (1) Each BEDI 
application must be accompanied by a request for new Section 108 loan 
guarantee assistance. Notwithstanding the form of your request for new 
section 108 loan guarantee assistance under paragraphs (a),(b),(c),or 
(d) below of this Section IV(C), you must include citations to the 
specific regulatory subsections supporting activity eligibility and 
national objectives compliance for the project described in your 
application. (See Section III (C) of this program section of this 
SuperNOFA.) Both the BEDI and Section 108 funds must be used in 
conjunction with the same BEDI project.

[[Page 9818]]

The request may take any of several forms as defined below.
    (a) A full application for new Section 108 loan guarantee(s), 
including the documents listed at 24 CFR 570.704(b).
    (b) A brief description (not to exceed three pages) of the project 
to be applied for in a new Section 108 loan guarantee application(s). 
Such 108 application(s) will be submitted within 60 days of a notice of 
BEDI selection, with HUD reserving the right to extend such period for 
good cause on a case-by-case basis. BEDI awards will be conditioned on 
approval of actual Section 108 loan commitments. The application 
description must be sufficient to support the basic eligibility of the 
proposed project and activities for Section 108 assistance. (See 
Section III(C) of this program section of the SuperNOFA.)
    (c) A copy of a pending, unapproved Section 108 loan guarantee 
application, and any proposed amendments to the Section 108 application 
which are related to the BEDI application. The applicant's submission 
of such a BEDI/Section 108 application shall be deemed by HUD to 
constitute a request to suspend separate processing of the Section 108 
application. The Section 108 application will not be approved until on 
or after the date of the related BEDI award.
    (d) A request for a Section 108 loan guarantee amendment (analogous 
to Section IV(C)(1)(a) or (b) of this BEDI section of the SuperNOFA) 
that proposes to increase the amount of a previously approved 
application. However, any amount of Section 108 loan guarantee 
authority approved before HUD's announcement of a BEDI grant for the 
same project pursuant to this SuperNOFA is not eligible to be used in 
conjunction with a BEDI grant under this SuperNOFA.
    (2) Further, a Section 108 loan guarantee amount that is required 
to be used in conjunction with a prior EDI or BEDI grant award, whether 
or not the Section 108 loan guarantee has been approved as of the date 
of this SuperNOFA, is not eligible for a BEDI award under this 
SuperNOFA. For example, if a public entity has a previously approved 
Section 108 loan guarantee commitment of $12 million, even if none of 
the funds have been utilized, or if the public entity had previously 
been awarded an EDI grant of $1 million and had certified that it will 
submit a Section 108 loan application for $10 million in support of 
that EDI grant, the public entity's application under this program 
section of this SuperNOFA must propose to increase the amount of its 
total Section 108 loan guarantee commitments beyond those amounts (the 
$12 million or $10 million in this example) to which it has previously 
agreed.
    (D) Limitations on Use of BEDI and Section 108 Funds. Certain 
restrictions shall apply to the use of BEDI and Section 108 funds:
    (1) BEDI grants shall not be used as a resource to immediately 
repay the principal of a loan guaranteed under Section 108. Repayment 
of principal is only permissible with BEDI grant funds as a matter of 
security if other sources projected for repayment of principal prove to 
be unavailable.
    (2) You should not use Section 108 funds to finance activities 
which also include financing generated through the issuance of 
federally tax exempt obligations. Pursuant to Office of Management and 
Budget (OMB) Circular A-129 (Policies for Federal Credit Programs and 
Non-Tax Receivables), Section 108 guaranteed loan funds may not 
directly or indirectly support federally tax-exempt obligations.
    (3) HUD will not consider for funding any BEDI proposal in which 
the related Section 108 loan guarantee would be used solely as 
security. BEDI funds are to be used to support and enhance activities 
financed with Section 108 loan guarantee proceeds from HUD's interim 
lending or public offering mechanisms and thereby leverage greater use 
of the Section 108 program. Awarding BEDI funds to a project which 
would use the Section 108 guarantee only as a security guarantee for 
other financing can be tantamount to making a simple grant to the 
project and thereby fails to fulfill the goals of the BEDI program.
    (4) BEDI grant funds shall not be used in any manner by grantees to 
provide public or private sector entities with funding to remediate 
conditions caused by their actions, where the public entity (or other 
known prospective beneficiary of the proposed BEDI grant) has been 
determined responsible for causation and remediation by order of a 
court or a Federal, State, or local regulatory agency, or is 
responsible for the remediation as part of a settlement approved by 
such a court or agency.
    (5) Applicants may not propose projects on sites which are listed 
or proposed to be listed on EPA's National Priority List (NPL). 
Further, applicants are cautioned against proposing projects on sites 
where the nature and degree of environmental contamination is not well 
quantified or which are the subject of on-going litigation or 
environmental enforcement action.
    (E) Limitations on Grant Amounts. (1) HUD expects to approve BEDI 
grant amounts for approvable applications at a range of ratios of BEDI 
grant funds awarded to new Section 108 loan guarantee commitments but 
the minimum ratio will be $1 of Section 108 loan guarantee commitments 
for every $1 of BEDI grant funds. However, if you propose a leverage 
ratio of 1:1, your application will not receive any points under the 
Rating Subfactor 4(1): ``Leverage of Section 108 Funds.''
    For example, if you request a BEDI grant of $1 million, you will be 
required to leverage a minimum of at least $1 million in new Section 
108 loan guarantee commitments. Of course, even though there is a 
minimum ratio of 1:1, applications with higher ratios will receive more 
points under Rating Factor 4, ``Leveraging Resources/Financial Need'' 
and, all other things being equal, will be more competitive. You are 
encouraged to propose projects with a greater leverage ratio of new 
Section 108 to BEDI grant funds (assuming such projects are financially 
viable). For example $1 million of BEDI could leverage $12 million of 
new Section 108 loan commitments. HUD intends that the BEDI funds will 
be used for projects that leverage the greatest possible amount of 
Section 108 loan guarantee commitments. Because a fundable application 
is competitive in part because of the applicant's proposed ratio of 
BEDI funds to funds guaranteed by a Section 108 loan guarantee, HUD 
will condition a BEDI grant award on the grantee's achievement of that 
specific ratio. Your failure to meet that condition by obtaining timely 
HUD approval of a commitment for, and issuance of, the required Section 
108 guaranteed obligations ratio may result in the cancellation and 
recapture of all or a proportionate share of the BEDI grant award.
    (2) HUD will cap BEDI awards at a maximum of $2 million. Any 
application in excess of $1 million may be reduced below the amount 
requested by the applicant if HUD determines that such a reduction is 
appropriate.
    (3) In the event you are awarded a BEDI grant that has been reduced 
below the original request (e.g., your application contained some 
activities that were ineligible or there were insufficient funds to 
fund the last competitive application at the full amount requested), 
you will be required to modify your project plans and application to 
conform to the terms of HUD approval before execution of a grant 
agreement. HUD also will proportionately reduce or deobligate the BEDI 
award if you do not submit an

[[Page 9819]]

approvable Section 108 loan guarantee application on a timely basis 
(including any extension authorized by HUD) in the amount required by 
the BEDI/108 leveraging ratio, which will be approved by HUD as a 
special condition of the BEDI grant award (see Section IV(E)(1) above 
of this program section of the SuperNOFA). Any modifications or 
amendments to your application approved pursuant to this SuperNOFA, 
whether requested by you or by HUD, must be within the scope of the 
approved original BEDI application in all respects material to rating 
the application, unless HUD determines that your revised application 
remains within the competitive range and is otherwise approvable under 
this SuperNOFA competition.
    (4) In the case of requested amendments to a previously approved 
Section 108 loan guarantee commitment (as further discussed in Section 
IV(C)(1)(d) of this program section above), the BEDI assistance 
approved will be based on the increased amount of Section 108 loan 
guarantee assistance. Pursuant to another portion of this SuperNOFA, 
HUD is simultaneously announcing the availability of up to $24.1 
million of EDI funds. While HUD will permit you to pursue BEDI and EDI 
funds for the same project, HUD requires that your BEDI and EDI 
applications (and components contained in the applications) be 
independent of one another. Thus, each application should have an 
identifiable amount of Section 108 funding associated with its 
respective request for EDI and BEDI funds, for purposes of determining 
the leverage of Section 108 funding to the corresponding amount of EDI 
or BEDI funds requested. Further, the proposed amount of Section 108 
borrowing associated with either the BEDI or EDI grant must not be used 
to determine leverage of other financial sources under Rating Subfactor 
4(3). Further, if you seek both BEDI and EDI funds for the same 
project, you must include, in your response to Rating Factor 3 and the 
``Financial feasibility'' portion of Rating Factor 4, a discussion of 
how your project can be financed and implemented if you fail to obtain 
either BEDI or EDI funds under this SuperNOFA.
    (F) Timing of Grant Awards. (1) To the extent you submit a full 
Section 108 application with the BEDI grant application, HUD will 
evaluate your Section 108 application concurrently with your request 
for BEDI grant funds. Note that BEDI grant assistance cannot be used to 
leverage a Section 108 loan guarantee approved prior to the date of 
HUD's announcement of a BEDI grant pursuant to this SuperNOFA. However, 
the BEDI grant may be awarded prior to HUD approval of the Section 108 
commitment if HUD determines that such award will further the purposes 
of the Act.
    (2) HUD's notice to you of the amount and conditions of BEDI funds 
awarded, based upon review of the BEDI application, constitutes an 
obligation of grant funds, subject to compliance with the conditions of 
award and execution of a grant agreement. BEDI funds will not be 
disbursed to the public entity before the issuance of the related 
Section 108 guaranteed obligations.
    (3) If additional BEDI grant funds become available to HUD as the 
result of recaptures prior to the date of this SuperNOFA, HUD reserves 
the right to award grants under this SuperNOFA whose aggregate total 
may exceed the $25 million announced in this SuperNOFA, up to the 
maximum amount authorized by law.

V. The Application Selection Process

    (A) Rating and Ranking. (1) Each rating factor and the maximum 
number of points is provided below. The maximum number of points to be 
awarded is 102. This includes two EZ/EC bonus points as described in 
the General Section of the SuperNOFA, or two bonus points for having 
received a Federal designation as a Brownfields Showcase Community. 
(Please note that in any event, the maximum number of bonus points is 
limited to a total of two (2).)
    (2) Once scores are assigned, HUD will rank all applications in 
order of points assigned, with the applications receiving more points 
ranking above those receiving fewer points. Applications will be funded 
in rank order.
    (3) Prior to award, if HUD determines that an application rated, 
ranked and fundable could be funded at a lesser BEDI grant amount than 
requested consistent with feasibility of the funded project or 
activities and the purposes of the Act, HUD reserves the right to 
reduce the amount of the BEDI award and/or increase the required 
Section 108 loan guarantee commitment, if necessary, in accordance with 
such determination. An application in excess of $1 million may be 
reduced below the amount requested by the applicant if HUD determines 
that such a reduction is appropriate.
    (4) HUD may decide not to award the full amount of BEDI grant funds 
available under this program section of this SuperNOFA and may make any 
remaining amounts available under a future SuperNOFA.
    (5) HUD desires to fund projects which will quickly produce 
demonstrable results. BEDI grant awards will contain conditions 
requiring you to adhere to your stated timeframes for implementing your 
proposed projects and drawing Section 108 and EDI funds. Failure to 
adhere to these schedules may be cause for HUD to recapture the BEDI 
funds.
    (B) Narrative Statement. (1) Provide a narrative statement 
describing the activities that you will carry out with the BEDI grant 
funds, explaining the nature and extent of the Brownfield's problems(s) 
affecting the project. Your narrative statement must not exceed three 
(3) 8.5" by 11" pages for the description of the activities to be 
carried out with the BEDI grant funds.
    (2) Describe how your proposed uses of BEDI funds will meet the 
national objectives for the CDBG program under 24 CFR 570.208 and 
qualify as eligible activities under 24 CFR 570.703. You must include 
citations to the specific regulatory subsections supporting activity 
eligibility and national objectives compliance. (See Section III(C) of 
this program section of this SuperNOFA.)
    (3) Respond to the rating factors below. Each of the listed rating 
factors (or, where applicable, each subfactor) below has a separate 
page limitation specified.
    (4) Print your narrative statements in 12 point type/font, and use 
sequentially numbered pages.
    (C) Factors for Award Used to Evaluate and Rate Applications. HUD 
will consider your application for selection based on the following 
factors that demonstrate the quality of your proposed project or 
activities, and your creativity, capacity and commitment to obtain 
maximum benefit from the BEDI funds, in accordance with the purposes of 
the Act.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (15 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. The rating of the ``applicant'' 
or the ``applicant's organization and staff'' for technical merit or 
threshold compliance, unless otherwise specified, will include any 
subcontractors, consultants, subrecipients, and members of consortia 
that are firmly committed (i.e. have a written agreement or a signed 
letter of understanding with you agreeing in

[[Page 9820]]

principle to their participation and role in the project). In rating 
this factor, HUD will consider the following:
    (1) With regard to the BEDI/Section 108 project you propose, you 
should demonstrate that you have the capacity to implement the specific 
steps required to successfully carry out the proposed BEDI/Section 108 
project. This includes factors such as your:
    (a) Performance in the administration of your CDBG, HOME or other 
programs;
    (b) Previous experience, if any, in administering a Section 108 
loan guarantee;
    (c) Performance and capacity in carrying out economic development 
projects;
    (d) Performance and capacity to carry out Brownfields redevelopment 
projects;
    (e) Ability to conduct prudent underwriting;
    (f) Capacity to manage and service loans made with the guaranteed 
loan funds or previous EDI or BEDI grant funds;
    (g) Capacity to carry out your projects and programs in a timely 
manner; and,
    (h) If applicable, your capacity to manage projects under this 
program section of this SuperNOFA along with any federal funds awarded 
as a result of a federal urban Empowerment Zone/Enterprise Community 
designation (including Enhanced Enterprise Community (EEC) 
designations).
    (2)(a) If you have previously received an EDI or BEDI grant 
award(s), you must describe the status of the implementation of those 
project(s) assisted with EDI or BEDI funds, any delays that have been 
encountered and the actions you are taking to overcome any such delays 
in order to carry out the project in a timely manner. For such 
previously funded EDI or BEDI grant projects, HUD will consider the 
extent to which you have used the awarded EDI or BEDI grant funds and 
the associated Section 108-guaranteed loan funds.
    (b) Further, if you have EDI or BEDI funds and related Section 108 
loan guarantee authority available as a result of earlier HUD awards 
and commitments for activities such as (but not limited to) economic 
development loan funds, community development banks, and community and 
individual investment corporations, you should use those existing 
financial resources before applying for additional BEDI or EDI funds 
and Section 108 commitments. If HUD determines that you could fund your 
project from such existing resources, HUD will reduce your score under 
this rating factor to 0.
    (3) The capacity of subrecipients, nonprofit organizations and 
other entities that have a role in implementing your proposed program 
will be included in this review. HUD also may rely on information from 
performance reports, financial status information, monitoring reports, 
audit reports and other information available to HUD in making its 
determination under this factor.

Rating Factor 2: Distress/Extent of the Problem (15 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the extent to which there is need for funding 
your proposed activities based on levels of distress, and an indication 
of the urgency of meeting the need/distress in your target area.
    (1) In applying this factor, HUD will consider current levels of 
distress in the immediate community to be served by your project and 
the jurisdiction applying for assistance. If you are able to indicate a 
level of distress in the immediate project area that is greater than 
the level of distress in your jurisdiction as a whole, HUD will give 
your application a higher score under this factor than other 
applications that do not. HUD requires you to use sound and reliable 
data that is verifiable to support the level of distress you claim in 
your application. You must provide a source for all information you 
cite and indicate the publication date or origination date of the data.
    (2) In previous EDI competitions, the poverty rate was often 
considered the best indicator of distress. You must provide the poverty 
rate for your jurisdiction as a whole and for the areas to be served 
and/or where the BEDI/Section 108-funded project is located; however, 
in addition, you may demonstrate the level of distress with other 
factors such as income levels and unemployment rates.
    (3) To the extent that your Consolidated Plan and its Analysis of 
Impediments to Fair Housing choice (AI) identifies the level of 
distress in the community and the neighborhood in which your project is 
being carried out, you should include references to such documents in 
preparing your response to this factor. Also, you should discuss the 
extent to which the analysis of impediments identifies unhealthy 
environmental conditions, such as contaminated soil and/or water and 
how such conditions negatively impact your target neighborhood.

Rating Factor 3: Soundness of Approach (25 Points)

    [Your response to this factor is limited to three (3) pages.]
    This factor addresses the quality and cost-effectiveness of your 
proposed plan. There must be a clear relationship between the proposed 
activities, community needs and purposes of the program funding for you 
to receive points for this factor. In rating this factor, HUD will 
consider the following:
    (1) The quality of your plan/proposal for using BEDI funds and 
Section 108 loan funds, including the extent to which your proposed 
plan for effective use of BEDI grant/Section 108-guaranteed loan funds 
will address the needs you described in Rating Factor 2 above regarding 
the distress and extent of the problem in your immediate community and/
or jurisdiction. As part of the response to this factor, you should 
identify the eligible activities you will carry out and fully describe 
how your project will achieve a CDBG national objective. You should 
make substantial efforts to demonstrate how your proposed project would 
mitigate or otherwise address the distress you identified in Rating 
Factor 2 above.
    (2) The extent to which your plan is logically, feasibly, and 
substantially likely to achieve your stated purpose. HUD's desire is to 
fund projects and activities that will quickly produce demonstrable 
results and advance the public interest including the number of jobs to 
be created by the project. You should demonstrate that you have a clear 
understanding of the steps required to implement your project, the 
actions that you and others responsible for implementing the project 
must complete. You must include a reasonable time schedule for carrying 
out your project. The application kit contains a timeline form that you 
must use to indicate your project timing.
    (3) The extent to which your response to this factor takes into 
account certain site selection, planning, and environmental issues. 
Further, you are cautioned against proposing projects on sites where 
the nature and degree of environmental contamination is not well 
quantified or that are the subject of on-going litigation or 
environmental enforcement. Sites with unknown or exceptionally 
expensive contamination problems may be beyond the scope of the BEDI 
program's financial resources, and sites subject to pending and current 
litigation may not be available for remediation and development in a 
timeframe consistent with HUD's desire for rapid progress in the use of 
BEDI and Section 108 funds.

[[Page 9821]]

    (4) The extent to which your projects will integrate environmental 
justice concerns and provide demonstrable benefits for affected 
communities and their residents. The BEDI program is intended to 
promote the clean up and redevelopment of brownfields sites.
    (5) The extent to which your proposed project addresses your 
Analysis of Impediments and the needs identified in Rating Factor 2; 
the extent to which such project activities will result in the physical 
and economic improvement for the residents in the neighborhood in which 
your project will be carried out; the extent to which you will offer 
residents an opportunity to relocate to environmentally healthy housing 
or neighborhoods; or the extent to which residents will benefit from 
the funded project to enable them to continue to live in a redeveloped 
or revitalized neighborhood and thus share in the anticipated economic 
benefits and environmental improvements your project is expected to 
generate.
    (6) The extent to which your project incorporates one or more 
elements that facilitate a successful transition of welfare recipients 
from welfare to work. Such an element could include, for example, 
linking your proposed project or loan fund to social and/or other 
services needed to enable welfare recipients to successfully secure and 
carry out full-time jobs in the private sector; provision of job 
training to welfare recipients who might be hired by businesses 
financed through the proposal; and/or incentives for businesses 
financed with BEDI/section 108 funds to hire and train welfare 
recipients.
    (7) Due to 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's consideration of the 
response to this factor, ``Soundness of Approach'' will include the 
extent to which Dallas'' plan for BEDI funds and Section 108 loans will 
speed eradication of the vestiges of racial segregation in the Dallas 
Housing Authority's programs consistent with the Court's order. Up to 
two (2) additional points will be awarded to any application submitted 
by the City of Dallas, Texas, to the extent this subfactor is 
addressed.

Rating Factor 4: Leveraging Resources/Financial Need (35 Points)

    [Page limits for the response to this factor are listed separately 
for each subfactor under this factor.]
    In evaluating this factor, HUD will consider the extent to which 
your response demonstrates the financial need and feasibility of your 
project and the leverage ratio of Section 108 loan proceeds to BEDI 
grant funds. This factor has three subfactors, each with its own 
maximum point total:
    (1) Leverage of Section 108 funds (20 points). [Your response to 
this subfactor is limited to one (1) page.] The minimum ratio of 
Section 108 funds to BEDI funds in any project may not be less than 
1:1. The extent to which your proposed project leverages an amount of 
Section 108 funds beyond the 1:1 ratio will be considered a positive 
factor. If you have a ratio of 1:1, your application will not receive 
any points under this subfactor. If you use your BEDI grant to leverage 
more new Section 108 commitments, your application will receive more 
points under this subfactor.
    (2) Financial feasibility (10 points). [Your response to this 
subfactor is limited to three (3) pages.] HUD will consider the extent 
to which you demonstrate that your project is financially feasible. In 
responding to this subfactor, you must clearly address the question of 
why the BEDI funds are critical to the success of your project. This 
may include factors such as:
    (a) Project costs and financial requirements. You should provide a 
funding sources and uses statement (not included in the 3 page 
narrative limit), as well as justifications for project costs.
    (b) The amount of any debt service or operating reserve accounts 
you will establish in connection with your economic development 
project.
    (c) The reasonableness of the costs of any credit enhancement you 
pay with BEDI grant funds.
    (d) The amount of program income (if any) you will receive each 
year during the repayment period for the guaranteed loan.
    (e) Interest rates on those loans to third parties (other than 
subrecipients) (either as an absolute rate or as a plus/minus spread to 
the Section 108 rate).
    (f) Underwriting criteria that you will use in determining project 
feasibility.
    (3) Leverage of other financial resources (5 points). [Your 
response to this subfactor is limited to one (1) page plus supporting 
documentation evidencing third party commitment (written and signed) of 
funds.] HUD will evaluate the extent to which you leverage other funds 
(public or private) with BEDI grant funds and section 108 guaranteed 
loan funds, and the extent to which such other funds are firmly pledged 
to the project. This could include the use of CDBG funds, other Federal 
or state grants or loans, your general funds, project equity or 
commercial financing provided by private sources or funds from non-
profits or other sources. Funds will be considered pledged to your 
project if there is evidence of the third party's written commitment to 
make the funds available for the BEDI/108 project, subject to approval 
of the BEDI and Section 108 assistance and completion of any 
environmental clearance required under 24 CFR part 58 for the project. 
Note that with respect to CDBG funds, your pledge of your CDBG funds 
will be considered sufficient commitment.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    [Your response to this factor is limited to two (2) pages.]
    This factor addresses the extent to which you have coordinated your 
activities with other known organizations; you participate or promote 
participation in your or a State's Consolidated Planning process; and 
you are working towards addressing a need in a comprehensive manner 
through linkages with other activities in the community.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations before submitting your application, in order to best 
complement, support and coordinate all known activities; and developed 
specific steps to share information on solutions and outcomes with 
others. Describe any written agreements or memoranda of understanding 
in place, or that will be in place after award.
    (2) Developed linkages, or specific steps to develop linkages with 
other activities, programs or projects (through meetings, information 
networks, planning processes or other mechanisms to coordinate your 
activities), so that solutions are holistic and comprehensive. Describe 
any linkages with other HUD-funded projects/activities outside the 
scope of those covered by the Consolidated Plan, as well as established 
linkages and outreach with residents of your project area.
    (3) Coordinated your efforts with other Federal, State or locally 
supported activities, including EPA's various Brownfields initiatives, 
and those proposed or on-going in the community.

VI. Application Submission Requirements

    (A) Public entities seeking BEDI assistance must make a specific 
request for that assistance, in accordance with the requirements of 
this program section of this SuperNOFA.

[[Page 9822]]

    (B) You must submit an original and one copy of the items listed 
below to HUD Headquarters (see the section ``Addresses For Submitting 
Applications in this program section of this SuperNOFA). In addition, 
you must submit one additional copy directly to the Community Planning 
and Development Division of the appropriate HUD Field Office for your 
jurisdiction.
    (C) Your BEDI application consists of the items listed in this 
Section VI(C). These items include the standard forms, certifications, 
and assurances listed in Section II(G) of the General Section of the 
SuperNOFA that are applicable to this funding (collectively, referred 
to as the ``standard forms''). Additional application items that are 
forms (i.e., excluding such items as narratives or letters, etc.), 
referred to as the ``non-standard forms'' can be found in Appendix A to 
the EDI program section of the SuperNOFA (which immediately precedes 
this BEDI program section).
    (1) Transmittal Letter signed by the authorized representative of 
your organization indicating that you are submitting your application 
for funding under the Economic Development Initiative Program and you 
are requesting funding consideration for an EDI project.
    (2) Checklist and Submission Table of Contents indicating the page 
numbers where the submission items can be found in your application 
(form HUD-40076-EDI/BEDI).
    (3) Section 108 Funding Eligibility Statement. A completed EDI/BEDI 
Section 108 Funding Eligibility Statement (form HUD-40076-EDI/BEDI).
    (4) Request for Loan Guarantee Assistance. A request for loan 
guarantee assistance under Section 108, as further described in Section 
IV(C) of this program section of the SuperNOFA. Full application 
guidelines for the Section 108 program are found at 24 CFR 570.704.
    (5) Narrative Response to Factors for Award:
    (a) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating your capacity and the 
relevant capacity of your organization and staff to perform the work 
for which you are requesting funding.
    (b) Rating Factor 2: Need Statement Identifying the level of 
Distress/Extent of the Problem. Provide a narrative statement including 
any documentation supporting your statement of need. You may also use 
optional form HUD-40076-EDI/BEDI as a format to respond to this factor 
for award.
    (c) Rating Factor 3: Soundness of Approach. Include your 
activities, budget and time frame for conducting activities in your 
response (see form HUD-40076-EDI/BEDI).
    (d) Rating Factor 4: Leveraging Resources/Financial Need. Your 
response should include a completed copy of form HUD-40076-EDI/BEDI, 
``Rating Factor 4: Leveraging Resources/Financial Need Sources and Uses 
Statement.''
    (e) Rating Factor 5: Comprehensiveness and Coordination. Provide a 
narrative response to this factor.
    (D) A single application must contain a request for funds for a 
single BEDI/108 project. You may submit more than one application for 
each additional unrelated BEDI/108 project. Each application will be 
rated and ranked individually. In no event will HUD rate and rank more 
than one BEDI project per application.
    (E) Your application must meet all of the applicable threshold 
requirements of Section II(B) of the General Section of this SuperNOFA.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    (A) Environmental Review. After the completion of this competition 
and after HUD's award of BEDI grant funds, pursuant to 24 CFR 570.604, 
each project or activity assisted under this program is subject to the 
provisions of 24 CFR part 58, including limitations on the EDI grant 
and Section 108 public entity's commitment of HUD and non-HUD funds 
prior to the completion of environmental review, notification and 
release of funds. HUD will not release such assistance until you submit 
a request for release of funds and you satisfy the requirements of 24 
CFR part 58. All public entities, including nonentitlement public 
entities, must submit the request for release of funds and related 
certification, pursuant to 24 CFR part 58, to the appropriate HUD field 
office for each project to be assisted.
    (B) Environmental Justice. (1) Executive Order 12898 (Federal 
Actions to Address Environmental Justice in Minority Populations and 
Low-Income Populations directs Federal agencies to develop strategies 
to address environmental justice. Environmental justice seeks to 
rectify the disproportionately high burden of environmental pollution 
that is often borne by low-income, minority, and other disadvantaged 
communities, and to ensure community involvement in policies and 
programs addressing this issue.
    (2) Brownfields are often located in distressed neighborhoods, 
contribute to neighborhood blight, and lower the quality of social, 
economic, and environmental health of communities. The BEDI program is 
intended to promote the clean up and redevelopment of brownfields sites 
and, to this end, HUD expects that projects presented for BEDI funding 
will integrate environmental justice concerns and provide demonstrable 
benefits for affected communities and their residents.

IX. Authority

    Section 108(q), Title I, Housing and Community Development Act of 
1974, as amended, (42 U.S.C. 5301-5320); 24 CFR part 570.

BILLING CODE 4210-32-P

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Notices  

[[Page 9823]]


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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9825]]



FUNDING AVAILABILITY FOR SELF-HELP HOMEOWNERSHIP OPPORTUNITY 
PROGRAM (SHOP)

Program Overview

    Purpose of the Program. To facilitate and encourage innovative 
homeownership opportunities through self-help housing where the 
homebuyer contributes a significant amount of sweat-equity toward the 
construction of the new dwelling.
    Available Funds. Approximately $20 million.
    Eligible Applicants. You must be a nonprofit national or regional 
organization or consortium.
    Application Deadline. April 25, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information:

I. Application Due Date, Standard Forms, Further Information, and 
Technical Assistance

    Application Due Date. Applications for SHOP grants must be 
physically received by HUD on or before 12:00 midnight, Eastern time on 
April 25, 2000.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Submit one original and two 
copies of the application to Department of Housing and Urban 
Development, Office of Community Planning and Development, Processing 
and Control Unit, 451 Seventh Street, SW, Room 7251, Washington, DC 
20410, ATTN: Self-Help Homeownership Opportunity Program.
    For Application Forms. Copies of the standard forms are located in 
the General Section of this SuperNOFA or you may request copies by 
calling HUD's SuperNOFA Information Center at: 1-800-HUD-8929. If you 
have a hearing or speech impairment, please call the Center's TTY 
number at 1-800-HUD-2209. When requesting application forms, you should 
refer to SHOP and provide your name and address (including zip code) 
and telephone number (including area code). You may also access the 
application on the Internet through HUD's web site at www.hud.gov.
    Further Information. You may contact Lou Thompson, Office of 
Affordable Housing Programs, Department of Housing and Urban 
Development, Room 7168, 451 Seventh Street, SW, Washington, DC 20410; 
telephone (202) 708-2684, ext. 4594 (this is not a toll-free number). 
This number can be accessed via TTY by calling the Federal Information 
Relay Service Operator at 1-800-877-8339.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    The amount available for this program is approximately $20,000,000

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. SHOP is intended to facilitate and 
encourage innovative homeownership opportunities on a national 
geographically-diverse basis through self-help housing where the 
homebuyer contributes a significant amount of sweat-equity toward the 
construction or rehabilitation of the dwelling.
    Decent, safe, and sanitary non-luxury dwellings developed under 
SHOP must be made available to eligible homebuyers at prices below the 
prevailing market prices. Eligible homebuyers are low-income families 
(families whose annual incomes do not exceed 80 percent of the median 
income for the area, as established by HUD) who are unable to purchase 
a dwelling. Housing assisted under this Notice must involve community 
participation through the use of homebuyers and/or volunteers in the 
construction of dwellings and by other activities which involve the 
community in the project.
    (B) Eligible Applicants. You must be a nonprofit national or 
regional organization or consortium that has the capacity and 
experience to provide or facilitate self-help housing homeownership 
opportunities. Local affiliates of national or regional organizations 
or consortia must apply as part of the national or regional 
organization or consortia and may not apply for SHOP independently. 
``Regional'' is defined for the purpose of this program section of the 
SuperNOFA to be a ``regional area'' such as the Southwest or Northeast 
which must include at least two or more States (the States need not be 
contiguous and the operational boundaries of the organization need not 
precisely conform to State boundaries). If you are a consortium, one 
organization must be chosen as the lead entity. The lead entity must 
submit the application and, if selected for funding, will execute the 
grant agreement and assume primary responsibility for carrying out 
grant activities in compliance with all program requirements. Other 
participants in your consortium must be identified in your application.
    Your application may not propose a partnership with or funding for 
any affiliate or consortium member which is also included in another 
SHOP application. You must assure that any affiliate, consortium 
member, or potential subrecipient under your FY 2000 application is not 
also seeking funding from another SHOP applicant for FY 2000 funds.
    (C) Eligible Activities. The only eligible activities are land 
acquisition (including financing and closing costs), infrastructure 
improvement (installing, extending, constructing, rehabilitating, or 
otherwise improving utilities and other infrastructure, including 
removal of environmental hazards), and administration, planning and 
management development [as defined] under the HOME Investment 
Partnerships Program (24 CFR part 92.207) and not to exceed 20 percent 
of any SHOP grant. Costs associated with the rehabilitation, 
improvement, or construction of dwellings are not eligible uses of 
program funds.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, you are subject to the following SHOP 
requirements:
    (A) Statutory Requirements. You must comply with all statutory 
requirements applicable to SHOP as cited in Section IX of this program 
section below. There are no regulations for this program. You must be 
capable of:
    (1) Developing, through significant amounts of sweat-equity and 
volunteer labor, at least 30 dwellings at an average cost of no more 
than $10,000 per unit in SHOP funds;
    (2) Using your grant to leverage other sources of funding, 
including private or other public funds;
    (3) Developing quality dwellings that comply with local building 
and safety codes and standards and which will be available to 
homebuyers at prices below the prevailing market price; and
    (4) Scheduling activities to expend all grant funds awarded and 
substantially fulfill your construction obligations under your grant 
agreement within 24 months after grant funds are first made available 
to you.

[[Page 9826]]

    (B) Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). If you fund infrastructure improvements under this 
program, you are required to comply with section 3 of the Housing and 
Urban Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities 
for Low- and Very Low-Income Persons) and the HUD regulations at 24 CFR 
part 135, including the reporting requirements subpart E. Section 3 
requires that you provide training, employment and other economic 
opportunities, to the greatest extent feasible, to: (1) low- and very 
low-income persons, particularly those who are recipients of government 
assistance for housing and (2) business concerns which provide economic 
opportunities to low- and very low-income persons.

V. Application Selection Process

    (A) Rating. HUD will review all applications in accordance with the 
Application Selection Process in the General Section of this SuperNOFA. 
HUD will review all applications based on the threshold factors listed 
in Section V(C) of this program section below. Applications which meet 
all threshold requirements will be rated according to the selection 
factors in this section of the SuperNOFA. Applications which do not 
meet all threshold factors will be rejected and not rated.
    (B) Ranking and Selection Procedures. Applications that receive a 
total rating of 60 points or more (without the addition of EC/EZ bonus 
points) will be eligible for selection, and HUD will place them in rank 
order. After adding any bonus points for EC/EZ, HUD will select these 
applications based on rank order, up to and including the last 
application that can be funded, up to amount of funding available.
    HUD reserves the right to fund less than the full amount requested 
in any application to ensure a fair distribution of the funds and that 
dwellings will be developed on a national geographically-diverse basis 
as required by the statute. HUD will not fund any portion of an 
application that is ineligible for funding under program statutory 
requirements, or which does not meet the requirements of the General 
Section of this SuperNOFA or the requirements in the SHOP section of 
the SuperNOFA. HUD will not fund any eligible applicant for less than 
the minimum amount necessary to complete at least 30 homes (at a 
maximum of $10,000 per home or a lesser amount if lower costs are 
reflected in the application). If funds remain after all selections 
have been made, these funds may be available for other competitions.
    (C) Threshold Requirements. The following threshold requirements 
apply specifically to SHOP. You must also be sure to address the 
threshold requirements listed in the General Section of the SuperNOFA 
and must submit all forms, certifications, and assurances identified in 
the General Section.
    (1) You, the applicant, must be eligible to apply under SHOP (see 
Section III(B) of this program section of the SuperNOFA).
    (2) The amount of funding you request must support no less than 30 
self-help units and may not exceed an average amount of $10,000 per 
unit.
    (3) The population you plan to serve must be eligible under SHOP 
(see Section III(A) of this program section of the SuperNOFA).
    (4) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national or regional area (where the 
homebuyers contributed a significant amount of sweat-equity and/or 
volunteer labor toward the construction of the dwellings) within the 
24-month period preceding the publication of this SuperNOFA.
    Submission Threshold Requirements:
    (1) Evidence of your non-profit status, such as a copy of a current 
Internal Revenue Service ruling that your organization is exempt from 
taxation under section 501(c)(3) or 501(c)(4) of the Internal Revenue 
Code of 1986. Where an IRS ruling is unavailable, you may submit a 
certified copy of your approved charter, articles of incorporation or 
bylaws demonstrating that you are established as a nonprofit 
organization under state law. If you are a consortium, each participant 
in your consortium must be a nonprofit organization, but only the lead 
entity should submit evidence of its nonprofit status. However, the 
lead entity must maintain a copy of the above-described documentation 
for each participant in your consortium.
    Submission threshold requirements (2) through (4) require no 
additional submissions. These requirements are addressed under the 
submission requirements for the rating factors listed in Section V(D) 
of this program section of the SuperNOFA below.
    (D) Factors for Award Used to Evaluate Applications. HUD will rate 
all SHOP applications that successfully complete technical processing 
using the Rating Factors and the Application Submission Requirements 
described below. The maximum number of points for this program is 102. 
This includes two EZ/EC bonus points, as described in the General 
Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (20 Points)

    This factor examines the extent to which you, as a single applicant 
or as a consortium (including sub-recipients and/or members of the 
consortium, if any), have the experience and organizational resources 
necessary to carry out the proposed activities in a timely manner.
    In evaluating this factor, HUD will consider your recent and 
relevant experience in carrying out the activities you propose, and 
your administrative ability, and fiscal management ability. HUD may 
also rely on information from performance reports, financial status 
information, monitoring reports, audit reports and other information 
available to HUD in making its determination under this factor. If you 
are not a current recipient of HUD funds, you may submit evidence of 
internal or external performance reports or other information which 
will assist HUD in making this determination.
    Submission Requirements for Rating Factor 1.
    (1) You must describe your past experience in carrying out 
activities that are the same as, or similar to, the activities you 
propose for funding, and demonstrate reasonable success in carrying out 
those activities. You may demonstrate such reasonable success by 
showing that your previous activities were carried out as proposed and 
in a timely manner. You must show that established benchmarks were met 
and performance reports were prepared, as required. You must also 
describe any delays that were encountered, and the actions you took to 
overcome such delays to successfully complete your program.
    (2) You must demonstrate that you have completed at least 30 self-
help homeownership units within a national or regional area (where the 
homebuyers contributed sweat-equity and/or volunteer labor toward the 
construction of the dwellings) within the 24-month period preceding the 
publication of this SuperNOFA.
    (3) You must provide a description of your management structure. 
You must also describe how you will staff and manage your proposed 
activities.
    (4) You must demonstrate your ability to handle financial resources 
with adequate financial control and accounting procedures. Your 
existing financial control procedures must meet 24 CFR 84.21, 
``Standards for Financial Management Systems.'' You must provide a copy 
of your most recent audit (only an audit of the lead entity must be

[[Page 9827]]

provided with an application for a consortium).
    (5) You must demonstrate your experience and ability in 
constructing and altering homes with accessibility features, when 
necessary.

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor examines the extent to which you identify the community 
need, or problem, or distress that your proposed activities will 
target, and the urgency of meeting that need.
    The purpose of this factor is to make sure that funding is provided 
where a need for funding exists. Under this factor, you must identify 
the need or needs in the community that your proposed activities are 
designed to address or, if you plan to select specific subrecipients 
only after you receive SHOP funding, you must demonstrate how you plan 
to identify need prior to your selection of any subrecipients.
    Submission Requirements for Rating Factor 2.
    (1) Identify the communities or areas in which your proposed 
activities will be carried out or how you will select communities or 
projects based on need after you have received an award under SHOP.
    (2) Depending on the type of activities proposed, the kind of 
information you submit to demonstrate the need or needs in the target 
area may include, but is not limited to, one or more of the following:
    (a) Housing market data such as information included in the local 
Five Year Comprehensive Plan or other data sources;
    (b) Data dealing with such factors as housing density, housing 
affordability, housing age or deterioration, and lack of adequate 
infrastructure or utilities;
    (c) Data on the need for accessible homes in the area;
    (d) Evidence of housing discrimination;
    (e) Evidence from the local Analysis of Impediments to Fair Housing 
Choice which shows the need for this program.

Rating Factor 3: Soundness of Approach (40 Points)

    This factor examines the quality of your plan of proposed 
activities. In evaluating this factor HUD will consider:
    (1) The specificity in your plan; your established benchmarks for 
performance; your schedule for expending funds and completing 
construction; your proposed budget and the cost effectiveness of your 
program; and your plans to reach all potentially-eligible homebuyers, 
including those with disabilities or least likely to apply.
    (2) How your planned activities further one or more of the policy 
priorities of the Department. Departmental policy priorities are:
    (i) Affirmatively furthering fair housing by promoting greater 
opportunities for housing choice for all segments of the population 
regardless of race, color, religion, national origin, sex, familial 
status and disability;
    (ii) Promoting healthy homes;
    (iii) Providing opportunities for self-sufficiency, particularly 
for persons enrolled in Welfare to Work programs;
    (iv) Providing educational and job training opportunities through 
such initiatives as Neighborhood Networks, and linking programs to 
AmeriCorps activities; and
    (v) Enhancing on-going efforts to eliminate drugs and crime from 
neighborhoods through program policy efforts such as ``One Strike and 
You're Out'' or the ``Officer Next Door'' initiative.
    (3) Your SHOP strategy to employ the President's Partnership for 
Advancing Technology in Housing (PATH) technologies to improve the 
affordability, durability, energy efficiency, environmental protection, 
disaster resistance and safety of housing. HUD will consider how your 
planned activities exceed prevailing national building practices by: 
reducing costs of housing; improving durability and reducing 
maintenance costs; increasing safety and disaster resistance; and 
reducing energy consumption and environmental impact. For additional 
information, PATH's web address is http://www.pathnet.org.
    Submission Requirements for Factor 3.
    (1) Identify all activities you propose to fund with SHOP.
    (2) Provide a timetable for the selection of your participating 
local affiliates or partners, if they are not specified in the 
application.
    (3) Submit a construction and completion schedule which expends 
SHOP funds within 24 months and demonstrates that remaining housing 
construction will be completed within a reasonable period of time.
    (4) List the benchmarks against which HUD is to measure your 
performance progress in expending funds, completing activities, and 
substantially fulfilling the obligations of SHOP.
    (5) Describe how your proposed activities address the need or needs 
you have identified under Rating Factor 2, above.
    (6) List the long-and short-term benefits from your activities to 
the community and targeted groups within the community, and describe 
how you will ascertain and measure the benefits.
    (7) Provide a detailed budget with a break-out for each proposed 
task and each budget category (acquisition, infrastructure 
improvements, and administration) in the SF-424A.
    (8) Demonstrate that projected costs for the proposed activities do 
not deviate substantially from the norm in the locale in which your 
activities will take place, will not exceed an average cost of $10,000 
per home in SHOP funds, and your ability to carry out your proposed 
activities cost effectively.
    (9) Describe how the policy priorities of the Department are 
furthered and PATH technologies are addressed by your proposed 
activities.
    (10) Describe how you will reach potential homebuyers through the 
use of services and materials that are accessible or visitable to all 
persons, including persons with disabilities (e.g., languages, formats, 
locations, distribution, use of minority media to attract those least 
likely to apply).
    (11) Describe how activities will benefit eligible homebuyers and 
your selection factors for participating homebuyers.
    (12) Describe how your proposed activities will yield long-term 
results and innovative strategies or ``best practices'' that can be 
readily disseminated to other organizations, communities, and/or State 
and local governments.
    (13) Describe how your program will provide reasonable 
accommodations for persons with a variety of disabilities by providing 
``sweat equity'' assignments which can be performed by the client 
regardless of disability; accessible housing regardless of the nature 
of the disability of its intended residents; and ``visitable'' housing 
for all clients.

Rating Factor 4: Leveraging Resources (15 Points)

    This factor addresses your ability to secure other resources that 
can be combined with HUD's program resources to achieve the purposes of 
SHOP. HUD will consider the extent to which you document firm 
commitments of resources in the form of cash funding, in-kind 
contributions, or personnel from Federal, State, local, and private 
sources, who are jointly referred to as your leverage partners. HUD 
will also consider the extent that the applicant's proposed sweat-
equity requirements and other leveraged resources will serve to reduce 
costs to the homebuyers.
    Submission Requirements for Factor 4.
    (1) Provide a list of amounts and sources of all firm commitments 
of cash

[[Page 9828]]

funding, in-kind contributions, or personnel from other Federal, State, 
local, and private sources which will be available to complete your 
project. Together with the grant funds, these commitments must be 
sufficient to develop not less than 30 units.
    (2) Provide copies of written evidence to support your list of firm 
commitments from the source of the commitment. There must be a written 
agreement to provide the resources. The written agreement may be 
contingent upon you receiving a grant award.
    (3) Provide a description of the individual sweat-equity 
requirements of your program and how this contribution of labor will 
serve to reduce the costs of the home to the homebuyer. Reasonable 
accommodation must be allowed for persons with a variety of 
disabilities to participate in your program.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which your application reflects 
a coordinated, comprehensive approach to identifying community needs 
and addressing them on an ongoing basis. In evaluating this factor, HUD 
will consider:
    (1) The extent to which you demonstrate the support and 
participation of the community's residents, organizations, businesses, 
and government in the design and implementation of the proposed 
activities.
    (2) The specific steps you will take to share information on 
solutions, outcomes, and best practices resulting from the activities, 
if funded.
    (3) The specific steps you have taken or will take to coordinate, 
through meetings, information networks, planning processes, or other 
mechanisms, your activities with other proposed or on-going activities 
in the community funded by Federal, State, local, or private sources.
    Submission Requirements for Factor 5.
    (1) Describe what role residents, community leaders and 
organizations, and government and private entities in the targeted 
community have had, or will have, in planning the activities described 
in your application and what role they will have in carrying out such 
activities.
    (2) Describe how you will share with others information on 
solutions and outcomes resulting from the activities, if funded.
    (3) Describe the specific steps you have taken or will take to 
become active in the community's Consolidated Plan and Analysis of 
Impediments to Fair Housing Choice process; or the community's Indian 
Housing Plan process; and to address, through these processes, the 
needs that are the focus of the proposed activities.
    (4) Describe the specific steps you have taken, or will take, to 
coordinate your activities with other proposed or on-going activities 
in the community funded by Federal, State, local, or private sources 
(through meetings, information networks, planning processes, or other 
mechanisms).

VI. Application Requirements and Checklist for Application 
Submission

    Your application consists of the items listed in this Section VI. 
The standard forms, certifications, and assurances that are applicable 
to this funding (collectively, referred to as the ``standard forms'') 
can be found in Appendix B to the General Section of the SuperNOFA.

______Standard Form 424, Application for Federal Assistance (signed by 
the authorized representative organization eligible to receive funds)
______Evidence of Non-Profit status

    Narrative Statement Addressing:

______Factor 1--Capacity of the Applicant and Relevant Organizational 
Staff, including recent audit.
______Factor 2--Need/Extent of the Problem
______Factor 3--Soundness of Approach
______Factor 4--Leveraging Resources
______Factor 5--Comprehensiveness and Coordination

    Forms, Certifications and Assurances:

______SF 424A, Budget Information, Non-Construction Programs
______SF 424B, Assurances--Non-Construction Programs
______SF 424M, Federal Assistance Funding Matrix
______HUD-50070, Certification for a Drug-Free Workplace
______HUD-50071, Certification of Payment to Influence Federal 
Transactions
______SF-LLL, Disclosure of Lobbying Activity, as applicable
______HUD-2880, Applicant/Recipient Disclosure/Update Report
______HUD-2990, Certification of Consistency with the EZ/EC Strategic 
Plan
______HUD-2992, Certification Regarding Debarment and Suspension
______HUD-2993, Acknowledgement of Application Receipt

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    The provisions contained in Section 305(c) of the Multifamily 
Housing Property Disposition Reform Act of 1994, Environmental Review, 
implemented in the Environmental Review regulations at 24 CFR part 58, 
are applicable to properties assisted with SHOP funds. All SHOP 
assistance is subject to the National Environmental Policy Act of 1969 
and related federal environmental authorities. SHOP grant applicants 
are cautioned that no federal or non-federal funds or assistance which 
limits reasonable choices or could produce a significant adverse 
environmental impact may be committed to a project until all required 
environmental reviews and notifications have been completed by a unit 
of general local government, tribe or State and until HUD approves a 
recipient's request for release of funds under the environmental 
provisions contained in 24 CFR part 58.

IX. Authority

    The funding made available under this program section of the 
SuperNOFA is authorized by section 11 of the Housing Opportunity 
Program Extension Act of 1996 (42 U.S.C. 12805 note) (the ``Extension 
Act'').

BILLING CODE 4210-32-P

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Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9831]]



FUNDING AVAILABILITY FOR THE YOUTHBUILD PROGRAM

PROGRAM OVERVIEW

    Purpose of the Program. The purpose of the Youthbuild program is to 
assist disadvantaged young adults in completing their high school 
education, and provide them with construction and the training on 
worksite for housing designated for homeless persons and low- and very 
low income families, leadership skills to further opportunities for 
their gainful employment.
    Available Funds. Approximately $40,000,000 is available for the 
Youthbuild Program.
    Eligible Applicants. Eligible applicants are public or private 
nonprofit agencies, State or local housing agencies or authorities, 
State or local units of general local government, or any entity 
eligible to provide education and employment training under other 
Federal employment training programs, as further defined in HUD's 
regulation at 24 CFR 585.4.
    Application Deadline. June 6, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (one original and 
two copies) is due on or before 12:00 midnight, Eastern time, on June 
6, 2000.
    See the General Section of this SuperNOFA for specific procedures 
that you must follow for the form of application submission (e.g., 
mailed applications, express mail, overnight delivery, or hand 
carried).
    Addresses for Submitting Applications. To HUD Headquarters. Your 
completed application consists of an original signed application and 
two copies. Submit the original application and one copy, by hand or 
mail delivery, to: Processing and Control Branch, Office of Community 
Planning and Development, Department of Housing and Urban Development, 
451 Seventh Street, SW, Room 7255, Washington, DC 20410, Attention: 
Youthbuild Grant.
    To the Appropriate CPD Field Office. Submit the second copy of your 
application to the Community Planning and Development Division of the 
appropriate HUD Field Office for your jurisdiction. A hand carried 
application will be accepted at the specified HUD Field Office during 
normal business hours before the application due date. On the 
application due date, business hours will be extended to 6:00 p.m. 
local time. Please be sure to arrive at the HUD Field Office with 
adequate time to submit the application before the 6:00 pm deadline by 
the application due date.
    For Application Kits. For an application kit and any supplemental 
material please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. An application kit also will be available 
on the Internet through the HUD web site at http://www.hud.gov. When 
requesting an application kit, please refer to Youthbuild and provide 
your name, address (including zip code), and telephone number 
(including area code).
    For Further Information. You may contact Phyllis Williams, Office 
of Economic Development and Empowerment Service in the Office of 
Community Planning and Development, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Room 7140, Washington, DC 20410, 
telephone (202) 708-2035. Persons with speech or hearing impairments 
may call HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the 
Federal Information Relay Service TTY). Other than the ``800'' number, 
these numbers are not toll-free.
    For Technical Assistance. Write or call Peter Twichell, YouthBuild 
USA, 58 Day Street, Somerville, MA 02144, telephone (617) 623-9900, 
ext. 1211, under contract with HUD to provide technical assistance in 
developing your application.

II. Amount Allocated

    Approximately $40,000,000 is available for the Youthbuild Program. 
The net available program funds will be divided between two categories 
of grants as described in Section III(C) of this program section of the 
SuperNOFA:
    1. $4,800,000--Grants for new applicants for up to $300,000; and
     2. $35,200,000--Grants for up to $700,000.

III. Program Description; Eligible Applicants; and Eligible 
Activities

    (A) Program Description. The purposes of the Youthbuild Program 
are:
    (1) To provide economically-disadvantaged young adults with 
opportunities to obtain an educational experience that will enhance 
their employment skills, as a means to achieving self-sufficiency;
    (2) To foster the development of leadership skills and commitment 
to community;
    (3) To expand the supply of permanent affordable housing for 
homeless and low- and very low-income persons by providing 
implementation grants for carrying out a Youthbuild program.
    (4) To provide disadvantaged young adults with meaningful on-site 
training experiences in housing construction and rehabilitation to 
enable them to render a service to their communities by helping to meet 
the housing needs of homeless persons and low-income families;
    (5) To give, to the greatest extent feasible, job training, 
employment, contracting and other economic opportunities to low-income 
persons.
    (B) Eligible Activities. (1) Work and activities associated with 
the acquisition, rehabilitation or construction of the housing, as 
defined in HUD's regulations at 24 CFR 585.309, 585.310, and 585.311.
    (2) Relocation payments and other assistance required to comply 
with HUD's regulation at 24 CFR 585.308;
    (3) Costs of ongoing training and technical assistance needs 
related to carrying out a Youthbuild program;
    (4) Education, job training, counseling, employment, leadership 
development services and optional activities that meet the needs of the 
participants including entrepreneurial training, drivers' education, 
internships, programs for those with learning disabilities, and in-
house staff training.
    (5) Outreach to potential participants;
    (6) Wages, benefits, and need-based stipends for participants; and 
Administrative costs--Youthbuild funds for these costs should not 
exceed 15 percent of the total amount of Youthbuild assistance, unless 
a higher amount is justified to support capacity development by a 
private nonprofit organization.
    Please refer to HUD's regulation at 24 CFR 585.305 for further 
details on eligible activities.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, as an applicant you must comply with the 
following requirements:
    (A) Eligible Participants. Participants in a Youthbuild program 
must be very low-income high school dropouts between the ages of 16 and 
24, inclusive, at the time of enrollment. Up to 25 percent of 
participants may be above very low-income or high school graduates (or 
equivalent), but must have

[[Page 9832]]

educational needs that justify their participation in the program.
    (B) Locational Limitations. You may submit more than one 
application in the current competition if your program's participant 
recruitment and housing areas are in different jurisdictions. Each 
application you submit may only propose activities to carry out one 
Youthbuild program, i.e., to start a new Youthbuild program or to fund 
new classes of Youthbuild participants for an existing program.
    (C) Youthbuild Program Components. Youthbuild programs that receive 
assistance under this Youthbuild Program section of the SuperNOFA must 
contain the three components described in paragraphs (1), (2), and (3) 
below of this Section IV(C).
    (1) Educational and job training services.
    (2) Leadership training, counseling, and other support activities.
    (3) On-site training through actual housing rehabilitation and/or 
new construction work, including the provision of alternative training 
experiences that are necessary as a reasonable accommodation for 
students with disabilities. Your application must contain a letter from 
the property owner management company(ies) allowing access to the 
housing site(s) for on-site construction training. Each program must be 
structured so that 50 percent of each participant's time is spent in 
on-site training and the other 50 percent in educational training.
    (D) Classroom Limitation. If you are a first time applicant and 
apply under the Category 1 Grant described in Section V(C) below of 
this program section, you should have a graduating class of not more 
than 20 students.
    (E) Desirable Elements of a Youthbuild Program. You should document 
the extent to which HUD's policy priorities are furthered by the 
proposed activities. As referenced in the General Section of the 
SuperNOFA, such policy priority areas are:
    (1) Affirmatively furthering fair housing by promoting greater 
opportunities for housing choice for minorities and persons with 
disabilities;
    (2) Promoting healthy homes;
    (3) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare to work programs;
    (4) Providing educational and job training opportunities and 
linking programs to Americorps activities; and
    (5) Promoting welfare reform. Refer to HUD's regulation at 24 CFR 
585.3 for a detailed description of program components.

V. Application Selection Process

    You, the applicant, must meet all of the applicable threshold 
requirements of Section II(B) of the General Section of the SuperNOFA. 
HUD will review each application and assign points in accordance with 
the selection factors described in this section. The maximum number of 
points is 102 (except for an application submitted by the City of 
Dallas, Texas, which would be eligible for a maximum of 104 points, in 
accordance with paragraph (3) of Rating Factor 3 below). This maximum 
includes two Empowerment Zone/Enterprise Community (EZ/EC) bonus points 
as described in the General Section of the SuperNOFA.
    (A) Rating and Ranking. HUD will rate each eligible application 
based upon the rating factors described in Section V of this Youthbuild 
Program section of the SuperNOFA. Using the scores assigned, HUD will 
place the application in rank order within each category. HUD will 
select applications for funding in accordance with their rank order. To 
be eligible for funding, an application must have a score of 50 points 
for Rating Factors 1, 2, and 3.
    If two or more applications are rated fundable, and have the same 
score, but there are insufficient funds to fund all of them, HUD will 
select the application(s) with the highest score for Rating Factor 3(1) 
under Soundness of Approach. If two or more applicants still have the 
same score, the highest score in the following factors will be selected 
sequentially until one highest score can be determined: Rating Factor 1 
(Capacity and Experience), Rating Factor 4 (Leveraging of Resources), 
Rating Factor 2 (Need).
    (C) Categories of Grants. HUD will make grants in two categories:
    (1) Category 1 Grants. Grants for new applicants that have not 
previously received Youthbuild Implementation Grants and that have 
elected not to apply under Category 2 Grants, below. Applicants in 
Category 1 Grants will receive approximately twelve percent of the 
funds available. These grants will be limited to $300,000, for a period 
of 18 months.
    (2) Category 2 Grants. HUD will award half the funding in this 
category (44% of the total funding) to applicants proposing grant(s) of 
$400,000 or less and which do not exceed 24 months. The other half of 
the funding for this category will be awarded to applicants proposing 
grants over $400,000 and activities for up to 30 months. HUD will not 
fund grants over $700.000.
    (D) Grant Period. You should expend funds awarded within 30 months 
of the effective date of the grant agreement, or such other period 
specified.
    (E) Maximum Awards. Under the competition established by this 
Youthbuild Program section of the SuperNOFA, the maximum award for a 
Youthbuild grant is $700,000. HUD reserves the right to determine the 
maximum or minimum of any Youthbuild award per application, project, or 
budget line item. HUD will not make amendments to awards under this 
competition that will increase previously approved grant amounts. To 
ensure reasonable geographic diversity, HUD will not give a CDBG 
entitlement jurisdiction more than $2.1 million in Youthbuild grants 
under this competition.
    (F) Potential Environmental Disqualification. HUD reserves the 
right to disqualify an application where one or more environmental 
thresholds are exceeded if HUD determines that it cannot conduct the 
environmental review and satisfactorily complete the review within the 
HUD application review period. (See 24 CFR 585.307.) Environmental 
thresholds are explained in Appendix A of this program section of this 
SuperNOFA. Complete form 2Cl3a, 2C13b,or 2C13c and form 2C15 only if 
you are proposing to use Youthbuild funds for new housing construction 
or rehabilitation.
    (G) Notification of Approval or Disapproval. HUD will notify you 
whether or not you have been selected for an award. If you are 
selected, HUD's notice to you of the amount of the grant award based on 
the approved application will constitute HUD's preliminary approval, 
subject to execution of the grant agreement by HUD.
    (H) Factors for Award Used to Evaluate and Rate Applications.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (30 Points)

(Provide a Narrative of No More Than 10 Pages)

    This factor addresses the qualification and experience of you the 
applicant and participating parties to implement a successful young 
adult education and training program within six months of execution of 
the grant agreement. HUD will review and evaluate the information 
provided documenting capability. In assigning points for this 
criterion, HUD will consider evidence in your application that 
demonstrates the following:
    (1) Experience in implementing and operating a comprehensive, 
integrated,

[[Page 9833]]

multidisciplinary program with the following components:
    (a) Young adult education and training programs, including programs 
for low-income persons from economically distressed neighborhoods.
    (b) Young adult leadership development training and related 
activities for young adults.
    (c) Young adult on-site training in housing construction or 
rehabilitation for the production of sound and affordable housing for 
homeless persons and low-income families.
    (2) The extent to which you or participating parties have been 
successful in past education, training, and employment programs and 
activities, including Federally-funded Youthbuild programs. If you have 
received a Youthbuild grant, you must submit copies of your last two 
progress reports or, if applicable, a closeout report. In applying the 
rating criteria, HUD will take into consideration your performance 
(including meeting target dates and schedules) as reported.
    (3) The extent to which you, including your program director, 
principal staff, or participating parties have demonstrated past 
ability to leverage other resources to cover administrative, 
educational, and training costs.
    (4) The extent to which you demonstrate that your proposed Staff 
and Program Manager possess the background, experience, and capacity to 
conduct the proposed project, as evidenced by recent work experience in 
managing projects of the same or similar size, dollar amount, and types 
of activities as those proposed in the application.

Rating Factor 2: Need/Extent of the Problem (15 Points)

(Provide a Narrative of No More Than 2 Pages)

    This factor addresses the extent to which there is a need for 
funding--your proposed program activities and an indication of the 
urgency of meeting the need in the target area. Documentation of need 
should address the extent to which you document a critical level of 
need for the proposed activities in the area where activities will be 
implemented. The documentation must apply to the targeted area rather 
than the entire locality. If the target area is an entire locality or 
State, then documenting need at this level is appropriate.
    Your documentation of need should demonstrate the extent and 
urgency of the problem the proposed activities address. To the extent 
that your community's Consolidated Plan or Analysis of Impediments to 
Fair Housing Choice (AI) identifies the level of the problem and the 
urgency in meeting the need, you should include references to these 
documents in your response. HUD will review more favorably those 
applicants that use these documents to identify need. If you have no 
Consolidated Plan, points will not be taken against you. Examples of 
data you might use to demonstrate need include, but are not limited to, 
economic and demographic data relevant to the target area, including 
poverty and unemployment rates; levels of homelessness; extent of drug 
usage and crime statistics; lead poisoning rates; housing market data 
available from HUD Reports or other data sources including the Public 
Housing Authorities' Five Year Comprehensive Plan, State or local 
Welfare Department's Welfare Reform Plan (including, where applicable, 
the Welfare to Work Plan Addendum); and/or lack of other Federal, 
State, or local funding that could be or are used to address the 
problem HUD program funds are designed to address. If the proposed 
activity is not covered under the scope of the Consolidated Plan and 
AI, you should indicate such, and use other official data sources to 
identify the level of need and the urgency in meeting the need. Types 
of other sources include, but are not limited to, Census reports, 
Continuum of Care gaps analysis, law enforcement agency crime reports, 
Public Housing Authorities' Five Year Comprehensive Plan, HUD's 
Consolidated Plan for your jurisdiction, state or county agency reports 
or studies, etc.

Rating Factor 3: Soundness of Approach (40 Points)

(Provide a Narrative of No More Than 15 Pages and Complete Exhibit 4A)

    (1) (30 points) HUD will consider the overall quality and 
feasibility of your proposed statement of work as measured by the 
specific activities and tasks that meet; the overall objectives of--
your Youthbuild program and the intent of this announcement of funding 
availability; whether the proposed program activities will be 
accomplished within the projected time frame; whether the proposed 
program activities are comprehensive and integrated; and the potential 
for success of the proposed program. Areas HUD will consider in 
evaluating the overall quality of the proposed program are:
    (a) Outreach, recruitment and selection activities including:
    (i) Specific steps you will take to attract potential eligible 
participants who are unlikely to be aware of this program (because of 
race, ethnicity, sex or disability) and selection strategies;
    (ii) Special outreach efforts you will make to recruit eligible 
young women, young women with dependent children, and persons receiving 
public assistance; and
    (iii) Recruitment arrangements you have made with public agencies, 
courts, homeless shelters, local school systems, local workforce 
development systems, community-based organizations, etc.
    (b) Educational and job training services and activities including:
    (i) The types of in-class academic and vocational instruction you 
will provide;
    (ii) The number and qualifications of program instructors and ratio 
of instructors to participants;
    (iii) Scheduling plan for classroom and on-the-job training needed 
to meet program requirements and ensure timely completion of your 
program;
    (iv) Reasonable payments of participants' wages, stipends, and 
incentives.
    (c) Leadership development, including the leadership development 
training you will offer to participants, and strategies for providing 
the training to build group cohesion and peer support.
    (d) Support services. You must document counseling and referral 
services to be offered to participants, the type of counseling, social 
services, and/or need-based stipends you will provide. To receive 
higher points, support services must be documented by letter of 
commitment from providers.
    (e) On-site training, including:
    (i) The housing construction or rehabilitation activities 
participants will undertake at the site(s) to be used for the on-site 
training component of the program;
    (ii) The qualification and number of on-site supervisors;
    (iii) The ratio of trainers to students;
    (iv) The number of students per site; and
    (v) The amounts, wages, and/or stipends you will pay to 
participants during on-site work.
    (f) Job placement assistance, including your commitments, 
strategies, and procedures for:
    (i) Participant placement in related employment, enrollment in 
postsecondary education programs, job development, starting business 
enterprises, or other opportunities leading to economic independence; 
and
    (ii) Follow-up assistance and support activities to program 
graduates.
    (2) (10 points) HUD will assign Housing Program Priority Points to 
all

[[Page 9834]]

applications that contain evidence that housing resources from other 
Federal, State, local, or private sources that are available and firmly 
committed to cover all costs, in full, for the following housing 
activities for the proposed Youthbuild program: acquisition, 
architectural and engineering fees, construction, and rehabilitation. 
It also is imperative that your proposed housing sites provide quality 
training. Applications that do not include proper documentation of firm 
financial commitments of non-Youthbuild resources or propose to use 
Youthbuild grant funds, in whole or in part, or do not evidence site 
control, for any one of the housing activities listed above will not be 
entitled to housing program priority points. HUD will not use housing 
resources in evaluating the Leveraging Resources factor. Forms 2C, 
Housing Site Description, and 2C10, Youthbuild Grant Individual Housing 
Project Site Estimate, must be completed to receive the Housing 
Priority points.
    (3) HUD will award up to two (2) additional points to any 
application submitted by the City of Dallas, Texas, to the extent this 
subfactor is addressed. Due to 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 consider 
the extent to which the application's proposed activities will 
eradicate the vestiges of racial segregation in the Dallas Housing 
Authority's programs consistent with the Court's order.

Rating Factor 4: Leveraging Resources (10 Points)

(Exhibit 4B Non-Housing Program Resources Must Be Completed and You 
Must Provide Letters of Firm Commitment From the Donor With the Amount 
of Cash or In-Kind Contribution)

    This factor addresses the extent to which firm commitment of 
resources are obtained from Federal, State, local, and private and 
nonprofit sources other than from you the applicant. In assigning 
points for this criterion, HUD will consider the level of non-housing 
resources obtained for cash or in-kind contributions to cover the 
following kinds of areas:
    (1) Social services (i.e., counseling and training);
    (2) Use of existing vocational, adult, and bilingual educational 
courses;
    (3) Donation of labor, resource personnel, supplies, teaching 
materials, classroom, and/or meeting space;
    (4) Other commitments.
    In rating this element, HUD will consider only those contributions 
for which current firm commitments have been provided. HUD will 
evaluate the level of non-housing resources proposed based on their 
importance to the total program. Leveraging will only be counted if you 
have documented proof. Letters of commitment should include the dollar 
amount and be signed by the donors.
    Resources from other Federal, State, Local or Private Entities. You 
should use existing housing and homeless assistance programs 
administered by HUD or other Federal, State, local, or private and 
nonprofit housing programs as part of your Youthbuild Program. In 
addition, you should use other non-Youthbuild funds available for 
vocational, adult, and bilingual education programs or for job training 
under the Job Training Partnership Act and the Personal Responsibility 
and Work Opportunity Reconciliation Act of 1996. The selection process 
described in this Youthbuild Program section of the SuperNOFA provides 
for applicants to receive points where grant applications contain firm 
commitments from Federal, State, local, or private sources to provide 
resources to carry out Youthbuild activities.

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

(Provide a Narrative of No More Than 2 Pages and Complete Exhibit 5B)

    This factor addresses the extent to which your program reflects a 
coordinated, community-based process of identifying needs and building 
a system to address the needs by using available HUD funding resources 
and other resources available to the community.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate that you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations in order to best complement, support, and coordinate 
all known activities, and the specific steps you will take to share 
information on solutions and outcomes with others. You should describe 
any written agreements, memoranda of understanding in place, or those 
that will be in place after award.
    (2) Taken or will take specific steps to become active in the 
community's Consolidated Planning process (including the Analysis of 
Impediments to Fair Housing Choice) established to identify and address 
a need/problem that is related to the activities you propose.
    (3) Taken or will take specific steps to develop linkages to 
coordinate comprehensive solutions through meetings, information 
networks, planning processes, or other mechanisms with:
    (a) Other HUD funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other activities funded by HUD, Federal, State, or local 
sources, including those proposed or on-going in the community(s) 
served.

VI. Application Submission Requirements

    (A) Site Access Submission Requirements. You must submit a schedule 
for the program, budgets, identification of specific housing sites, and 
firm evidence of site access.
    (1) Guidance on evidence of site access:
    (i) If the applicant or joint applicant have a contract or option 
to purchase the property, you should provide a statement to that effect 
and include a copy of the contract or option;
    (ii) If a third party owns the property or has a contract or option 
to purchase, that third party must provide a letter to you stating the 
nature of the ownership and specifically providing you with access to 
the property for the purposes of the program and the time frame in 
which the property will be available. In the case of a contract or 
option, include a copy of the document; and
    (iii) You must provide the required certification that the proposed 
activities are consistent with the HUD-approved Consolidated Plan in 
accordance with 24 CFR part 91 and referenced in Section II(G)(7) of 
the General Section of the SuperNOFA.
    (B) Application Items. Your application must contain the items 
listed in this Section VII(B). These items include the standard forms, 
certifications, and assurances listed in the General Section of the 
SuperNOFA that are applicable to this funding (collectively, referred 
to as the ``standard forms''). The standard forms can be found in 
Appendix B to the General Section of the SuperNOFA. The remaining 
application items that are forms (i.e., excluding such items as 
narratives, letters), referred to as the ``non-standard forms'' can be 
found as Appendix B to this program section of the SuperNOFA. The items 
are as follows:
    (1) SF-424, Application for Federal Assistance.
    (2) HUD-424M, Federal Assistance Funding Matrix.
    (3) SF-424A, Budget Information for Non-Construction Programs.

[[Page 9835]]

    (4) SF-424B, Assurances for Construction Programs.
    (5) SF-424C, Budget Information for Construction Programs.
    (6) HUD-50070, Certification of Drug-Free Workplace.
    (7) HUD-2880, Applicant/Recipient Disclosure/Update Form.
    (8) HUD-50071, Certification of Payments to Influence Certain 
Federal Transactions.
    (9) SF-LLL, Disclosure of Lobbying Activities (if applicable).
    (10) HUD-2992, Certification Regarding Debarment and Suspension.
    (11) Letters from property owners allowing access to the housing 
site for construction training.
    (12) Submission of 501(c)(3) status and/or letter certifying non-
profit status if the applicant is a public non-profit organization.
    (13) Narrative Response to Factors for Award.
Factor 1--Capacity
Factor 2--Need
Factor 3--Soundness of Approach, including completed Youthbuild Grant 
Budget (Exhibit 4A), Housing Site Description (Exhibit 2C), Youthbuild 
Grant Individual Housing Site Estimate (Exhibit 2C10), Documentation 
Necessary To Complete Environmental Review (Exhibit 2C15), and 
Relocation Narrative, if Applicable
Factor 4--Leveraging, Including Your Letters(s) Evidencing the 
Leveraged Commitment(s)
Factor 5--Coordination, Include HUD-2991, Certification of Consistency 
With the Consolidated Plan
    (13) HUD-2990, Certification of Consistency with the EZ/EC 
Strategic Plan (if applicable);

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    Environmental procedures apply to HUD approval of grants when you 
propose to use Youthbuild funds to cover any costs for the lease, 
acquisition, rehabilitation, or new construction of real property 
proposed for housing project development. Environmental procedures do 
not apply to HUD approval of your application when you propose to use 
your Youthbuild funds solely to cover costs for classroom and/or on-
the-job construction training and support services.
    If you propose to use your Youthbuild funds to cover any costs of 
the lease, acquisition, rehabilitation, or new construction of real 
property, you must submit all relevant environmental information in 
your application to support HUD decisionmaking in accordance with the 
environmental procedures and standards set forth in HUD Regulation 24 
CFR 585.307.

IX. Authority

    This program is authorized under subtitle D of title IV of the 
Cranston-Gonzalez National Affordable Housing Act, as added by section 
164 of the Housing and Community Development Act of 1992 (Pub.L. 102-
550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild Program 
regulations are found in 24 CFR part 585.

Appendix A--Instructions for Completion of Youthbuild Environmental 
Requirements (Exhibit 2C(15))

A. Instructions to Applicants

    1. If you propose to use Youthbuild funds to cover any costs of the 
lease, acquisition, rehabilitation, or new construction or real 
property, you shall submit all relevant environmental information in 
your application to support HUD decisionmaking in accordance with the 
environmental procedures and standards set forth in 24 CFR 585.307. For 
each proposed Youthbuild property for which HUD environmental 
procedures apply, you are to prepare a separate Exhibit 2C(15) in which 
you supply HUD with environmental threshold information and letters 
from qualified data sources (see definition below) which support the 
information. HUD will review your submission and determine how, if 
necessary, HUD will comply with any Federal laws and authorities that 
may be applicable to your property proposed for Youthbuild funding. If 
environmental procedures apply and Exhibit 2C(15) with supporting 
documentation is not included then the application will be deemed 
ineligible.
    You are to follow these instructions for preparing Exhibit 2C(15). 
The instructions advise you on how to obtain and document certain 
information to be supplied to HUD in this exhibit. Before selecting a 
property for Youthbuild funding, you should read these instructions and 
be advised that HUD encourages you to select, to the extent 
practicable, properties and locations that are free of environmental 
hazards and problems discussed in these instructions. The responses to 
the environmental criteria in Exhibit 2C(15) will be used to determine 
environmental approval or disapproval by HUD of proposals for physical 
development of properties.
    2. After selecting a property for proposed Youthbuild funding, you 
are to determine the activities to be undertaken with your Youthbuild 
funds. You are to indicate in section E whether the Youthbuild funds 
will be used for:
    (a) Lease or purchase of a property;
    (b) Minor rehabilitation or
    (c) Major rehabilitation; or
    (d) New construction of housing.
    The activities proposed for Youthbuild funding will determine the 
kind of data that you will need to obtain from a qualified data source 
in order to complete Exhibit 2C(15).
    3. Once you have selected a property and determined the activities 
for Youthbuild funding, you are advised to check with your city or 
county agency that administers HUD's Community Development Block Grant 
program and performs environmental reviews, or the local planning 
agency. The reason is that most, if not all, the data needed for 
preparing Exhibit 2C(15) is readily available from the local community 
development agency and the local planning agency. You are advised to 
ask the environmental staff of those agencies the following:
    (a) Has the agency ever prepared an environmental review of the 
proposed Youthbuild property or the neighborhood in which the property 
is located, and if so, would it provide a copy to the applicant for use 
by HUD;
    (b) Would the agency assist you in completing section G; or if the 
agency is not able to help complete any item in section G, would the 
agency advise you which local or State agency is the appropriate 
qualified data source for obtaining the information.
    Also, you should check with the local planning agency before 
proceeding elsewhere for the information.
    You are advised that the cost of preparing information and analyses 
needed for Exhibit 2C(15) is an eligible cost under the Youthbuild 
program and is reimbursable if you are approved for a grant.
    4. The following definitions are of key terms used in these 
instructions. Most of the other terms are technical and their 
definition would be known to qualified data sources.
    (a) Qualified data source means any Federal, State or local agency 
with expertise or experience in environmental protection (e.g., the 
local community development agency; the land planning agency; the State 
environmental protection agency; the

[[Page 9836]]

State Historic Preservation Officer) or any other source qualified to 
provide reliable information on the particular subject. A letter 
supporting the information from each qualified data source is to be 
attached to Exhibit 2C(15).
    (b) Minor rehabilitation means proposed fixing and building repair:
    (i) Where the estimated cost of the work is less than 75 percent of 
the property value after completion;
    (ii) That does not involve changes in land use from residential to 
nonresidential, or from nonresidential to residential;
    (iii) That does not involve the demolition of one or more 
buildings, or parts of a building, containing the primary use served by 
the project; and
    (iv) That does not increase unit density by more than 20 percent.
    For minor rehabilitation of a building located in a floodplain, the 
criteria for substantial improvement modify this definition. (See Item 
B 3 below)
    (c) Major rehabilitation means proposed fixing and building repair:
    (i) Where the estimated cost of the work is 75 percent or more of 
the property value after completion; or
    (ii) That involves changes in land use from residential to 
nonresidential, or from nonresidential to residential; or
    (iii) That involves the demolition of one or more buildings, or 
parts of a building, containing the primary use served by the project; 
or
    (iv) That increases unit density by more than 20 percent.
    (d) Multifamily housing means any residential building that 
contains five or more apartments or rooming units.
    (e) Single-family housing means any residential building that 
contains one-to-four dwelling units.
    Because each Federal environmental law or authority has compliance 
requirements that differ according to the type of proposed activity to 
be funded, you are required to supply information in Exhibit 2C(15) 
only for the type of activity for which the Youthbuild grant will be 
used.
    (a) If you propose new construction or major rehabilitation of 
multifamily housing, you must supply complete and reliable 
environmental threshold information for items 1 through 13 in section 
G.
    (b) If you propose new construction of single family housing, you 
must supply complete and reliable environmental threshold information 
for items 1 through 12 in section G.
    (c) If you propose minor rehabilitation of multifamily or single-
family housing, or the purchase or lease of a property, you must supply 
complete and reliable environmental threshold information for items 1 
through 7 in section G.
    5. Applicants subject to HUD's environmental procedures are to 
submit Exhibit 2C(15) and accompanying documentation to HUD with the 
applications for grant assistance. Such applicants are prohibited from 
committing or expending State, local or other funds to undertake 
property rehabilitation, construction (including demolition), or 
acquisition (including lease), until HUD and the grantee execute a 
grant agreement for the proposed Youthbuild project.
    6. HUD reserves the right to disqualify any application where one 
or more environmental thresholds are exceeded if HUD determines that 
the compliance review cannot be conducted and satisfactorily completed 
within the HUD review period for Youthbuild applications.

B. Environmental Threshold and Documentation Requirements

    The threshold and documentation requirements for each of the 
Federal environmental laws and authorities are described below, 
following the same order as they appear in section G.
    1. Site within designated coastal barrier resources:
    Threshold: Youthbuild applicants are prohibited by Federal law from 
using Federal financial assistance for properties, if the properties 
are located within designated coastal barriers of the Atlantic Ocean, 
Gulf of Mexico, and the Great Lakes (Coastal Barrier Resources Act, as 
amended, 16 U.S.C. 3501).
    * Documentation: You are to select either A or B for the condition 
that best describes the property and report the option selected in item 
1 of section G.
    A. You state that your program operates in a community that does 
not contain any shores along the Atlantic Ocean, the Gulf of Mexico, or 
the Great Lakes.
    B. If your program operates in a community that does contain shores 
along the Atlantic Ocean, the Gulf of Mexico, or the Great Lakes, you 
must provide HUD with a finding made by a qualified data source stating 
that the proposed property is not located within a designated coastal 
barrier resource by citing the map panel number of the official maps 
issued by the Department of the Interior (DOI) on the basis of which 
the finding was made.
    2. Site contaminated with toxic chemicals and radioactive 
materials:
    Threshold: Under HUD policy, as described in HUD Notice 79-33 
(Policy Guidance to Address the Problems Posed by Toxic Chemicals and 
Radioactive Materials), HUD will not approve the provision of financial 
assistance to residential properties located on contaminated sites. 
Sites known or suspected to be contaminated by toxic chemicals or 
radioactive materials include but are not limited to sites: (i) listed 
on either an EPA Superfund National Priorities List (NPL) or CERCLA 
(Comprehensive Environmental Response, Compensation, and Liability Act) 
List, or equivalent State list; (ii) located within 3,000 feet of a 
toxic or solid waste landfill site; or (iii) with an underground 
storage tank (which is not a residential fuel tank).
    * Documentation: You are to select either A or B for the condition 
that best describes property and report the option selected in item 2 
of section G.
    A. You are providing HUD with a finding made by a qualified data 
source stating that the proposed Youthbuild property and any 
neighboring properties do not contain any sites known or suspected to 
be contaminated with toxic chemicals and radioactive materials.
    B. You are providing any site contamination data by a qualified 
data source in your letter for HUD's evaluation of contamination and/or 
suspicion of any contamination of a proposed property or any 
neighboring properties.
    3. Site affecting a floodplain:
    Threshold: A property located within a floodplain and proposed for 
funding is subject to Executive Order 11988, Floodplain Management. The 
Executive Order directs HUD to avoid, where practicable, proposed 
financial support for any floodplain property, whenever HUD has options 
to approve properties in flood-free locations. The Order does not apply 
to existing single-family properties proposed for purchase or lease 
except for: (i) property that is located within a floodway or coastal 
high hazard area; and (ii) substantial improvement. Substantial 
improvement for flood hazard purposes means any property rehabilitation 
which: (a) increases the unit density of the property; or (b) equals or 
exceeds 50 percent of the market value of the property before 
rehabilitation, but excluding the costs for correcting health, 
sanitary, and safety code violations. Note: Proposed funding for 
substantial improvement and new construction are subject to the 
Executive Order decision making process. This may result in a 
disqualification of your application (refer above to number 7 under 
``Instructions to Applicants'').
    * Documentation: You are to select A or B for the condition that 
best describes your property and report the option selected in item 3 
of section G.

[[Page 9837]]

    A. You are providing HUD with a finding made by a qualified data 
source stating that the property is not located within the Special 
Flood Hazard Area (SFHA).
    B. You are providing HUD with a finding made by a qualified data 
source that the property is located within the Special Flood Hazard 
Area (SFHA) and indicating if whether the property is located within a 
floodway or coastal high hazard area.
    The information for A and B must provide HUD with the flood map 
panel number obtained either from the official maps issued for the 
National Flood Insurance Program or from the property appraisal report 
used to make the finding.
    For all proposed rehabilitation of properties that are located 
within a SFHA, you must provide HUD with estimates of: (i) the property 
value before rehabilitation, and (ii) the cost of the proposed 
rehabilitation. Provide the estimates in section F.
    If the property is found to be located within a SFHA, proceed to 
item 4 on flood insurance protection. Otherwise proceed to item 5.
    4. Building requiring flood insurance protection:
    Threshold: HUD will estimate the amount and period of flood 
insurance coverage that is to be made a condition of approval of any 
HUD financial assistance for a building located within a Special Flood 
Hazard Area (SFHA). The Flood Disaster Protection Act of 1973 requires 
owners of HUD-assisted buildings to purchase and maintain flood 
insurance protection as a condition of approval of any HUD financial 
assistance for the proposed purchase, rehabilitation, or new 
construction of any SFHA building. The law prescribes the coverage 
period and dollar amount of flood insurance protection.
    Proof of Purchase of Flood Insurance Protection: You must provide 
HUD with proof of purchase of flood insurance protection for any 
proposed Youthbuild building located within the SFHA, whenever HUD 
funding is being used for property purchase, rehabilitation, or new 
construction. The standard documentation for compliance is the Policy 
Declarations form issued by the National Flood Insurance Program (NFIP) 
or issued by any property insurance company offering coverage under the 
NFIP. Whenever the requirement applies to coverage which extends to 
future years, the grant agreement will require that the insured has its 
insurer automatically forward to HUD, in the same manner as to the 
insured, an information copy of the Policy Declarations form, which is 
used to verify compliance. The Youthbuild applicants responsibility 
ceases in cases where a mortgage loan is approved requiring flood 
insurance as condition of loan approval by a lender (other than the 
Youthbuild applicant), whose responsibility is to assure flood 
insurance coverage for the loan.
    *Documentation: You are to select either A or B for the condition 
that best describes your property and report the option selected in 
item 4 of section G.
    A. You already own the property and attach a copy of the Policy 
Declarations form confirming that a current flood insurance policy is 
in effect and the policy provides adequate coverage for the building 
proposed for the Youthbuild project located within the Special Flood 
Hazard Area.
    B. After you have purchased (or constructed, in the case of 
proposed new construction) the Youthbuild property, you must obtain and 
maintain flood insurance protection. For the term and amount of 
coverage prescribed by law, you must provide HUD with a copy of the 
Policy Declarations form confirming that the flood insurance policy is 
in effect and the policy provides adequate coverage for the Youthbuild 
building located within the Special Flood Hazard Area.
    5. Site within clear zones or accident potential zones of airports 
and airfields:
    Threshold: HUD policy as described in 24 CFR part 51, subpart D 
applies to HUD approval of financial assistance to: (a) properties 
located within clear zones; and (b) in the case of new construction or 
major rehabilitation, properties located within accident potential 
zones.
    (a) Clear zones: New construction and major rehabilitation of a 
property that is located on a clear zone site is prohibited. HUD 
financial assistance in a clear zone is allowed only for the proposed 
lease, purchase, or minor rehabilitation of properties (24 CFR 
51.302(a)). For HUD funding approval for any property in a clear zone: 
(a) HUD will give advance written notice to the prospective property 
buyer in accord with 24 CFR 51.303(a)(3); and (b) a copy of the HUD 
notice signed by the prospective property buyer will be placed in the 
property file. The written notice informs the prospective property 
buyer of: (i) the potential hazards from airplane accidents which 
studies have shown more likely to occur within clear zones than in 
other areas around the airport/airfield; and (ii) the potential 
acquisition by airport or airfield operators, who may wish to buy the 
property at some future date as part of a clear zone acquisition 
program.
    (b) Accident potential zones: For properties located within the 
accident potential zone (APZ), HUD shall determine whether the use of 
the property is generally consistent with Department of Defense ``Land 
Use Compatibility Guidelines for Accident Potential Zones.''
    *Documentation: You are to select either A or B for the condition 
that best describes your property and report the option selected in 
item 5 of section G.
    A. The property is not located within 3,000 feet of a civil airport 
or military airfield.
    B. If your property is located within 3,000 feet of a civil airport 
or military airfield, you must provide HUD with a finding from the 
airport operator stating whether or not the property is located within 
a runway clear zone at a civil airport, or a clear zone or accident 
potential zone at a military airfield.
    For properties that are located within a runway clear zone or a 
clear zone or accident potential zone, if you propose to rehabilitate 
such a property you must provide HUD with estimates of: (i) the cost of 
the proposed rehabilitation, and (ii) the property value after 
completion of the rehabilitation. The estimates are to be provided in 
section F.
    6. Site is or affects an historic property:
    Threshold: Only if a property is proposed for rehabilitation or new 
construction must HUD in consultation with the State Historic 
Preservation Officer (SHPO), and following the Department of the 
Interiors Standards and Guidelines for Evaluation, make a determination 
whether the property is:
    (a) Listed on or formally determined to be eligible for listing on 
the National Register of Historic Places;
    (b) Located within or directly adjacent to an historic district; or
    (c) A property whose area of potential effects includes an historic 
district or property.
    Historic properties and districts are subject by law to special 
protection and historic preservation processing which HUD must perform 
to comply with the regulations of the Advisory Council on Historic 
Preservation (ACHP: 36 CFR part 800). Note: If you are using 
information from the SHPO as a qualified data source you need to allow 
sufficient time to obtain the information from the SHPO. You may wish 
to make special arrangements with the SHPO for rapid review of the 
proposed property where this is practicable. In addition, for 
properties determined to be historic properties, HUD will require 30 to 
90 days in most cases for HUD to perform historic preservation 
compliance with the ACHP regulations. This may result

[[Page 9838]]

in a disqualification of the application (refer above to number 7 under 
``Instructions to Applicants'').
    *Documentation: You are to select one of the following options that 
best describes the condition of your property and report the option 
selected in item 6 of section G.
    A. You propose financial assistance for rehabilitation or new 
construction, and are providing HUD with a SHPO's finding that the 
proposed Youthbuild activity:
    1. Is located within an area where there are no historic 
properties; or
    2. Will have no effect on historic properties; or
    3. Will have an effect on historic properties not considered 
adverse.
    B. You propose financial assistance for rehabilitation or new 
construction, and are providing HUD with a SHPOs finding that the 
proposed Youthbuild activity will have an adverse effect on historic 
properties.
    C. You are providing HUD with a copy of a letter from the SHPO 
stating any reasons for not being able to provide you with the 
requested information and finding.
    7. Site near hazardous industrial operations:
    Threshold: Properties that are located near hazardous industrial 
operations handling fuels or chemicals of an explosive or flammable 
nature are subject to HUD safety standards (24 CFR 51, Subpart C). 
However, under the Youthbuild program, these standards would apply only 
if you propose: (i) construction of a building; (ii) conversion of a 
non-residential land use to a residential land use including making 
habitable a building condemned for habitation; or (iii) rehabilitation 
that increases the density of a residential structure by increasing the 
number of dwelling or rooming units. In the case of tanks containing 
common liquid fuels, the requirement for an acceptable separation 
distance (ASD) calculation only applies to storage tanks that have a 
capacity of more than 100 gallons.
    *Documentation: You are to select one of the following options that 
best describe the condition of the property, and report the option 
selected in item 7 of section G.
    A. The proposed project does not include: (i) construction of a 
building; (ii) conversion of a non-residential land use to a 
residential land use including making habitable a building condemned 
for habitation; or (iii) rehabilitation that increases the density of a 
residential structure by increasing the number of dwelling or rooming 
units.
    B. The proposed project includes: (i) construction of a building; 
(ii) conversion of a non-residential land use to a residential land use 
including making habitable a building condemned for habitation; or 
(iii) rehabilitation that increases the density of a residential 
structure by increasing the number of dwelling or rooming units; and 
you are providing HUD with a finding by a qualified data source that 
the proposed property is not located within the immediate vicinity of 
hazardous industrial operations handling fuel or chemicals of an 
explosive or flammable nature by citing data used and the maps used.
    C. The applicant proposes: (I) construction of a building; (ii) 
conversion of a non-residential land use to a residential land use 
including making habitable a building condemned for habitation; or 
(iii) rehabilitation that increases the density of a residential 
structure by increasing the number of dwelling or rooming units; and 
the grantee provides HUD a finding made by a qualified data source 
stating: (1) that the proposed property is located within the immediate 
vicinity of hazardous industrial operations handling fuel or chemicals 
of an explosive or flammable nature; (2) the type and scale of such 
hazardous industrial operations; (3) the distance of such operations 
from the proposed property; (4) a preliminary calculation of the 
acceptable separation distance (ASD) between such operations and the 
proposed property; and (5) a recommendation as to whether it is safe to 
use the property in accord with 24 CFR 51, Subpart C.
    8. Site near high noise source:
    Threshold: For new construction which is to occur in high noise 
areas (i.e. exceeding 65 decibels), applicants shall incorporate noise 
attenuation features to the extent required by HUD environmental 
criteria and standards contained in Subpart B (Noise Abatement and 
Control) of 24 CFR part 51. Approvals in a Normally unacceptable noise 
zone require a minimum of 5 decibels additional sound attenuation for 
buildings having noise-sensitive uses if the day-night average sound 
level is greater than 65 decibels but does not exceed 70 decibels, or a 
minimum of 10 decibels of additional sound attenuation if the day-night 
average sound level is greater than 70 decibels but does not exceed 75 
decibels.
    Proposed housing sites with above 75 decibels are unacceptable and 
the noise attenuation measures require the approval of the Assistant 
Secretary for Community Planning and Development. In Unacceptable noise 
zones, HUD strongly encourages conversion of noise-exposed sites to 
non-housing land uses compatible with the high noise levels.
    For major rehabilitation projects involving five or more dwelling 
units located in the ``Normally Unacceptable'' and ``Unacceptable'' 
noise zones, HUD actively seeks to have project sponsors incorporate 
noise attenuation features, given the extent and nature of the 
rehabilitation being undertaken and the level of exterior noise 
exposure.
    *Documentation: You are to select A or B for the condition that 
best describes their project and report the option selected in item 8 
of section G.
    A. You are providing HUD with a finding made by a qualified data 
source stating that the property proposed by the applicant for a major 
rehabilitation or new construction project involving five or more 
dwelling units is not located within: (i) 1,000 feet of a major noise 
source, road, or highway; (ii) 3,000 feet of a railroad; or (iii) 1 
mile of a civil or 5 miles of a military airfield.
    B. The applicant provides HUD with a finding made by a qualified 
data source: (i) stating that the plans for the property proposed by 
the applicant for a major rehabilitation or new construction project 
involving five or more dwelling units will incorporate noise 
attenuation features in accord with HUD environmental criteria and 
standards contained in Subpart B (Noise Abatement and Control) of 24 
CFR part 51; (ii) stating whether the property is located within a 
``Normally Unacceptable'' or ``Unacceptable'' noise zone; and (iii) 
providing HUD plans and a statement of the anticipated interior noise 
levels.
    9. Site affecting coastal zone management:
    Threshold: Only for proposed activities involving new construction 
or major rehabilitation of multifamily housing does the Coastal Zone 
Management (CZM) authority apply. Projects which can affect the coastal 
zone must be carried out in a manner consistent with the approved State 
coastal zone management program under Sec. 307 of the Coastal Zone 
Management Act of 1972, as amended.
    *Documentation: You are to select either A or B for the condition 
that best describes the project and report the option selected in item 
9 of section G.
    A. You state that your project is not located within a coastal 
zone, as defined by the States Coastal Zone Management Plan.
    B. If your project is located within a coastal zone, you are 
providing HUD with a finding made by the State CZM agency that the 
project proposed by the applicant is consistent with the

[[Page 9839]]

approved State coastal zone management program.
    10. Site affecting a sole source aquifer:
    Threshold: The sole source aquifer authority applies primarily to 
activities involving proposed new construction or conversion to housing 
of non-residential property. Projects which can affect aquifers 
designated by the Environmental Protection Agency (EPA) must be 
reviewed for impact on such designated aquifer sources. The Safe 
Drinking Water Act of 1974 requires protection of drinking water 
systems which are the sole or principal drinking water source for an 
area and which, if contaminated, would create a significant hazard to 
public health.
    *Documentation: You are to select either A or B for the condition 
that best describes their project and report the option selected in 
item 10 of section G.
    A. You are providing HUD with a finding made by a qualified data 
source stating that the proposed property is not located on nor does it 
affect a sole source aquifer designated by EPA.
    B. If your project proposes new construction or conversion 
activities that are located on or may affect any sole source aquifer 
designated by the EPA, you are identifying the aquifer and providing 
HUD with an explanation of the effect on the aquifer from a qualified 
data source, and/or a copy of any comments on the proposed project that 
have been received from the EPA Regional Office as well as from any 
State or local agency with jurisdiction for protecting the drinking 
water system.
    11. Site affecting endangered species:
    Threshold: The Endangered Species Protection (ESP) authority 
applies primarily to activities involving proposed new construction or 
conversion to housing of a non-residential property. Projects which can 
affect listed or proposed endangered or threatened species or critical 
habitats require consultation with the Department of the Interior in 
compliance with the procedure of Section 7 of the Endangered Species 
Act of 1973, as amended.
    *Documentation: You are to select either A or B for the condition 
that best describes the property and report the option selected in item 
11 of section G.
    A. If your project proposes new construction or conversion 
activities, you are providing HUD with a finding made by a qualified 
data source that the project is not likely to affect any listed or 
proposed endangered or threatened species or critical habitat. The 
finding shall indicate whether the project is located within a critical 
habitat, and if so, explain why the project is not likely to affect the 
species or habitat.
    B. If your project proposes new construction or conversion 
activities that are likely to affect listed or proposed endangered or 
threatened species or critical habitat, you are providing HUD with a 
statement from a qualified data source explaining the likely affect, 
and/or a finding made by the Fish and Wildlife Service of the 
Department of the Interior stating as acceptable the proposed 
mitigation that you will provide to protect any affected endangered or 
threatened species or critical habitat.
    12. Site affecting a designated wetland:
    Threshold: New construction or conversion to housing of a non-
residential property located within a designated wetland is subject to 
Executive Order 11990, Protection of Wetlands. This Executive Order 
directs HUD to avoid, where practicable, financial support for new 
construction on wetland property.

    Note: Proposed funding for new construction or conversion is 
subject to the Executive Order decision making process. This may 
result in a disqualification of the application (refer above to 
number 7 under ``Instructions to Applicants'').

    * Documentation: You are to select A or B for the condition that 
best describes the property and report the option selected in item 12 
of section G.
    A. You are providing HUD with a finding made by a qualified data 
source stating that the property is not located within a designated 
wetland where new construction or conversion is proposed.
    B. You are providing HUD with a finding made by a qualified data 
source that the property is located within a designated wetland, which 
applies only to property where new construction or conversion is 
proposed.
    The information for A and B must provide HUD with the wetland panel 
number obtained from official maps issued by the Department of the 
Interior on the basis of which the finding was made, or where DOI has 
not mapped the area, a letter or other documentation from the Army 
Corps of Engineers or other Federal agency.
    13. Significant impact to the human environment:
    Threshold: HUD must perform an environmental assessment of any 
property proposed for major rehabilitation or new construction except 
for a single-family property having one-to-four dwelling units. It is 
the policy of the Department to reject proposals which have significant 
adverse environmental impacts and to encourage the modification of 
projects in order to enhance environmental quality and minimize 
environmental harm. This policy is authorized by the National 
Environmental Policy Act (NEPA) and the implementing regulations of the 
Council on Environmental Quality and HUD's Environmental Rule at 24 CFR 
part 50.
    * Documentation: You are to provide HUD with any information on any 
adverse environmental impacts that affect the property or that the 
project would create. You are to report this data on a separate sheet 
and attach it to Exhibit 2C(15). Examples of adverse impacts are: soil 
instability and erodibility; natural or person-made hazards and 
nuisances; air pollution; inadequate infrastructure (e.g., water 
supply, waste water treatment, storm water management, solid waste 
collection), inadequate public services (i.e., fire, police, health 
care, social services, schools, parks) and transportation; and 
encroachment on prime farmlands and wild and scenic river areas. You 
are to identify any significant impacts to the human environment.
BILLING CODE 4210-32-P

[[Page 9840]]

Appendix B

    The non-standard forms, which follow, are required for your 
Youthbuild application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9851]]



FUNDING AVAILABILITY FOR CONTINUUM OF CARE HOMELESS ASSISTANCE 
PROGRAMS--SUPPORTIVE HOUSING PROGRAM (SHP), SHELTER PLUS CARE 
(S+C), SECTION 8 MODERATE REHABILITATION SINGLE ROOM OCCUPANCY 
PROGRAM FOR HOMELESS INDIVIDUALS (SRO)

Program Overview

    Purpose of the Programs. The purpose of the Continuum of Care 
Homeless Assistance Programs is to fund projects that will fill gaps in 
locally developed Continuum of Care systems to assist homeless persons 
move to self-sufficiency and permanent housing.
    Available Funds. Approximately $850 million.
    Eligible Applicants. The chart in the Appendix A to this program 
section of this SuperNOFA identifies the eligible applicants for each 
of the three programs under the Continuum of Care.
    Application Deadline. May 31, 2000.
    Match. Yes.

Additional Information

    If you are interested in applying for funding under any of the 
Continuum of Care Homeless Assistance programs, please review carefully 
the General Section of the SuperNOFA and the following additional 
information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Your completed application (an original 
containing the signed documentation and two copies) is due on or before 
12:00 midnight, Eastern time, on May 31, 2000 to the addresses shown 
below.
    See the General Section of this SuperNOFA for specific procedures 
that you must follow for the form of application submissions (e.g., 
mailed applications, express mail, overnight delivery, or hand 
carried).
    Addresses for Submitting Applications. To HUD Headquarters. Submit 
your original completed application (the application with the original 
signed documentation) to: Room 7270, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Washington, DC 20410, Attention: Continuum of Care 
Programs.
    To the Appropriate CPD Field Office. Also submit two copies of your 
completed application to the Community Planning and Development 
Division of the appropriate HUD Field Office for your jurisdiction. The 
HUD Field Office must receive the two copies of your application by the 
deadline date as well. The determination, however, that your 
application was received on time will be made solely on receipt of the 
application at HUD Headquarters in Washington. Reviews will be based 
upon the contents of the application submitted to HUD Headquarters.
    For Application Kits. For an application kit, please call the 
SuperNOFA Information Center at 1-800-HUD-8929 (voice) or 1-800-HUD-
2209 (TTY), or you may download an application by Internet at http://
www.HUD.gov.
    For Further Information. You may contact the HUD Field Office 
serving your area, at the telephone number shown in Appendix A to the 
General Section of the SuperNOFA, or you may contact the Community 
Connections Information Center at 1-800-998-9999 (voice) or 1-800-HUD-
2209 (TTY) or by Internet at: http://www.comcon.org/ccprog.html.
    For Technical Assistance. Before the application deadline, HUD 
staff will be available to provide you with general guidance. HUD 
staff, however, cannot provide you with guidance in actually preparing 
your application. HUD Field Office staff also will be available to help 
you identify organizations in your community that are involved in 
developing the Continuum of Care system and, in the case of renewals, 
to determine the HUD final year amount (e.g., leasing, supportive 
services and operations for SHP, and rental assistance for S+C). 
Following conditional selection of applications, HUD staff will be 
available to assist selected applicants in clarifying or confirming 
information that is a prerequisite to the offer of a grant agreement or 
Annual Contributions Contract 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 
your application pertinent to HUD's funding decision.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $850 million is available for this competition in FY 
2000. Any unobligated funds from previous competitions or additional 
funds that may become available as a result of deobligations or 
recaptures from previous awards or budget transfers may be used in 
addition to 2000 appropriations to fund applications submitted in 
response to this program section of this SuperNOFA. The funds available 
for the Continuum of Care program can be used under any of three 
programs that can assist in creating community systems for combating 
homelessness. The three programs are:
    (1) Supportive Housing;
    (2) Shelter Plus Care; and
    (3) Section 8 Moderate Rehabilitation for Single Room Occupancy 
Dwellings for Homeless Individuals.
    The chart in the Appendix A to this program section of this 
SuperNOFA summarizes key aspects of the programs, and also provides the 
citations for the statutes and regulations that authorize these 
programs. The regulations listed in the chart provide more detailed 
descriptions of each of the programs.
    As in previous funding availability announcements for the Continuum 
of Care Homeless Assistance Programs, HUD will not specify amounts for 
each of the three programs this year. Instead, the distribution of 
funds among the three programs will depend largely on locally 
determined priorities and overall demand. Local priorities 
notwithstanding, due to recent Congressional action, not less than 30 
percent of this year's total homeless assistance appropriation of 
$1.020 billion must be used for permanent housing projects. (See 
Sections V(A)(4)(b) and V(A)(7) of this program section of the 
SuperNOFA for additional information.) Should Congress pass and the 
President sign legislation prior to this year's grant announcement 
permitting eligible S+C renewals selected for funding in the 2000 
competition to be funded from sources other than the McKinney Act, HUD 
reserves the right to exercise this authority. Should this authority be 
exercised, HUD will skip over these selected S+C renewal projects 
funded from sources other than the McKinney Act in choosing projects 
from Continuum of Care priority lists for McKinney Act funding in this 
year's competition. These skipped over S+C renewal projects will not 
count against your continuum's prorata need amount, thus increasing the 
funds available for other projects. You should plan for this 
eventuality when developing your Continuum of Care priority list. All 
Shelter Plus Care renewals selected for funding, regardless of funding 
source, will count toward the 30 percent permanent housing requirement.

[[Page 9852]]

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description.
    (1) Developing Continuum of Care Systems. The purpose of the 
Continuum of Care Homeless Assistance Programs is to fund projects that 
will fill gaps in locally developed Continuum of Care systems to assist 
homeless persons move to self-sufficiency and permanent housing. The 
process of developing a Continuum of Care system to assist homeless 
persons is part of the community's larger effort of developing a 
Consolidated Plan. For a community to successfully address its often 
complex and interrelated problems, including homelessness, the 
community must marshall its varied resources--community and economic 
development resources, social service resources, housing and homeless 
assistance resources--and use them in a coordinated and effective 
manner. The Consolidated Plan, including the Analysis of Impediments to 
Fair Housing Choice, serves as the vehicle for a community to 
comprehensively identify each of its needs and to coordinate a plan of 
action for addressing them.
    A Continuum of Care system consists of four basic components:
    (a) A system of outreach and assessment for determining the needs 
and conditions of an individual or family who is homeless;
    (b) Emergency shelters with appropriate supportive services to help 
ensure that homeless individuals and families receive adequate 
emergency shelter and referral to necessary service providers or 
housing finders;
    (c) Transitional housing with appropriate supportive services to 
help those homeless individuals and families who are not prepared to 
make the transition to permanent housing and independent living; and
    (d) Permanent housing, or permanent supportive housing, to help 
meet the long-term needs of homeless individuals and families.
    A Continuum of Care system is developed through a community-wide or 
region-wide process involving nonprofit organizations (including those 
representing persons with disabilities), government agencies, other 
homeless providers, housing developers and service providers, private 
foundations, neighborhood groups, and homeless or formerly homeless 
persons. A Continuum of Care system should address the specific needs 
of each homeless subpopulation: the jobless, veterans, persons with 
serious mental illnesses, persons with substance abuse issues, persons 
with HIV/AIDS, persons with multiple diagnoses, victims of domestic 
violence, youth, and any others. The term ``multiple diagnoses'' may 
include diagnoses of multiple physical disabilities or multiple mental 
disabilities or a combination of these two types.
    As an applicant, the community process you use in developing a 
Continuum of Care system should include interested veteran service 
organizations. To ensure that the Continuum of Care system addresses 
the needs of homeless veterans, it is particularly important that you 
involve veteran service organizations with specific experience in 
serving homeless veterans. In addition, given the large number of 
youths aging out of the Foster Care system each year, you should seek 
to include persons knowledgeable on this issue in the planning process 
and ensure that your continuum of Care system adequately addresses this 
need.
    Your application will be given a high score under the Continuum of 
Care scoring factors if the application demonstrates the achievement of 
two basic goals:
     That you have provided maximum participation by non-profit 
providers of housing and services; homeless and formerly homeless 
persons; state and local governments and agencies; veteran service 
organizations; organizations representing persons with disabilities; 
the private sector; housing developers; foundations and other community 
organizations.
     That you have created, maintained and built upon a 
community-wide inventory of housing and services for homeless families 
and individuals; identified the full spectrum of needs of homeless 
families and individuals; and coordinated efforts to obtain resources, 
particularly resources sought through this program section of the 
SuperNOFA, to fill gaps between the current inventory and existing 
needs. This coordinated effort must appropriately address all aspects 
of the continuum, especially permanent housing.
    Should HUD determine, in its sole discretion, that sufficient 
evidence exists to confirm that the entity responsible for convening 
and managing the Continuum of Care process in a community has failed in 
the past to conduct a fair process, including a priority selection 
process that gives equal consideration to projects proposed by non 
profit organizations, HUD reserves the right to prohibit that entity 
and the individuals comprising that entity from participating in that 
capacity in the future. In making this determination, HUD will consider 
as evidence court proceedings and decisions, or the determinations of 
other independent and impartial review bodies. Entities and individuals 
so prohibited under this authority will be notified in writing within 
15 days of the publication of this Continuum of Care NOFA in the 
Federal Register.
    In deciding the geographic area you will cover in your Continuum of 
Care strategy, you should be aware that the single most important 
factor in being awarded funding under this competition will be the 
strength of your Continuum of Care strategy when measured against the 
Continuum of Care rating factors described in this SuperNOFA. When you 
determine what jurisdictions to include in your Continuum of Care 
strategy area, include only those jurisdictions that are involved in 
the development and implementation of the Continuum of Care strategy.
    The more jurisdictions you include in the Continuum of Care 
strategy area, the larger the pro rata need share that will be 
allocated to the strategy area (as described in Section V(A)(4) of this 
program section of the SuperNOFA). However, it would be a mistake to 
include jurisdictions that are not fully involved in the development 
and implementation of the Continuum of Care strategy since this would 
adversely affect the Continuum of Care score. If you are a rural 
county, you may wish to consider working with larger groups of 
contiguous counties to develop a region-wide or multi-county Continuum 
of Care strategy covering the combined service areas of these counties.
    Since the basic concept of a Continuum of Care strategy is to 
create a single, coordinated, inclusive homeless assistance system for 
an area, the areas covered by Continuum of Care strategies should not 
overlap. If your Continuum of Care strategy geographically overlaps to 
the extent that they are essentially competing with each other, 
projects in the applications/Continuum of Care that receive the highest 
score out of the possible 60 points for Continuum of Care will be 
eligible for up to 40 points under Need. Projects in the competing 
applications/Continuum of Care with the less effective Continuum of 
Care strategies will be eligible for only 10 points under Need. In no 
case will the same geographical area be used more than one time in 
assigning Need points. The local HUD Field Office can help you 
determine if any of the areas proposed for inclusion by your Continuum 
of Care system is also likely to be claimed under another Continuum of 
Care system in this competition.

[[Page 9853]]

    (2) Prioritizing. HUD's policy is that decisions about priority are 
best made through a locally-driven process and are key to the ultimate 
goal of reducing homelessness. Again this year, you must list all 
projects proposed for funding under this program section of the 
SuperNOFA in priority order from the highest priority to the lowest. 
Generally, this priority order will mean, for example, that if HUD has 
funds available only to award 8 of 10 proposed projects, then it will 
award funding to the first eight eligible projects listed, except as 
may be necessary to achieve the new 30 percent overall permanent 
housing requirement--in which case higher priority non-permanent 
housing projects may be skipped over to fund lower priority permanent 
housing projects. You should give non-profit organizations an 
opportunity to participate in establishing these priorities.
    To promote permanent housing, a special incentive is being provided 
to Continuum of Care systems that place an eligible, new permanent 
housing project in the number one priority slot on the priority list. 
See Section V(A)(4)(b) of this program section of the SuperNOFA for a 
description of this incentive.
    HUD will use this priority list to award up to 40 points per 
project under the ``Need'' scoring factors. Higher priority projects 
will receive more points under Need than lower priority projects. A 
project priority chart is included in the application kit and you 
should complete and submit it. If you do not submit clear project 
priority designations for the continuum, or if HUD, at its sole 
discretion, cannot determine priority designations, then HUD will give 
all projects the lowest score for Need.
    Project renewals. If your Supportive Housing, Supportive Housing 
Demonstration Program, SAFAH, or Shelter Plus Care grants will be 
expiring in calendar year 2001, you must apply under this Continuum of 
Care program section of the SuperNOFA to get continued funding.
    Your local needs analysis process must consider the need to 
continue funding for projects expiring in calendar year 2001, and you 
must assign a priority to those projects requesting renewal. HUD will 
not fund renewals out of order on the priority list except as may be 
necessary to achieve the new 30 percent overall permanent housing 
requirement. HUD reserves the authority to use FY 2001 funds, if 
available, to conditionally select for one year of funding lower-rated 
eligible SHP renewal projects that are assigned 40 need points in 
continuum of care systems that: (1) Would not otherwise receive 
funding; and (2) have not previously been awarded funds under this 
authority.
    Regardless of the priority assigned to expiring projects, you 
should fully consider how persons currently being served by those 
projects will continue to be served, and address this issue in your 
gaps analysis. In previous competitions, some renewal projects that 
were not assigned top priority by a locality did not receive funding. 
To the extent your community desires to have such projects renewed, you 
should give them the top priorities on the priority projects listing in 
the application. It is also important that they meet minimum project 
eligibility, capacity, and quality standards identified in this program 
section of the SuperNOFA or they will be rejected.
    For the renewal of a Supportive Housing Program project, Supportive 
Housing Demonstration Program project or SAFAH project, you may request 
funding for one (1), two (2) or three (3) years. For the renewal of a 
Shelter Plus Care project, the grant term is fixed at five (5) years as 
required by statute. You may request up to the amount determined by 
multiplying the number of units under lease at the time of application 
for renewal funding under this SuperNOFA by the applicable current Fair 
Market Rent(s) by 60 months. While full funding of existing grants may 
be requested, there is no guarantee that the entire amount will be 
awarded. As is the case with SHP, HUD will recapture Shelter Plus Care 
grant funds remaining unspent at the end of the original grant period 
when it renews a grant.
    This program section of the SuperNOFA is not applicable to the 
renewal of funding under the SRO program. For further guidance on SRO 
renewals, please contact your local HUD Field Office.
    As a project applicant, you are eligible to apply for renewal of a 
grant only if you have executed a grant agreement for the project 
directly with HUD. If you are a project sponsor or subrecipient who has 
not signed such an agreement, you are not eligible to apply for renewal 
of these projects. HUD will reject applications for renewal submitted 
by ineligible applicants. If you have questions about your eligibility 
to apply for project renewal, contact the local HUD field office. To be 
considered an applicant when applying as part of a consolidated 
application, you must submit an originally signed HUD Form SF-424 and 
the necessary certifications and assurances.
    (B) Eligible Applicants. See Appendix A.
    (C) Eligible Activities. See Appendix A.

IV. Program Requirements

    (A) Statutory and Regulatory Requirements.
    (1) SRO Program. As an applicant, you need know that the following 
limitations apply to the Section 8 SRO program:
     Under section 8(e)(2) of the United States Housing Act of 
1937, no single project may contain more than 100 assisted units;
     Under 24 CFR 882.802, applicants that are private 
nonprofit organizations must subcontract with a Public Housing 
Authority to administer the SRO assistance;
     Under section 8(e)(2) of the United States Housing Act of 
1937 and 24 CFR 882.802, rehabilitation must involve a minimum 
expenditure of $3,000 for a unit, including its prorated share of work 
to be accomplished on common areas or systems, to upgrade conditions to 
comply with the Housing Quality Standards.
     Under section 441(e) of the McKinney Act and 24 CFR 
882.805(d)(1), HUD publishes the SRO per unit rehabilitation cost limit 
each year to take into account changes in construction costs. This cost 
limitation applies to rehabilitation that is compensated for in a 
Housing Assistance Payments Contract. For purposes of Fiscal Year 2000 
funding, the cost limitation is raised from $17,500 to $17,850 per unit 
to take into account increases in construction costs during the past 
12-month period.
    (2) Shelter Plus Care/Section 8 SRO Component. With regard to the 
SRO component of the Shelter Plus Care program, if you are a State or a 
unit of general local government, you must subcontract with a Public 
Housing Authority to administer the Shelter Plus Care assistance. Also 
with regard to this component, no single project may contain more than 
100 units.
    (3) Supportive Housing Program. Please be advised that:
     Where an applicant for Supportive Housing Program funding 
is a State or unit of general local government that utilizes one or 
more nonprofit organizations to administer the homeless assistance 
project(s), administrative funds provided as part of the SHP grant must 
be passed on to the nonprofit organization(s) in proportion to the 
administrative burden borne by them for the SHP project(s). HUD will 
consider States or units of general local government that pass on at 
least 50

[[Page 9854]]

percent of the administrative funds made available under the grant as 
having met this requirement which was contained in the congressional 
committees' report accompanying the FY 2000 HUD Appropriations Act. 
This requirement does not apply to either the SRO Program, since no 
administrative funds are provided as part of the grant, or to the S+C 
Program, since paying the costs associated with the administration of 
these grants is ineligible by regulation.
     HUD anticipates publishing an amendment to SHP program 
regulations in the near future, which amendment would allow HUD to pay 
up to 75% of the annual operating costs for supportive housing in every 
year of the grant. The current rule, found at 24 CFR 583.125(c), allows 
HUD to pay up to 75% in the first two years of the grant and up to 50% 
in the remaining years. If the amendment of this section is published 
with final effect before conditional selection of awards under this 
NOFA, the amendment will apply to grants awarded in this competition.
    (B) Match. You must match Supportive Housing Program funds provided 
for acquisition, rehabilitation, and new construction with an equal 
amount of funds from other sources; for operating costs, see preceding 
paragraph. In addition, in this year's competition, you must match by 
25% all funding for supportive services. The cash source may be you, 
the Federal Government, State and local governments, or private 
resources. You must match rental assistance provided through the 
Shelter Plus Care Program in the aggregate with supportive services.
    (C) Linking Supportive Housing Programs and Americorps. Applicants 
for the Supportive Housing Program are encouraged to link their 
proposed projects with AmeriCorps, a national service program engaging 
thousands of Americans on a full or part-time basis to help communities 
address their toughest challenges, while earning support for college, 
graduate school, or job training. For information about AmeriCorps SHP 
partnerships, call the Corporation for National Service at (202) 606-
5000 extension 486. (This is not a toll-free number.)
    (D) Linking Housing and Supportive Services. Many of the clients 
who will be served by the HUD programs covered by this Continuum of 
Care NOFA may need services in addition to housing. It is important 
that potential grantees design programs which enhance access to those 
needed services. While HUD recognizes that there are many ways to 
ensure that clients receive the services they need, to the extent 
possible, the Department encourages providers to develop housing 
programs which do not require participation in services as a part of 
their tenancy requirements while ensuring that, in the case of Shelter 
Plus Care, the supportive service match requirement is met.
    (E) Timeliness Standards. As an applicant, you are expected to 
initiate your approved projects promptly. HUD may take action if you 
fail to satisfy the following timeliness standards:
    (1) Supportive Housing Program.
     HUD will deobligate SHP funds if you have not demonstrated 
site control within one (1) year after you were initially notified of 
the grant award, as provided in 24 CFR 583.320(a), subject to the 
exceptions noted in that regulation.
     Except where HUD finds that delay was due to factors 
beyond your control, HUD may deobligate SHP funds if the you do not 
meet the following additional timeliness standards:

--You must begin construction activities within eighteen (18) months 
after initial notification of your grant award and complete them within 
thirty-six (36) months after that notification.
--For activities that cannot begin until construction activities are 
completed, such as supportive service or operating activities that will 
be conducted within the building being rehabilitated or newly 
constructed, you must begin these activities within three (3) months 
after you complete construction.
--You must begin all activities that may proceed independent of 
construction activities within twelve (12) months after initial 
notification of your grant award.

    (2) Shelter Plus Care Program Components Except SRO Component. 
Except where HUD finds that delay was due to factors beyond your 
control, HUD will deobligate S+C funds if you do not meet the following 
timeliness standards:
     For Tenant-based Rental Assistance, for Sponsor-based 
Rental Assistance, and for Project-based Rental Assistance without 
rehabilitation, you must start the rental assistance within twelve (12) 
months of the initial announcement of the grant award.
     For Project-based Rental Assistance with rehabilitation, 
you must complete the rehabilitation within twelve (12) months of 
initial notification of your grant award.
    (3) SRO Program and SRO Component of the Shelter Plus Care Program.
    For projects carried out under the SRO program and the SRO 
component of the S+C program, the rehabilitation work must be completed 
and the Housing Assistance Payments contract executed within twelve 
(12) months of execution of the Annual Contributions Contract. HUD may 
reduce the number of units or the amount of the annual contribution 
commitment if, in HUD's determination, the Public Housing Authority 
fails to demonstrate a good faith effort to adhere to this schedule.

V. Application Selection Process

    (A) Review, Rating and Conditional Selection. HUD will use the same 
review, rating, and conditional selection process for all three 
programs (S+C, SRO, and SHP). The standard factors for award identified 
in the General Section of this SuperNOFA have been modified in this 
program section as described below. Only the factors described in this 
program section--Continuum of Care and Need--will be used to assign 
points. To review and rate applications, HUD may establish panels. In 
order to obtain certain expertise and outside points of view, including 
views from other Federal agencies, these panels may include persons not 
currently employed by HUD. Two types of reviews will be conducted. 
Paragraphs (1) and (2) below describe threshold reviews and paragraphs 
(3) and (4) describe factors--Continuum of Care and Need--that will be 
used to assign points. Up to 104 points (including bonus points and 
points for the court-ordered consideration described in Section 
III(C)(1) and (2) of the General Section of the SuperNOFA) will be 
assigned using these factors.
    (1) Applicant and sponsor eligibility and capacity. HUD will review 
your capacity as the applicant and project sponsor to ensure the 
eligibility and capacity standards in this section are met. If HUD 
determines these standards are not met, the project will be rejected 
from the competition. The eligibility and capacity standards are:
     You must be eligible to apply for the specific program;
     You must demonstrate ability to carry out the project(s). 
With respect to each proposed project, this means that in addition to 
knowledge of and experience with homelessness in general, the 
organization carrying out the project, its employees, or its partners, 
must have the necessary experience and knowledge to carry out the 
specific activities proposed, such as housing development, housing 
management, and service delivery;
     If you or the project sponsors are current or past 
recipients of assistance under a HUD McKinney Act program or the HUD 
Single Family Property

[[Page 9855]]

Disposition Homeless Program, there must have been no delay in 
implementing projects exceeding applicable program timeliness standards 
that HUD determines is within your or the project sponsor's control, 
unresolved HUD finding, or outstanding audit finding of a material 
nature regarding the administration of HUD McKinney Act programs or the 
HUD Single Family Property Disposition Homeless Program; and
     You and the project sponsors must be in compliance with 
applicable civil rights laws and Executive Orders, and must meet the 
threshold requirements of Section II(B) of the General Section of the 
SuperNOFA.
    (2) Project eligibility and quality. HUD will review projects to 
determine if they meet the following eligibility and quality standards. 
If HUD determines the following standards are not met by a specific 
project or activity, the project or activity will be rejected from the 
competition.
     The population to be served must meet the eligibility 
requirements of the specific program, as described in this program 
section;
     At least one of the activities for which assistance is 
requested must be eligible under the specific program, as described in 
the program regulations;
     The housing and services proposed must be appropriate to 
the needs of the persons to be served. HUD may find a project to be 
inappropriate if:

--The type and scale of the housing or services clearly does not fit 
the needs of the proposed participants (e.g., housing homeless families 
with children in the same space as homeless individuals, or separating 
members of the same family, without an acceptable rationale provided);
--Participant safety is not ensured;
--The housing or services are clearly designed to principally meet 
emergency needs rather than helping participants achieve self-
sufficiency;
--Transportation and community amenities are not available and 
accessible; or
--Housing accessibility for persons with disabilities is not provided 
as required by applicable laws;

    An SHP project renewal will be considered as having met this 
requirement through its previously approved grant application.
     The project must be cost-effective in HUD's opinion, 
including costs associated with construction, operations, and 
administration, with such costs not deviating substantially from the 
norm in that locale for the type of structure or kind of activity;
     Supportive services only projects, and all others, must 
show how participants will be helped to access permanent housing and 
achieve self-sufficiency. An SHP renewal will be considered as having 
met this requirement through its previously approved grant application;
     For the Section 8 SRO program, at least 25 percent of the 
units to be assisted at any one site must be vacant at the time of 
application; and
     For those projects proposed under the SHP innovative 
category: Whether or not a project is considered innovative will be 
determined on the basis that the particular approach proposed is new 
within its geographic area, and can be replicated.
    (3) Continuum of Care. HUD will award up to 60 points as follows:
    (a) Process and Strategy. HUD will award up to 30 points based on 
the extent to which your application demonstrates:
     The existence of a coordinated and inclusive community 
process, including organizational structure(s), for developing and 
implementing a Continuum of Care strategy which includes nonprofit 
organizations (such as veterans service organizations, organizations 
representing persons with disabilities, and other groups serving 
homeless persons), State and local governmental agencies, other 
homeless providers, housing developers and service providers, private 
foundations, local businesses and the banking community, neighborhood 
groups, and homeless or formerly homeless persons; and
     That a well-defined and comprehensive strategy has been 
developed which addresses the components of a Continuum of Care system 
(i.e., outreach, intake, and assessment; emergency shelter; 
transitional housing; permanent and permanent supportive housing) and 
that strategy has been designed to serve all homeless subpopulations in 
the community (e.g., seriously mentally ill, persons with multiple 
diagnoses, veterans, persons with HIV/AIDS), including those persons 
living in emergency shelters, supportive housing for homeless persons, 
or in places not designed for, or ordinarily used as, a regular 
sleeping accommodation for human beings.
    (b) Gaps and Priorities. HUD will award up to 20 points based on 
the extent to which your application:
     Describes the gap analysis performed, uses reliable 
information and sources that are presented completely and accurately, 
and establishes the relative priority of homeless needs identified in 
the Continuum of Care strategy; and
     Proposes projects that are consistent with the priority 
analysis described in the Continuum of Care strategy, describes a fair 
project selection process, explains how gaps identified through the 
analysis are being addressed, and correctly completes the priority 
chart.
    When HUD reviews a community's Continuum of Care to determine the 
points to assign, HUD will consider whether the community took its 
renewal needs into account in preparing its project priority list. (See 
discussion on renewals in Section III(A)(2) of this NOFA.)
    (c) Supplemental Resources. HUD will award up to 10 points based on 
the extent to which your application incorporates mainstream resources 
and demonstrates leveraging of funds requested under this program 
section of the SuperNOFA with other resources, including private, other 
public, and mainstream services and housing programs. To achieve the 
highest rating for this factor, applicants must evidence strategies to 
expand access to McKinney and non-McKinney-funded programs by 
coordinating and integrating homeless programs with other mainstream 
health, social services and employment programs for which homeless 
populations may be eligible. These include Medicaid, State Children's 
Health Insurance Program, Temporary Assistance for Needy Families, Food 
Stamps, and services funding through the Mental Health and Substance 
Abuse Block Grant, Workforce Investment Act and the Welfare-to-Work 
grant program.
    (d) EZ/EC bonus points. As provided for in Section III(C)(1) of the 
General Section of this SuperNOFA, HUD will add a bonus of up to 2 
points to the Continuum of Care score when: (1) At least one proposed 
homeless assistance project will be located within the boundaries and/
or will principally serve the residents of a federal Empowerment Zone, 
Enterprise Community, Enhanced Enterprise Community, or Strategic 
Planning Communities (collectively ``EZ/EC''); and (2) if priority 
placement will be given by the project(s) to homeless persons living on 
the streets or in shelters within the EZ/EC, or whose last known 
address was within the EZ/EC. In addition, and in order for a Continuum 
of Care system to receive any of the bonus points, the applicant must 
specifically state how it meets the requirements for the two EZ/EC 
bonus points, and provide a narrative describing the extent of the 
linkages and coordination between proposed projects and the EZ/EC. 
Examples of such

[[Page 9856]]

coordination include having common board or committee membership (EZ/EC 
and Continuum of Care), and having EZ/EC resources directed toward 
Continuum of Care activities. The greater the extent of EZ/EC 
involvement in and coordination with the implementation strategy for 
the Continuum of Care system and projects, the greater the likelihood 
that bonus points will be awarded.
    (e) Court-ordered consideration. Section III(C)(2) of the General 
Section is applicable to this program.
    (4) Need. HUD will award up to 40 points for need. There is a 
three-step approach to determining the need scores to be awarded to 
projects:
    (a) Determining relative need: To determine the homeless assistance 
need of a particular jurisdiction, HUD will use nationally available 
data, including the following factors as used in the Emergency Shelter 
Grants program: Data on poverty, housing overcrowding, population, age 
of housing, and growth lag. Applying those factors to a particular 
jurisdiction provides an estimate of the relative need index for that 
jurisdiction compared to other jurisdictions applying for assistance 
under this program section of the SuperNOFA.
    (b) Applying relative need: HUD will then apply that relative need 
index to the total amount of funding estimated to be available under 
this program section of the SuperNOFA to determine a jurisdiction's pro 
rata need. However, in order to promote permanent housing for the 
homeless, if a Continuum of Care's number one priority project 
qualifies as an eligible, new permanent housing project, then the full 
amount of that project's eligible activities, up to $250,000, will be 
added to the final pro rata need amount for the Continuum. HUD also 
reserves the right to adjust pro rata need, if necessary, to address 
the issue of project renewals.
    (c) Awarding need points to projects: Once the pro rata need is 
established, it is applied against the priority project list in the 
application. Starting from the highest priority project, HUD proceeds 
down the list to award need points to each project. An eligible project 
will receive the full 40 points for need if at least one half of its 
requested amount falls within the pro rata need amount for that 
Continuum of Care (COC). Thereafter, HUD proceeds further down the 
priority project list and awards 20 points for need to each project if 
at least one half of its requested amount falls within the ``second 
tier'' of pro rata need amount for that Continuum of Care. The ``second 
tier'' is the amount between the pro rata need and twice the pro rata 
need for the COC. Remaining projects each receive 10 points. If 
projects are not prioritized for the Continuum, then all projects will 
receive 10 points for Need.
    In the case of competing applications from a single jurisdiction or 
service area, projects in the application that received the highest 
score out of the possible 60 points for Continuum of Care are eligible 
for up to 40 points under Need. Projects in the competing applications 
with lower Continuum of Care scores are eligible for only 10 points 
under Need.
    (5) Ranking. HUD will add the score for Continuum of Care to the 
Need score to obtain a total score for each project. The projects will 
then be ranked from highest to lowest according to the total combined 
score.
    (6) Conditional Selection and Adjustments to Funding.
    (a) Conditional Selection. Whether a project is conditionally 
selected, as described in Section V(B) below, will depend on its 
overall ranking compared to others, except that HUD reserves the right 
to select lower rated eligible projects in order to meet the 30 percent 
overall permanent housing requirement.
    When insufficient funds remain to fund all projects having the same 
total score, HUD will first fund permanent housing projects if 
necessary to achieve the 30 percent overall permanent housing 
requirement. HUD will then break ties among the remaining projects with 
the same total score by comparing scores received by the projects for 
each of the following scoring factors, in the order shown: Need, 
Overall Continuum of Care (COC) score, COC Process and Strategy, COC 
Gaps and Priorities, and COC Supplemental Resources. The final tie-
breaking factor is the priority number of the competing projects on the 
applicable COC priority list(s).
    (b) Adjustments to Funding. The Secretary of HUD has determined 
that geographic diversity is appropriate to carrying out homeless 
assistance programs in an effective manner. HUD believes that 
geographic diversity can be achieved best by awarding grants to as many 
COCs as possible. To this end, in instances where any of the 50 States, 
the District of Columbia, the Commonwealth of Puerto Rico, Guam, the 
Northern Mariana Islands, the Virgin Islands, and American Samoa does 
not have at least one funded COC, HUD reserves the right to fund 
eligible project(s) receiving 40 Need points in the COC with the 
highest total score in that jurisdiction. To qualify for funding, the 
total score for these first tier projects on the COC priority list must 
be at least 70 points. In the case of two or more COCs with the same 
total score, HUD will use the tie-breaking rules described above. In 
addition, if the highest priority project passing threshold 
requirements within a COC fails to meet the criteria for receiving 40 
Need points, HUD reserves the right to reduce the total requested 
amount for that project to allow it to qualify for 40 Need points. HUD 
may otherwise adjust funding of applications in accordance with the 
provisions of Section III(E) of the General Section of the SuperNOFA. 
In addition, HUD reserves the right to ensure that a project that is 
applying for, and eligible for, selection under this competition is not 
awarded funds that duplicate activities.
    (7) Additional selection considerations. HUD also will apply the 
limitations on funding described below in making conditional 
selections.
    In accordance with the appropriation for homeless assistance grants 
in the Fiscal Year 2000 Appropriation Act for HUD (Pub.L. 106-24, 
approved October 20, 1999; 113 Stat. 1047), HUD will use not less than 
30 percent of the total FY 2000 homeless grant assistance appropriation 
to fund projects that meet the definition of permanent housing. 
Projects meeting the definition of permanent housing are: (1) new 
Shelter Plus Care projects; (2) Shelter Plus Care renewal projects; (3) 
Section 8 SRO projects; and (4) new and renewal projects designated as 
permanent housing for homeless persons with disabilities under the 
Supportive Housing Program. Since the FY 2000 homeless grant assistance 
appropriation is $1.020 billion, not less than $306 million must be 
awarded to permanent housing projects unless an insufficient number of 
approvable permanent housing projects is submitted in which case HUD 
will carry over the amount of the permanent housing funding shortfall 
to next year's competition. This permanent housing funding requirement 
may result in higher scoring non-permanent housing projects being 
skipped over to fund lower scoring permanent housing projects or, 
within a continuum, higher priority non-permanent housing projects 
being skipped over to fund lower priority permanent housing projects.
    In accordance with section 429 of the McKinney Act, HUD will award 
Supportive Housing funds as follows: not less than 25 percent for 
projects that primarily serve homeless families with children; not less 
than 25 percent for projects that primarily serve homeless persons with 
disabilities; and not less than 10 percent for supportive services not 
provided in conjunction with supportive housing. After projects are

[[Page 9857]]

rated and ranked, based on the factors described above, HUD will 
determine if the conditionally selected projects achieve these minimum 
percentages. If not, HUD will skip higher-ranked projects in order to 
achieve these minimum percentages.
    In accordance with section 463(a) of the McKinney Act, as amended 
by the Housing and Community Development Act of 1992, at least 10 
percent of Shelter Plus Care funds will be awarded for each of the four 
components of the program: Tenant-based Rental Assistance; Sponsor-
based Rental Assistance; Project-based Rental Assistance; and Section 8 
Moderate Rehabilitation of Single Room Occupancy Dwellings for Homeless 
Individuals (provided there are sufficient numbers of approvable 
projects to achieve these percentages). After projects are rated and 
ranked, based on the factors described above, HUD will determine if the 
conditionally selected projects achieve these minimum percentages. If 
necessary, HUD will skip higher-ranked projects in order to achieve 
these minimum percentages.
    In accordance with section 455(b) of the McKinney Act, no more than 
10 percent of the assistance made available for Shelter Plus Care in 
any fiscal year may be used for programs located within any one unit of 
general local government. In accordance with section 441(c) of the 
McKinney Act, no city or urban county may have Section 8 SRO projects 
receiving a total of more than 10 percent of the assistance made 
available under this program. HUD is defining the 10 percent 
availability this fiscal year as $10 million for Shelter Plus Care and 
$10 million for Section 8 SRO. However, if the amount awarded under 
either of these two programs exceeds $100 million, then the amount 
awarded to any one unit of general local government (for purposes of 
the Shelter Plus Care program) or city or urban county (for the 
purposes of the SRO program) could be up to 10 percent of the actual 
total amount awarded for that program.
    Lastly, HUD reserves the right to reduce the amount of a grant if 
necessary to ensure that no more than 10 percent of assistance made 
available under this program section of the SuperNOFA will be awarded 
for projects located within any one unit of general local government or 
within the geographic area covered by any one Continuum of Care. If HUD 
exercises a right it has reserved under this program section of the 
SuperNOFA, that right will be exercised uniformly across all 
applications received in response to this program section of the 
SuperNOFA.
    (B) Action on Conditionally Selected Applications. HUD will notify 
conditionally selected applicants in writing. As necessary, HUD will 
subsequently request them to submit additional project information, 
which may include documentation to show the project is financially 
feasible; documentation of firm commitments for cash match; 
documentation showing site control; information necessary for HUD to 
perform an environmental review, where applicable; and such other 
documentation as specified by HUD in writing to the applicant, that 
confirms or clarifies information provided in the application. HUD will 
notify SHP, SRO, S+C and S+C/SRO applicants of the deadline for 
submission of such information. If an applicant is unable to meet any 
conditions for fund award within the specified timeframe, HUD reserves 
the right not to award funds to the applicant, but instead to either: 
use them to select the next highest ranked application(s) from the 
original competition for which there are sufficient funds available; or 
add them to funds available for the next competition for the applicable 
program.

VI. Application Submission Requirements

    The application kit provides the application materials, including 
Form SF-424 and certifications, that must be used in applying for 
homeless assistance under this SuperNOFA. These application materials 
substitute for the forms, certifications, and assurances listed in 
Section II(G) of the General Section of the SuperNOFA (collectively, 
the ``standard'' forms).
    In addition to the required narratives, the items that you must 
submit to HUD as part of the application for homeless assistance 
funding are as the following. The standard forms can be found in 
Appendix B to the General Section of the SuperNOFA. The remaining forms 
(i.e., excluding such items as narratives), referred to as the non-
standard forms can be found as Appendix B to this program section of 
the SuperNOFA):
    1. 2000 Application Summary Form.
    2. Continuum of Care and Project Exhibits.
    3. Gaps Analysis Form.
    4. Project Priorities Form.
    5. Project Leveraging Form.
    6. EZ/EC Certification.
    7. SF-424.
    8. Applicant Certifications.
    9. Consolidated Plan Certification(s).
    The application requires a description of the Continuum of Care 
system and the proposed project(s). To ensure that no applicant is 
afforded an advantage in the rating of the Continuum of Care element 
(described in Section V(A)(3) above), HUD is establishing a limitation 
of 25 pages, excluding required multiple page tables or charts but 
including any attachments, on the length of Exhibit 1 of any 
application submitted in response to this NOFA. HUD will not consider 
the contents of any pages exceeding this limit when rating the 
Continuum of Care element of any application. The application kit also 
contains certifications that the applicant will comply with fair 
housing and civil rights requirements, program regulations, and other 
Federal requirements, and (where applicable) that the proposed 
activities are consistent with the HUD-approved Consolidated Plan of 
the applicable State or unit of general local government, including the 
Analysis of Impediments to Fair Housing Choice and the Action Plan to 
address these impediments. Projects funded under this SuperNOFA 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), the Americans with 
Disabilities Act of 1990 (42 U.S.C. 12101 et seq.), Title VI of the 
Civil Rights Act of 1964 (42 U.S.C. 2000d), Section 109 of the Housing 
and Community Development Act of 1974 (42 U.S.C. 5301) or the Age 
Discrimination Act of 1974 (42 U.S.C. 6101). Section II(D) of the 
General Section of this SuperNOFA regarding Affirmatively Furthering 
Fair Housing does not apply to the Continuum of Care Homeless 
Assistance programs.
    There are three options for submitting an application under this 
program section of the SuperNOFA.
    One: A ``Consolidated Application'' is submitted when a 
jurisdiction (or a consortium of jurisdictions) submits a single 
application encompassing a Continuum of Care strategy and containing 
all the projects within that strategy for which funding is being 
requested. Individual projects are contained within the one 
consolidated application. Grant funding may go to one entity which then 
administers all funded projects submitted in the application, or under 
this option, grant funding may go to all or any of the projects 
individually. Your application will specify the grantee for each 
project.
    Two: ``Associated Applications'' are submitted when applicants plan 
and organize a single Continuum of Care

[[Page 9858]]

strategy which is adopted by project sponsors or operators who choose 
to submit separate applications for projects while including the 
identical Continuum of Care strategy. In this case, project funding 
would go to each successful applicant individually and each would be 
responsible to HUD for administering its separate grant.
    Three: A ``Solo Application'' is submitted when an applicant 
applies for a project exclusive of participation in any community-wide 
or region-wide Continuum of Care development process.
    Options one and two are not substantively different and will be 
considered equally competitive. Applicants are advised that projects 
that are not a part of a Continuum of Care strategy will receive few, 
if any, points under the Continuum of Care rating factors.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications (See Section V of the General 
Section).

VIII. Environmental and Local Resident Employment Requirements

    (A) Environmental Requirements. All Continuum of Care assistance is 
subject to the National Environmental Policy Act of 1969 and related 
Federal environmental authorities. No Federal or non-Federal funds or 
assistance that limits reasonable choices or could produce a 
significant adverse environmental impact may be committed to a project 
until all required environmental reviews and notifications have been 
completed. Conditional selection of projects under the Continuum of 
Care Program is subject to the environmental review requirements under 
24 CFR 582.230, 583.230, and 882.804(c), as applicable.
    (B) Local Resident Employment. To the extent that any housing 
assistance (including rental assistance) funded through this program 
section of the SuperNOFA is used for housing rehabilitation (including 
reduction and abatement of lead-based paint hazards, but excluding 
routine maintenance, repair, and replacement) or housing construction, 
then it is subject to section 3 of the Housing and Urban Rehabilitation 
Act of 1968, and the implementing regulations at 24 CFR part 135. 
Section 3, as amended, requires that economic opportunities generated 
by certain HUD financial assistance for housing and community 
development programs shall, to the greatest extent feasible, be given 
to low- and very low-income persons, particularly those who are 
recipients of government assistance for housing, and to businesses that 
provide economic opportunities for these persons.

IX. Authority

    The Supportive Housing Program is authorized by title IV, subtitle 
C, of the Stewart B. McKinney Homeless Assistance Act (McKinney Act), 
42 U.S.C. 11381. Funds made available under this program section of the 
SuperNOFA for the Supportive Housing Program are subject to the program 
regulations at 24 CFR part 583.
    The Shelter Plus Care program is authorized by title IV, subtitle 
F, of the McKinney Act, 42 U.S.C. 11403. Funds made available under 
this program section of the SuperNOFA for the Shelter Plus Care program 
are subject to the program regulations at 24 CFR part 582.
    The Section 8 Moderate Rehabilitation Program for Single Room 
Occupancy Dwellings for Homeless Individuals (SRO) is authorized by 
section 441 of the McKinney Act, 42 U.S.C. 11401. Funds made available 
under this NOFA for the SRO program are subject to the program 
regulations at 24 CFR part 882, subpart H.

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[[Page 9867]]



FUNDING AVAILABILITY FOR THE HOUSING OPPORTUNITIES FOR PERSONS WITH 
AIDS (HOPWA) PROGRAM

Program Overview

    Purpose of the Program. To provide States and localities with the 
resources and incentives to devise long-term comprehensive strategies 
for meeting the housing and related supportive service needs of persons 
with HIV/AIDS and their families.
    Available funds. Approximately $23,026,000 (and under a related 
part of this SuperNOFA, up to $1,740,000 for technical assistance for 
the HOPWA program).
    Eligible Applicants. (1) States, units of general local government, 
and nonprofit organizations for grants for Special Projects of National 
Significance (SPNS) grants.
    (2) States and units of general local government may apply for 
projects under the Long-Term category of grants, if activities will 
serve areas that were not eligible for HOPWA formula allocations in 
Fiscal Year 2000. Appendix A in this program section of the SuperNOFA 
identifies the formula areas.
    Application Deadline. May 23, 2000.
    Match. None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. You must submit applications on or before 
12:00 midnight, Eastern time, on May 23, 2000, at HUD Headquarters.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of an original signed application and two copies. Submit the 
original application to: Department of Housing and Urban Development, 
451 Seventh Street, SW, Room 7251, Washington, DC 20410. The original 
application submitted to HUD headquarters is considered the official 
application.
    Submit the two (2) copies of your application to the area CPD Field 
Office or Offices that serve the area in which activities are proposed. 
For multi-state efforts you must submit two copies of your application 
to the Field Office that serves your main office. The list of addresses 
for area CPD Field Offices is provided as Appendix B of this program 
section of this SuperNOFA. If you propose nationwide activities, you 
must send all copies to the HUD headquarters office. When submitting 
your applications, please refer to HOPWA, and include your name, 
mailing address (including zip code), facsimile and telephone number 
(including area code).
    For Application Kits. Although you may begin working on your 
application with the materials provided in this program section of the 
SuperNOFA and its appendixes, for an application kit, please call the 
SuperNOFA Information Center at 1-800-HUD-8929 (1-800-483-8929). 
Persons with hearing or speech impairments may call the Center's TTY 
number at 1-800-HUD-2209 (1-800-483-2209). The application kit also 
will be available on the Internet through the HUD web site at http://www.hud.gov.
    For Further Information and Technical Assistance. You may call the 
HUD Field Office serving your area, at the telephone number shown in 
the application kit for this program, or you may contact the Community 
Connections Information Center at 1-800-998-9999 (voice) or 1-800-483-
2209 (TTY) or by Internet at: http://www.comcon.org/ccprog.html.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    Approximately $23,026,000 is being made available for funding under 
this program section of the SuperNOFA. Additional funds may be awarded 
if funds are recaptured, deobligated, appropriated or otherwise made 
available during the fiscal year.
    (A) Maximum Grant Amounts. The maximum amount that you may receive 
is $1,200,000 for program activities (e.g., activities that directly 
benefit low-income persons living with HIV/AIDS and their families). 
You may also add-on up to 3 percent of this program activities amount 
for grantee administrative costs and, if your program involves project 
sponsors, add-on up to 7 percent for their administrative costs. In 
addition, up to $50,000 may be requested to collect data on project 
outcomes. HUD reserves the right to reduce the amount requested for 
data collection on project outcomes in relation to the amount requested 
for program activities.
    (B) Award Modifications. See the General Section of this SuperNOFA 
for information with regard to adjustments to funding. HUD also 
reserves the right to ensure that activities funded under the FY 2000 
Continuum of Care will not duplicate activities funded under this 
competition.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. Funds under this program are to be used to 
support the Department's national goal of increasing the availability 
of decent, safe, and affordable housing in American communities. The 
statutory purpose of the HOPWA program is ``for meeting the housing 
needs of persons'' with HIV/AIDS and their families and planned 
activities must address this purpose. HOPWA funds projects to provide 
housing and related supportive services for low-income persons with 
HIV/AIDS and their families under two categories of assistance:
    (1) Grants for Special Projects of National Significance (SPNS) 
that, due to their innovative nature or their potential for 
replication, are likely to serve as effective models in addressing the 
housing and related supportive service needs of low-income persons 
living with HIV/AIDS and their families. Under this program section of 
the SuperNOFA, HUD will set-aside up to 40% of the funds allocated to 
SPNS to projects targeting underserved populations as defined in 
Section (D); and
    (2) Grants for projects that are part of Long-Term Comprehensive 
Strategies (Long-Term) which provide housing and related supportive 
services for low-income persons living with HIV/AIDS and their families 
in areas that are not eligible for HOPWA FY 2000 formula allocations 
found in Appendix A of this program section of this SuperNOFA.
    (B) Eligible Applicants and Project Sponsors. (1) States, units of 
general local government, and nonprofit organizations may apply for 
grants for Special Projects of National Significance;
    (2) States and units of general local government may apply for 
grants for projects under the Long-Term category of grants, if proposed 
activities will serve areas that were not eligible to receive HOPWA 
formula allocations in Fiscal Year 2000. A list of the formula areas 
and a list of the areas not eligible to receive HOPWA Formula funds, 
can be found in Appendix A of this program section of this SuperNOFA. 
Nonprofit

[[Page 9868]]

organizations are not eligible to apply directly for the Long-Term 
grants but may serve as a project sponsor for an eligible State or 
local government grantee. You must identify your project sponsors in 
your application.
    (3) Nonprofit organizations must have appropriate credentials, in 
accordance with HOPWA regulations at 24 CFR 574.3. If you are a 
nonprofit organization, to be an eligible applicant or project sponsor, 
you must either:

--Have, by the application due date, an IRS ruling that grants you tax 
exempt status under section 501(c)(3) of the Internal Revenue Code; or
--Provide documentation that shows that your organization satisfies the 
criteria in the statutory definition of nonprofit organization in 42 
USC 12902(13)

    The statutory definition reads:
    The term ``nonprofit organization'' means any nonprofit 
organization (including a State or locally chartered, nonprofit 
organization) that--(i) is organized under State or local laws; (ii) 
has no part of its net earnings inuring to the benefit of any member, 
founder, contributor, or individual; (iii) complies with standards of 
financial accountability acceptable to the Secretary; and (iv) has 
among its purposes significant activities related to providing services 
or housing to persons with acquired immunodeficiency syndrome or 
related diseases.
    HUD interprets the use of the term ``related diseases'' in this 
definition to include HIV infection.
    Adequate documentation of nonprofit status includes the following:
    (a) In lieu of an 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) In lieu of documentation under section 501(c)(3), documentation 
of an IRS ruling of tax exempt status under section 501(c)(4), (6), 
(7), (9), or (19);
    (c) Documentation of satisfying the statutory criteria by 
submitting the following four items:
    (i) Certification by an appropriate official of the jurisdiction 
under whose laws the nonprofit organization was organized that your 
organization was so organized and is in good standing;
    (ii) Documentation that your organization is a certified United Way 
member agency or other documentation that shows that no inurement of 
benefits to the managers of your organization occurs;
    (iii) Documentation from a CPA or Public Accountant that your 
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 (ii); and
    (iv) A certified copy of your nonprofit organization's articles of 
incorporation, by-laws, statement of purposes, board of director's 
resolution or a similar document that includes a provision 
demonstrating its purpose regarding significant activities for persons 
living with HIV/AIDS.
    If your organization does not provide the requested documentation, 
you are not eligible to receive funds and serve as the grantee or as a 
project sponsor. However, you may collaborate with eligible nonprofit 
organizations 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. In addition, you may do work under contract with a grantee 
for services funded by this grant.
    (C) Eligible Activities. (1) The following eligible activities are 
subject to standards and limitations found in 24 CFR part 574.
    (a) Housing information services (including fair housing 
counseling).
    (b) Project-based or tenant-based rental assistance.
    (c) New construction of a community residence or SRO dwelling.
    (d) Acquisition, rehabilitation, conversion, lease or repair of 
facilities to provide housing and services.
    (e) Operating costs for housing.
    (f) Short-term rent, mortgage and utility payments to prevent 
homelessness.
    (g) Supportive services. Many of the clients who will be served by 
the HUD program covered by this NOFA may need services in addition to 
housing. It is important that you design programs which enhance access 
to those needed services, including access to health-care, AIDS drug 
assistance, and other services funded through the Ryan White CARE Act 
or other Federal, State, local or private funds. While HUD recognizes 
that there are many ways to ensure that clients receive the services 
they need, to the extent possible, the Department encourages you to 
develop housing programs which do not require participation in services 
as a part of your or your project sponsor's tenancy requirements.
    (h) Administrative expenses (see limits for grantees and sponsors).
    (i) Resource identification to establish, coordinate and develop 
housing assistance resources and technical assistance in establishing 
and operating a community residence. HUD will not select under this 
notice an application that is primarily directed at providing these 
activities, since national HOPWA technical assistance funds are being 
made available under the Community Development Technical Assistance 
(CDTA) part of this notice for this purpose. You may propose a resource 
identification or technical assistance component in your application, 
if the amount of funds designated for these activities are less than 20 
percent of the proposed program activity costs; and
    (j) As authorized by the statute, you may propose other activities 
in your application, if approved by HUD, including data collection on 
project outcomes, as described below in paragraph (2). HUD will not 
approve proposals that depend on future decisions on how funds are to 
be used, for example, a proposal to establish a local request-for-
proposal process to select activities or project sponsors. You must 
identify your project sponsors at the time of the application.
    (2) You may request up to $50,000 to collect information and report 
to HUD, or a third party designated by HUD, on project outcomes. If you 
requested these funds, you must propose data collection activities in 
your application. The persons who will conduct these activities may 
include an expert third-party. Project outcome activities include:
    (a) Defining monitoring questions that will be addressed and 
examined during the project period;
    (b) Specifying outcome measures;
    (c) Developing instruments to assess project outcomes and systems 
outcomes;
    (d) Training project staff in the collection of data;
    (e) Monitoring data collection activities to assure that 
submissions are complete and accurate, including data coding and entry;
    (f) Summarizing data collected; and
    (g) Preparing reports summarizing findings, including the standard 
HOPWA Annual Progress Report.
    (D) Targeting Resources to Underserved Populations. The Department 
has been advised by persons living with HIV/AIDS, HIV/AIDS housing 
providers, and national organizations, of the continuing disparity in 
accessing health-care and HIV/AIDS treatment among underserved 
populations, such as, racial and ethnic minority populations, women, 
and persons living in rural areas. In an effort

[[Page 9869]]

to meet this continuing need and diversify the number and type of 
organizations that have traditionally received HOPWA funding, the 
Department is encouraging collaborations among community-based 
organizations for providing housing assistance and/or technical 
assistance to better serve underserved populations on a national, 
regional, or local level.
    Collaborations pair organizations that are experienced in 
developing or operating housing facilities and housing assistance 
programs with community-based organizations that provide services or 
use culturally-sensitive efforts to reach persons in underserved 
communities, but may have little or no experience in meeting the 
housing needs of persons living with HIV/AIDS. This team approach is 
expected to: (1) strengthen the organization--improve capacity to 
develop, operate, manage, and evaluate housing assistance programs for 
persons living with HIV/AIDS; (2) serve underserved populations--help 
reach underserved populations in areas that lack housing and health 
care infrastructure; and (3) Increase Planning--develop holistic 
community approaches to better coordinate housing and related services 
in communities impacted by HIV and AIDS. Note: All assistance provided 
to targeted underserved communities must be in accordance with the 
requirements of the Fair Housing Act. In order to support these 
collaborations and to encourage new collaborations to receive HOPWA 
funding, up to 40% of the funds targeted toward SPNS applications will 
be awarded to applications with these collaborations to serve 
underserved populations.
    To be considered as a collaboration, in your application you must:
     Identify and evidence the experience of all collaborating 
organizations as detailed under Rating Factor 1 of this program section 
of the SuperNOFA in the Capacity of the Applicant and Project Sponsors 
and Relevant Organizational Experience section of your application;
     Identify the underserved population and evidence in the 
Description of Unmet Need section of your application as detailed under 
Rating Factor 2 that substantial housing and related service needs of 
the identified underserved population living with HIV/AIDS and their 
families are not being met in the area. For the purposes of this 
program NOFA, the Department has defined underserved populations as 
low-income populations living with HIV/AIDS and their families, such as 
racial or ethnic minority groups, women, persons living in rural areas, 
or other underserved groups as determined by your service area, whose 
housing and related service needs are not currently being met in the 
service area. To meet the program definition of underserved group, you 
must show the unmet need in the provision of housing and related 
supportive services for the identified underserved population in your 
service area by presenting reliable statistics and data sources (i.e. 
Census, health department statistics, research, scientific studies, and 
Needs Analysis of Consolidated Plan and/or Continuum of Care 
documentation). HUD will consider your presentation of statistics and 
data sources based on soundness and reliability and the specificity of 
information to the underserved population and the area to be served; 
and
     Evidence the method, by which your plans will, as defined 
above, strengthen the organization, serve underserved populations, 
increase planning, and support fair housing in the Soundness of 
Approach section of your application as detailed under Rating Factor 3 
of this program section of the SuperNOFA.
    If HUD determines that the application fails to meet the above 
considerations, the application will not be considered for funding 
under the 40 percent of SPNS funds allocated for collaborative projects 
targeting underserved populations. HUD will consider the application 
under the remaining SPNS category.

IV. Program Requirements

    (A) Performance Measures and Project Goals and Objectives. You must 
use HUD's required performance measures that will show your 
accomplishments in using HOPWA funds to expand the housing options that 
benefit low-income persons with HIV/AIDS and their families. You may 
also establish individual goals and objectives for your proposal. They 
should be specific, achievable and measured within set time periods. 
Your individual goals and objectives should result in possible findings 
on the successes and lessons learned in undertaking your activities 
that would be shared with other communities. In designing your 
proposal, please use the following:
    (1) Required HOPWA national performance goal. Your proposed 
activities must:
    Increase the amount of housing assistance and related supportive 
services to low-income persons living with HIV/AIDS and their families 
to enable them to achieve housing stability and access to health-care 
and related supportive services.
    (2) Measure your performance. After each year of operation, you 
must report on the number of short-term and permanent housing units 
that were provided with HOPWA funding, and number of additional persons 
served with related supportive services. HUD will measure your progress 
and achievements in evaluating your performance on your HOPWA grant. 
Examples of reporting performance measures are:
    (a) In your community over the last year, a transitional housing 
facility providing 5 units of housing was operated with HOPWA funds. 
Residents also received drug and/or alcohol abuse treatment and 
counseling by qualified staff. During that year, ten persons resided in 
the facility and benefited from the intense on-site assistance, which 
also included helping them develop and follow a plan to find permanent 
housing and continue treatment after leaving the facility, including 
monthly phone contacts or visits by staff; and
     (b) Over the last 12 months, a nonprofit organization distributed 
tenant-based rental assistance vouchers to 15 households within your 
three-county metropolitan area. The vouchers provided for on-going 
housing assistance (up to three years) and the program advised the 
clients on tenant-landlord issues and arranged for housing quality 
standard inspections of the apartments selected. A case manager who is 
funded under the Ryan White CARE Act program, advised the tenants and 
helped them access health-care and other services from providers in 
this community. During this year, 22 persons received permanent housing 
assistance with HOPWA funds and for three of these families who were 
unable to find housing within 30 days, additional efforts were made and 
an appropriate apartment was located and used.
    (B) Performance Benchmarks. Funds received under this competition 
are expected to be expended within 3 years following the effective date 
of a grant agreement. You will be expected to meet the following 
performance benchmarks:
    (1) If you acquire or lease a site, you are required to gain site 
control within one year of your selection (i.e, one year from the date 
of the signing of your selection letter by HUD);
    (2) If you propose to use HOPWA funds to undertake rehabilitation 
or new construction activities, you are required to begin the 
rehabilitation or construction within 18 months of your selection and 
to complete that activity within 3 years from the date of your 
selection letter by HUD; and

[[Page 9870]]

    (3) You are requested to provide an initial report to the Field 
Office and the Headquarters on the startup of the planned activities 
within six months of your selection. Please outline any accomplishments 
in implementing the funds along with identifying any barriers or issues 
for which the Department may provide assistance.
    Except as noted in paragraph (2) for rehabilitation or construction 
activities, you must begin to operate your program within one year from 
your selection. If a selected project does not meet the appropriate 
performance benchmark, HUD reserves the right to cancel or withdraw the 
grant funds.
    (C) Descriptive Budget. You must provide a description of each of 
your requested budget items and how the funds will be used, including 
each amount of requested funding for you and your project sponsors, and 
a description of how each line item will relate to eligible HOPWA 
activities as defined in Section III(C), of this program section of the 
SuperNOFA. You are expected to match requested funds to specific goals 
and objectives in your project. See Appendix C of this program section 
of the SuperNOFA.
    (D) Availability of FY 2000 Formula Allocations. You are also 
encouraged to consider seeking funds for your proposed activities under 
the formula component of the HOPWA program and from other resources 
that are made available in communities. Ninety (90) percent of the 
HOPWA program is allocated by formula and recipient States and cities 
are required to consult with the public on designing the use of these 
funds. In FY 2000, a total of $207.234 million was allocated by formula 
to the qualifying cities for 67 eligible metropolitan statistical areas 
(EMSAs) and to 34 eligible States for areas outside of EMSAs. All HOPWA 
formula grants are available as part of the jurisdiction's Consolidated 
Plan, which also includes the Community Development Block Grant, HOME 
Investment Partnerships program, and Emergency Shelter Grants. Plans 
are developed through a public process that assesses area needs, 
creates a multiple-year strategy and proposes an action plan for use of 
Federal funds and other community resources in a coordinated and 
comprehensive manner. Information on consolidated planning, including 
HOPWA formula programs and descriptions of previously awarded 
competitive grants, is available on the HUD HOME Page at www.hud.gov.
    (E) Availability of National HOPWA Technical Assistance. If you are 
interested in providing technical assistance activities with HOPWA 
funds, submit an application for funds under the Community Development 
Technical Assistance (CDTA) part of this notice, which is published 
elsewhere in this SuperNOFA. The CDTA notice provides up to $1,740,000 
in HOPWA funds to organizations for technical assistance support on a 
national or regional basis.

V. Application Selection Process

    (A) HOPWA Application Reviews. HUD will review your HOPWA 
application to ensure that:
    (1) Your application meets the threshold requirements found in the 
General Section of the SuperNOFA;
    (2) A Certification of Consistency with Consolidated Plans is 
provided as Appendix C to this program section of the SuperNOFA. Under 
the HOPWA program, proposed activities that are located in a 
jurisdiction are required to be consistent with the jurisdiction's 
current, approved Consolidated Plan, including the Analysis of 
Impediments to Fair Housing choice and the Action Plan to address these 
impediments, except that this certification is not required for 
projects that propose to undertake activities on a national basis; and
    (3) You are currently in compliance with the Federal requirements 
contained in 24 CFR part 574, subpart G, ``Other Federal 
Requirements.''
    (B) The HOPWA Competition. This national competition will involve 
the review, rating, and selection of HOPWA applications under each of 
the two categories of assistance Special Projects of National 
Significance (SPNS) and Long-Term Comprehensive Strategies (Long-Term) 
in areas that do not qualify for HOPWA formula allocations.
    (C) Procedures for the Rating of Applications. HUD will rate all 
HOPWA applications based on the criteria listed below.
    (D) Factors For Award Used to Evaluate and Rate Applications. The 
factors for rating and ranking your application, and the maximum points 
for each factor, are provided below. The points awarded for the factors 
total 100. In addition, bonus points for projects in EZ/EC areas and by 
the City of Dallas may be available under Section III(C)(2) of the 
General Section of this SuperNOFA apply to this competition. After 
rating, all applications will be placed in the rank order of their 
final score for selection within the appropriate category of 
assistance.

Rating Factor 1: Capacity of the Applicant and Project Sponsors and 
Relevant Organizational Experience (20 Points)

    Please address the following factor on not more than five (5) 
double-spaced, typed pages. This factor addresses the extent to which 
you and any project sponsor has the organizational resources necessary 
to successfully implement your proposed activities in a timely manner. 
If you will be using project sponsor(s) in your project, you must 
identify each project sponsor in your application. HUD will award up to 
20 points based on your and any project sponsor's ability to develop 
and operate your 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.
    (1) With regard to both you and any 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 your application;
    (c) Experience and knowledge in monitoring and evaluating program 
performance and disseminating information on project outcomes; and
    (d) Past experience as measured by expenditures and measurable 
progress in achieving the purpose for which funds were provided.
    (2) In reviewing the elements of paragraph (1), HUD will consider 
the extent to which your proposal demonstrates:
    (a) The knowledge and experience of the proposed project director 
and staff, including the day-to-day program manager, consultants and 
contractors in planning and managing the kind of activities for which 
you are requesting funds. You and any project sponsor will be judged in 
terms of recent, relevant and successful experience of staff to 
undertake eligible program activities, including experience and 
knowledge in serving persons with HIV/AIDS and their families.
    (b) Your and/or the sponsor's experience in managing complex 
interdisciplinary programs, especially those involving housing and 
community development programs directly relevant to the work activities 
proposed and carrying out grant management responsibilities.
    (c) If you and/or the sponsor received funding in previous years in 
the program area for which you are currently seeking funding, you and 
your sponsor's past experience will be

[[Page 9871]]

evaluated in terms of the ability to attain demonstrated measurable 
progress in the implementation of your recent grant awards. Measurable 
progress is defined as:
    (i) Meeting performance benchmarks, as applicable, in program 
development and operation;
    (ii) Meeting project goals and objectives, such as, that the number 
of persons assisted was comparable to the number that was planned at 
the time of application;
    (iii) Submitting timely performance reports; and
    (iv) Expending 80% of prior funding by the application due date of 
this program section of the SuperNOFA.

Rating Factor 2: Need/Extent of the Problem (20 Points)

    Please address the following factor on not more than five (5) 
double-spaced, typed pages. This factor addresses the extent to which 
there is a need for funding the proposed program activities and an 
indication of the urgency of meeting the need in the target area. Up to 
20 points will be awarded for this factor.
    (1) (5 Points) AIDS Cases. Up to five of these points will be 
determined by the relative numbers of AIDS cases and per capita AIDS 
incidence within your service area, in metropolitan areas of over 
500,000 population and in areas of a State outside of these 
metropolitan areas, in the State for proposals involving state-wide 
activities, and in the nation for proposals involving nation-wide 
activities. Your application must define a planned service area. To 
determine these points, HUD will obtain AIDS surveillance information 
from the Director of the Centers for Disease Control and Prevention.
    (2) (5 Points) Description of Unmet Need. Up to five of these 
points will be determined by the extent to which there is a need for 
funding eligible activities in the area to be served. To receive the 
highest ratings in this factor, you must demonstrate that substantial 
housing and related service needs of low-income persons living with 
HIV/AIDS and their families are not being met in the area and that 
reliable statistics and data sources (i.e. Census, health department 
statistics, research, scientific studies, and Needs Analysis of 
Consolidated Plan and/or Continuum of Care documentation) show this 
unmet need. To receive the highest number of points, you also must show 
that your jurisdiction's Consolidated Plan and Analysis of Impediments 
to Fair Housing Choice, Continuum of Care Homeless Assistance plans (if 
homeless persons are to be served), and comprehensive HIV/AIDS housing 
plans are applicable and identify the level of the problem and the 
urgency of the need. Urgent and unmet needs may be demonstrated, as 
follows:
    (a) If you apply for a proposed Special Project of National 
Significance, you must describe a need that is not currently addressed 
by other projects or programs in the area; also describe any unresolved 
or emerging issues, and the need to provide new or alternative forms of 
assistance that, if provided, would enhance your area's programs for 
housing and related care for persons living with HIV/AIDS and their 
families; or
    (b) If you apply for a project that is part of a Long-Term 
Comprehensive Strategy in an area that does not receive a HOPWA formula 
allocation, you must describe the need that is not currently addressed 
by other projects or programs in the area; you must also describe any 
unresolved or emerging issues, and/or the need to provide forms of 
assistance that enhance the community's strategy for providing housing 
and related services to eligible persons.
    HUD will consider your presentation of statistics and data sources 
based on soundness, reliability and the specificity of information to 
the target population and the area to be served. If you propose to 
serve a subpopulation of eligible persons on the basis that these 
persons have been traditionally and are currently underserved (e.g., 
persons with multiple disabilities including AIDS), your application 
must document the need for this targeted effort through statistics and 
data sources that support the need of this population in your service 
area.
    (3) (5 Points) Need in Non-Formula Areas and Need for Renewals. 
Within the points available under this criterion, HUD will award points 
under the following two circumstances:
    (a) Five points will be awarded, if your SPNS application proposes 
to serve clients in an area that does not qualify for HOPWA formula 
allocation; or
    (b) Up to five points will be awarded, if you propose to continue 
the operations of HOPWA funded activities that have been supported by 
HOPWA competitive funds in the year immediately prior to this 
application and that have operated with measurable success. To receive 
the highest ratings in this factor, you must describe what unmet need 
would result if funding for the project was not renewed and describe 
your efforts to secure other sources of funding to continue this 
project. You must also show that you operated with measurable progress 
and your previous HOPWA-funded activities have been carried out and are 
nearing completion of the planned activities in a timely manner. 
Measurable progress is defined as: (i) meeting performance benchmarks, 
as appropriate, in program development and operation, (ii) meeting 
project goals and objectives, such as, that the number of persons 
assisted is comparable to the number that was planned at the time of 
application, (iii) submitting timely performance reports, and (iv) 
expending 80% of prior funding by the application due date of this 
program section of the SuperNOFA.
    (4) (5 Points) Highest Rated in a State or the Nation (for 
nationwide activities). After the other rating factors have been 
determined, HUD will award five of the points to help achieve greater 
geographic diversity in funding activities within a variety of States. 
Under this criterion, five points will be awarded to the highest rated 
SPNS and Long-term applications in each State and to the highest rated 
SPNS application among the applications that propose nationwide 
activities.

Rating Factor 3: Soundness of Approach: Responsiveness and Model 
Qualities (40 Points)

    Please address the following factor on not more than fifteen (15) 
double-spaced, typed pages. This factor addresses the method by which 
your plan meets your identified needs. HUD will award up to 40 points 
based on the extent to which your plan evidences a sound approach in 
its responsiveness to the persons that you will be assisting and how it 
offers model qualities in providing supportive housing opportunities 
for low-income persons living with HIV/AIDS and their families, when 
compared to other applications and projects funded under previous HOPWA 
competitions. The points will be awarded as follows:
    (1) Responsiveness (20 Points). HUD will award up to 20 points 
based on how well your project plan responds to the unmet needs of the 
target population including the specific needs that you identified 
under the Need Criterion with specific goals and objectives for 
providing housing and related supportive services for people living 
with HIV/AIDS and their families. To receive the highest ratings in 
this element, you must offer a plan that evidences the following:
    (a) Your project's goals and objectives. You must describe your 
project's goals and objectives and how you will measure how the project 
is performing under the required HOPWA performance goal, i.e., 
increasing the amount of housing assistance and

[[Page 9872]]

related supportive services to low-income persons living with HIV/AIDS 
and their families to enable them to achieve housing stability and 
access to health-care and supportive services. You are encouraged to 
review Section IV: Program Requirements, Part A: Performance Measures 
and Project Goals and Objectives of this Notice of Funds Available 
(NOFA) when developing your goals and objectives. To receive the 
highest rating your goals should address:
    (i) The projected numbers of persons to be served through each 
activity for each year of your program;
    (ii) The projected number of housing units to be provided through 
your project, (unless you are proposing supportive service only 
activities) and;
    (iii) The specific organizations that will provide housing either 
through an agreement with your organization or through funding from 
your project.
    (b) Your plans for accomplishing these goals and objectives. You 
must demonstrate your methodology for achieving these goals and 
objectives by describing the service delivery model that you intend to 
implement and explain how you will integrate the following items:
    (i) Housing. You must demonstrate how the housing needs of clients 
will be addressed by including: (A) the type and number of units of 
housing to be provided and/or made more appropriate if currently 
available in the community; (B) the names of the project sponsors and/
or organizations providing housing including their roles and 
responsibilities; (C) the connection of any emergency or transitional 
housing in obtaining and maintaining permanent housing; (D) any 
appropriate site features, including accessibility, visitability, and 
access to other community amenities; (E) ensuring clients and their 
families to access health care and other supportive services; (F) 
demonstrating how tenants' rights will be observed and addressed by 
providing safe, decent, and affordable housing through such activities 
as, the delivery of maintenance services, security services, and 
consistency with local and national fair housing laws; (G) 
demonstrating clients participation in decision making in project 
operation and management.
    (ii) Supportive Services. You must describe how the supportive 
service needs of clients will be addressed from HOPWA or other sources 
by including: (A) the type of supportive services that will be offered 
and/or how services will be accessed and coordinated; (B) the names of 
the organizations providing the supportive services; (C) the connection 
of these services in helping clients obtain and/or maintain housing; 
(D) the roles and responsibilities of project sponsors and other 
organizations in undertaking these activities. If you propose to use 
more than 10% of your HOPWA funds for supportive services, emergency or 
transitional housing activities, to receive the highest number of 
rating points, you must address how you will meet your clients' 
permanent housing needs with HOPWA funds or funds from other sources. 
You can fulfill this commitment by allocating funds for housing 
vouchers for HOPWA clients or developing permanent housing with this 
grant or other sources.
    (2) Model Qualities (20 Points). HUD will award up to 20 points 
based on your service delivery model plan and how well it addresses the 
ongoing housing and supportive service needs within a replicable 
operational framework. To receive the highest ratings in this factor, 
you must offer a plan that evidences a permanent housing arrangement 
and the following:
    (a) Operational Procedures. You must describe your program's 
outreach, intake, and assessment procedures, as well as how clients 
will link to services and (if necessary) housing funded from other 
sources and how your project provides for consistent monitoring of all 
clients. You must include within this description how a client moves 
through the program from intake, assessment, service delivery, and 
finally to termination or linkage to other services.
    (b) Project Management and Oversight. You must describe your method 
for coordinating the project sponsors' services whether for housing or 
related supportive services with your staff and volunteers, and any 
other organizations in order to benefit the clients; identify staff 
members who are responsible for described housing and supportive 
service tasks; and the ability of your operations to be self-sustaining 
beyond the life of this grant.
    (c) Descriptive Budget. HUD will rate your budget in describing (i) 
how each amount of requested funding for you and your project sponsors 
will be used; (ii) how each line item will relate to eligible HOPWA 
activities as defined in Section III(C), of this program section of the 
SuperNOFA; and (iii) how specific line items match with the goals and 
objectives in your project.
    (d) Evaluation. Evaluation is defined as your method for collecting 
data on HUD program goals related to housing and related supportive 
services, as well as, your project's unique goals and objectives. HUD 
will assess your method for reviewing this data and other information 
on the program's operations and your basis for making relative 
adjustments based on outcomes and lessons learned from operation of 
your activities. HUD will provide a greater number of points for 
programs which will serve as a national model and which provide for the 
dissemination of information from the lessons learned from your 
proposed activities.
    (e) Innovative Qualities. If you propose a new program, or an 
alternative method of meeting the needs of your clients, you should 
describe the innovative qualities of your activities. HUD will rate 
your applications higher if your justification for these innovations 
provide strong evidence that they will yield qualities that will 
benefit or expand our knowledge in offering assistance to persons 
living with HIV/AIDS and their families, when compared to other 
applications and HOPWA projects funded in the past. In order to learn 
about innovative qualities of previously funded and on-going HOPWA 
projects, please review the HOPWA Executive Summaries for all HOPWA 
formula and competitive grantees at http://www.hud.gov/cpd/hopwahom.html.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure community resources 
which can be combined with HUD's program resources to achieve program 
purposes. HUD will award up to 10 points based on the extent to which 
resources from other public or private sources have been committed at 
the time of application, to support your project. To achieve the 
highest ratings for this factor, you must evidence commitments of 
leveraged resources that match or exceed the amount of HOPWA funds that 
are requested.
    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 your grant. In 
evaluating this factor HUD will also consider:
    (1) The extent to which you document leveraged resources, such as 
funding and/or in-kind services from governmental entities, private 
organizations, resident management organizations, educational 
institutions, or other entities to achieve the purposes

[[Page 9873]]

of the project for which you are requesting HOPWA funds.
    (2) The extent to which the documented resources evidence that you 
have partnered with other entities to make more effective use of 
available public or private resources. Partnership arrangements may 
include funding or in-kind services from local governments or 
government agencies, nonprofit or for-profit entities, private 
organizations, educational institutions, or other entities that are 
willing to partner with you on proposed activities, or partnering with 
other program funding recipients to make more effective use of 
resources within the geographic area covered by your award.
    To receive highest leveraging points, you must document the cash 
value of leveraged resources pledged to your project(s). Appropriate 
language is described below:
    (i) Applicant or Third Party Cash Resources. If this proposal is 
funded, (applicant name or third party name) commits $(amount) (of its 
own funds, if applicant, or to applicant name, if third party) for 
(type of activity) to be made available to the HOPWA program. These 
funds will be available from (date) to (date). (Signature and Title of 
authorized representative and date).
    (ii) Non-Cash Resources. If this proposal is funded, 
(organization's name) commits to make available (type of resource) 
valued at $(amount) to the HOPWA program proposed by (applicant name). 
These resources will be made available to the HOPWA program from (date) 
to (date). (Signature and Title of authorized representative and date) 
The donation of a third party professional service should be valued at 
the professional's customary charge. The value of materials to be 
contributed to the project by a third party or by the applicant may 
also be counted as leveraging.
    (iii) Volunteer Time. If this proposal is funded, (name of the 
organization or of self), commits to provide (number of hours) of 
volunteer time from (date) to (date) to provide (type of activity) to 
the HOPWA program proposed by (applicant name). The total value of 
these services, based on $10.00 per hour, is $(amount). (Signature and 
Title, and date) Time to be contributed to the project by volunteers 
should be valued at $10.00 per hour. In the case of individuals 
volunteering their time directly to the applicant, the applicant should 
list itself as the organization.
    (iv) Contribution of a Building. If this proposal is funded, 
(applicant name) pledges the building at (site address) to the HOPWA 
program. The building has a fair market value of $(amount). A licensed 
independent real estate appraiser made this assessment which is based 
on comparable properties in the area. (Signature of applicants 
authorized representative and date) Ownership of a building or portion 
of a building to be used in the project may be counted as leveraging. 
The fair market value of the building or portion of the building being 
contributed may be counted. Do not send an appraisal to HUD, but keep 
documentation of fair market value on file. The contribution of land 
(as a leveraged resource for new construction) should be treated the 
same as contribution of a building. You will need to keep documentation 
of the fair market value on file, particularly if it is improved land 
and you wish to include the value of the improvements in the 
contribution.
    (v) Contribution of a Building to be Acquired with HOPWA Funds. If 
this proposal is funded, (applicant name) commits the building at (site 
address) for the HOPWA program. The building has a fair market value of 
$(amount). A licensed independent real estate appraiser made this 
assessment which is based on comparable properties in the area. The 
HOPWA request for the building is $(amount). Therefore, the 
contribution is the difference between the fair market value and the 
HOPWA request, or $(amount). (Signature of applicants authorized 
representative and date) The difference between the documented fair 
market value and the portion paid for with HOPWA funds may be counted 
as leveraging. Maintain documentation of fair rental value on file.
    (vi) Contribution of Leasehold Interest. If this proposal is 
funded, (applicant name) commits the leasehold interest at (site 
address) for the HOPWA program. The fair rental value of this site is 
$(amount) annually, and at constant value will amount to $(amount) over 
(term of the lease, up to three years). An appropriate independent 
third party made this assessment which is based on comparable 
properties in the area. The total leasing cost over the term of the 
lease to be paid with HOPWA funds is $(amount). Therefore, the 
contribution is the difference between the HOPWA leasing cost and the 
fair rental value, or $(amount). (Signature of applicants authorized 
representative and date) The difference between the fair rental value 
(for a term up to three years) and the cost of the lease to be paid for 
with HOPWA funds may be counted as leveraging.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    Please address the following factor on not more than five (5) 
double-spaced, typed pages. This factor addresses the extent to which 
the you coordinated the specific proposal with other known 
organizations, consulted prospective clients or persons with HIV/AIDS 
in designing your proposal, participates or promotes participation in 
the jurisdiction's Consolidated Planning process, and in a community's 
Continuum of Care Homeless Assistance planning process (if homeless 
persons are to be served by proposed activities), and is working 
towards addressing a need in a holistic and comprehensive manner 
through linkages with other activities in the community. HUD will award 
up to 10 points based on your proposal's comprehensiveness and 
coordination. In order to ensure that resources are used to their 
maximum effect within the community, it is important that you be 
involved in HUD's planning processes for community development and 
homeless assistance resources. If you, your sponsors, or others 
partnering with you have been involved in these processes, you should 
describe that involvement under this factor.
    HUD will consider the extent to which your activities were planned 
with community involvement in a larger community or regional plans 
which links the provision of health care, supportive services, and 
housing. Also, how planned activities are proposed to be carried out 
with HOPWA funds and other resources in order to provide a 
comprehensive and responsive range of housing and related supportive 
services to meet the changing needs of persons with HIV/AIDS. Your 
proposal should demonstrate that housing is provided in conjunction 
with the client's access to health-care and other supportive services 
in the area to be served, including assistance provided under the Ryan 
White CARE Act programs.
    In evaluating this factor, HUD will consider the extent to which 
you demonstrate you have:
    (1) Coordinated your proposed activities with those of other groups 
or organizations prior to submission, to best complement, support, and 
coordinate all known activities; and if funded, the specific steps you 
will take to share information on solutions and outcomes with others. 
You should describe any written agreements, memoranda of understanding 
in place, or that will be in place after award.
    (2) Been actively involved in your community's Continuum of Care

[[Page 9874]]

Homeless Assistance planning process (if homeless persons are to be 
served by proposed activities), and/or the jurisdiction's Consolidated 
Planning process established to identify and address a need/problem 
that is related to the activities you propose to undertake.
    In the case of technical assistance providers, you will be 
evaluated on the specific steps you will take to work with recipients 
of technical assistance services to inform them of, and get them 
involved in, the community's Continuum of Care Homeless Assistance 
planning process and/or the jurisdiction's Consolidated Planning 
process, as applicable. HUD will review more favorably your application 
if you can demonstrate you are active or are working with recipients of 
technical assistance to get them involved in local and State planning 
processes.
    (3) Developed linkages, or specific steps you will take to develop 
linkages with other activities, programs or projects through meetings, 
information networks, planning processes, or other mechanisms, to 
coordinate your activities so solutions are holistic and comprehensive, 
including linkages with:
    (a) Other HUD-funded projects/activities outside the scope of those 
covered by the Consolidated Plan; and
    (b) Other activities funded by the Federal, State, or local 
government, including those proposed or on-going in the community.
    (E) Selection of HOPWA Awards. Whether your HOPWA application is 
conditionally selected will depend on your overall ranking compared to 
other applications within each of the two categories of assistance. HUD 
will select applications in rank order in each category of assistance 
to the extent that funds are available, except as noted below. In 
allocating amounts to the categories of assistance, HUD reserves the 
right to ensure that sufficient funds are available for the selection 
of at least one application with the highest ranking under each 
category of assistance. In selecting projects that target resources to 
underserved populations as outlined in Section III(D) in this program 
section of the SuperNOFA, HUD will ensure that up to (40) percent of 
the funds awarded for Special Projects of National Significance (SPNS) 
grants are awarded to applications with collaborations to serve 
underserved populations. If there is an insufficient request by 
applicants for funds targeting underserved populations, HUD will use 
remaining funds for the next highest ranked SPNS Applications in rank 
order.
    HUD reserves the right to achieve greater diversity in the 
selection of applications by selecting the highest rated application in 
a State where no applicant has been the recipient of any prior HOPWA 
competitive grant or formula allocation over a higher rated application 
in a State that has received prior HOPWA funding. In selecting a lower 
rated application, 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 as defined in the prior 
paragraph; and, if greater geographic diversity is not achievable, by 
selecting the proposal that was scored higher on a rating criterion in 
the following order: Soundness of Approach: Responsiveness and Model 
Qualities (Rating Factor 3); Comprehensiveness and Coordination (Rating 
Factor 5); the Capacity of the Applicant and Relevant Organizational 
Experience (Rating Factor 1); the Need/Extent of the Problem (Rating 
Factor 2); and Leveraging Resources (Rating Factor 4).
    HUD will notify you in writing if you are conditionally selected. 
You may be notified subsequently of any modification made by HUD, the 
additional project information necessary for grant award, and the date 
of deadline for submission of the required information. In the event 
that a conditionally-selected applicant is unable to meet any 
conditions for fund award within the specified, HUD reserves the right 
not to award funds to the applicant, but 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 competition; 
or to add amounts to funds available for the next competition.

VI. Application Submission Requirements

    Your HOPWA application must contain the following items in the 
order shown below. The standard forms can be found in Appendix B to the 
General Section  of the SuperNOFA. The remaining application items that 
are forms (i.e., excluding such items as narratives, letters), referred 
to as the ``non-standard forms'' can be found as Appendix C to this 
program section of the SuperNOFA: The items are as follows:
    (A) Application for Federal Assistance (Form SF-424). You should 
complete Items 1 through 18 with the following additions:
    Item 5--Add e-mail address of the contact person;
    Item 7--The applicable letters are ``A'' for State; ``B, C, or D'' 
for a unit of local government; or ``N'' for Nonprofit;
    Item 9--Enter U.S. Department of Housing and Urban Development or 
HUD if not preprinted
    Item 10--Enter 14-21 and the title ``Housing Opportunities for 
Persons with AIDS Program'' or ``HOPWA'' for the Catalogue of Federal 
Domestic Assistance;
    Item 15--You must complete the budget on SF-424 and the HOPWA 
Project Budget Form. Please make sure that both the total budget on the 
SF-424 and the ``Total Budget'' section on the HOPWA Project Budget 
Form are the same. In the event that the total budgets are in conflict, 
HUD will refer to the HOPWA Project Budget form.
    Item 16--Check ``No''.
    (B) Summary. Please provide on no more than two double-spaced, 
typed pages an abstract of your proposed project. HUD will use this as 
a summary if your project is chosen for funding. In your abstract, 
include your organization's name and the name of any project sponsor;
    (C) Narrative Statements. Your application must include narrative 
statements that address each of the Factors for Award found at Section 
V(D) of this program section of the SuperNOFA. Respond to each factor 
within the stated page limits and do not use a font size smaller than 
12 point.
    (D) Proposed HOPWA Project Information Form. See Appendix C in 
program section of SuperNOFA. Complete the form including the 
following:
    (1) Project Sponsors. You must identify any organization that will 
receive HOPWA funds as a project sponsor and the amount of funds to be 
received.
    (2) Non-profit Status. Non-profit grantees or project sponsors must 
submit documentation verifying your non-profit status, as outlined 
under Section III, Eligible Applicants and Project Sponsors, in this 
program section of the SuperNOFA.
    (3) Service Areas. Your application must identify the area(s) in 
which you are proposing to offer housing and other assistance.
    (E) Budget. In addition to the budget narrative described under 
Section IV of this program section of the SuperNOFA (see Section IV(C), 
Program Requirements, and Paragraph (2)(c) of Rating Factor 3, 
Soundness of Approach), you must complete the HOPWA Project Budget Form 
found in Appendix C of this program section of

[[Page 9875]]

the SuperNOFA which lists the amount of requested HOPWA funds 
designated for each type of HOPWA-eligible activity.
    (F) Statutory Certifications. HOPWA applicants are not required to 
provide the forms, certifications, and assurances listed in the General 
Section of the SuperNOFA unless stated below. Additionally, the 
requirement to Affirmatively Further Fair Housing does not apply to the 
HOPWA program. The following certifications are required by law for 
funding and should be included with your application. All 
certifications and forms, except those found in the General Section of 
the SuperNOFA, are included in the appendixes to the program section of 
this SuperNOFA.
    (1) Consolidated Plan Certification. Except as stated below, you 
must include a Consolidated Plan (hereafter called the plan) 
certification from the applicable State or local government official 
responsible for submitting the appropriate plan. If your project will 
be carried out on a national basis or will be located on a reservation 
of an Indian tribe, Guam, the Virgin Islands, American Samoa, or the 
Northern Mariana Islands you are not required to include a Consolidated 
Plan certification with your application. This certification must be 
signed by the authorizing official from the State or local government. 
(See Appendix C to this program section of the SuperNOFA.)
    (2) Certifications. The following certifications are required as 
stated in Section II(G) of the General Section of the SuperNOFA: HUD-
50070, Certification of Drug-Free Workplace; and SF-LLL, Disclosure of 
Lobbying Activities (if applicable).
    (3) HOPWA Applicant Certifications. The required HOPWA 
certifications cover the following items: (i) fair housing and non-
discrimination; (ii) uniform relocation assistance; (iii) environmental 
law and authorities; (iv) continued use periods for structures 
assisted; and (v) debarred, suspended and ineligible principals 
requirements. (See Appendix C to this program section of the 
SuperNOFA.)
    (4) Certification of Consistency with EZ/EC Strategic Plan. This 
may be submitted as directed in the General Section of the SuperNOFA.
    (5) HUD-2880, Applicant/Recipient Disclosure Update Report. This 
must be signed by you the applicant.
    After your entire application is assembled, please mark each 
exhibit with an appropriately numbered tab and number every page of the 
application sequentially. Complete the HOPWA Application Checklist 
found in Appendix C to this program section of the SuperNOFA. Attach 
the HOPWA Application Checklist to the front of your application.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Other Requirements

    (A) Environmental Requirements. All HOPWA assistance is subject to 
the National Environmental Policy Act of 1969, applicable related 
Federal environmental authorities, and the environmental review 
requirements of 24 CFR 574.510. HUD's conditional selection of an 
application does not constitute approval of a proposed site. HOPWA 
recipients or project sponsors may not commit or expend any grant or 
nonfederal funds on project activities (other than activities excluded 
under Sec. 50.19(b)) until HUD has completed the environmental review 
under part 50. The HOPWA recipients or project sponsors may not 
acquire, rehabilitate, convert, lease, repair, or construct property or 
commit or expend any grant or nonfederal funds for these program 
activities until HUD provides written notice to the recipient that HUD 
has completed the environmental review. The expenditure of commitment 
of HOPWA or nonfederal funds for these activities prior to the 
completion of the HUD environmental review may result in the denial of 
assistance for the project under consideration.
    In the event that Congress authorizes the Department to delegate 
environmental responsibility pursuant to 24 CFR part 58, responsible 
entities (including units of general local government, States, Indian 
tribes, and Alaska native villages) will assume the environmental 
responsibilities for projects being funded through FY 2000 HOPWA funds. 
Upon authorization, successful applicants will be notified of their 
environmental responsibilities.
    (B) Local Resident Employment (Section 3 Requirements). For grants 
in excess of $200,000, to the extent that any housing assistance funded 
through this program section of the SuperNOFA is used for housing 
rehabilitation (including reduction and abatement of lead-based paint 
hazards, but excluding routine maintenance, repair, and replacement) or 
housing construction, then it is subject to section 3 of the Housing 
and Urban Rehabilitation Act of 1968, and the implementing regulations 
at 24 CFR part 135. Section 3 requires that economic opportunities 
generated by certain HUD financial assistance for housing and community 
development programs shall, to the greatest extent feasible, be given 
to low-and very low-income persons, particularly those who are 
recipients of government assistance for housing, and to businesses that 
provide economic opportunities for these persons.
    (C) Lead-Based Paint Requirement. The lead-based paint requirements 
described in Subpart M (Tenant-Based Rental Assistance) at 24 CFR 
35.1200-1225 of HUD's new regulation on Lead-Based Paint Hazards in 
Federally Owned Housing and Housing Receiving Federal Assistance, 
published at 64 FR 50217, do not apply to this Notice of Funding 
Availability. A technical correction establishing the effective date of 
this subpart as September 15, 2000, was published in the Federal 
Register on January 21, 2000 (65 FR 3386).
    The grantee and program sponsor must comply with the existing 
requirements of the Lead-Based Paint Poisoning Prevention Act (42 
U.S.C. 4821-4846) and implementing regulations at 24 CFR part 35, as 
applicable.

IX. Authority

    This program is authorized under the AIDS Housing Opportunity Act 
(42 U.S.C. 12901). The regulations for HOPWA are found at 24 CFR part 
574.

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9901]]



FUNDING AVAILABILITY FOR SECTION 202 SUPPORTIVE HOUSING FOR THE 
ELDERLY PROGRAM (SECTION 202 PROGRAM)

Program Overview

    Purpose of the Program. This program provides supportive housing 
for very low-income persons 62 years of age or older.
    Available Funds. Approximately $426 million.
    Eligible Applicants. Private nonprofit organizations and nonprofit 
consumer cooperatives.
    Application Deadline. May 18, 2000.
    Match Requirements. No.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit your completed applications on or 
before 6:00 pm, local time, on May 18, 2000, at the address shown 
below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Submit your completed 
application (an original and four copies) to the Director of the 
appropriate Multifamily Hub Office or Multifamily Program Center as 
listed in Appendix A to the Section 811 program section of this 
SuperNOFA with the following exceptions:
    1. Applications for projects proposed to be located within the 
jurisdiction of the Seattle, Washington and the Anchorage, Alaska 
Offices must be submitted to the Portland, Oregon Office.
    2. Applications for projects proposed to be located within the 
jurisdiction of the Sacramento, California Office must be submitted to 
the San Francisco, California Office.
    3. Applications for projects proposed to be located within the 
jurisdiction of the Cincinnati, Ohio Office must be submitted to the 
Columbus, Ohio Office.
    4. Applications for projects proposed to be located within the 
jurisdiction of the Washington, DC Office must be submitted to the 
Baltimore, Maryland Office.
    The application kit also includes a listing of the Multifamily Hubs 
and Program Centers, their addresses and telephone numbers, including 
TTY numbers. This information is also available from HUD's SuperNOFA 
Information Center at 1-800-HUD-8929 and from the Internet through the 
HUD web site at http://www.hud.gov. Persons with hearing or speech 
impairments may call the Center's TTY number at 1-800-HUD-2209.
    For Application Kits. For an application kit and any supplemental 
materials, please call HUD's SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's 
TTY number at 1-800-HUD-2209. When requesting an application kit, 
please refer to the Section 202 Program and provide your name, address 
(including zip code), and telephone number (including area code). The 
application kit also will be available on the Internet through the HUD 
web site at http://www.hud.gov and from the appropriate Multifamily Hub 
or Multifamily Program Center.
    For Further Information and Technical Assistance. You may contact 
the appropriate Multifamily Hub Office or Multifamily Program Center, 
Aretha Williams at HUD Headquarters at (202) 708-2866, or access the 
Internet at http://www.hud.gov.
    HUD encourages minority organizations to participate in this 
program and strongly recommends that prospective applicants attend the 
local HUD Office workshop. At the workshops, HUD will explain 
application procedures and requirements as well as address concerns 
such as local market conditions, building codes and accessibility 
requirements, historic preservation, floodplain management, 
displacement and relocation, zoning, and housing costs. If you are 
interested in attending the workshop, make sure that your name, address 
and telephone number are on the appropriate HUD Office's mailing list 
so that you will be informed of the date, time and place of the 
workshop. Persons with disabilities should call the appropriate HUD 
Office to ensure that any necessary arrangements can be made to enable 
your attendance and participation in the workshop.
    If you cannot attend the workshop, call the appropriate HUD Office 
if you have any questions concerning the submission of applications to 
that particular office and to request any materials distributed at the 
workshop.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    For FY 2000, $426,258,926 is available for capital advances for the 
supportive housing for the elderly program. The FY 2000 HUD 
Appropriations Act (HUD Appropriations Act) provides $610,000,000 for 
capital advances, including amendments to capital advance contracts, 
for supportive housing for the elderly as authorized by section 202 of 
the Housing Act of 1959, and for project rental assistance, and 
amendments to contracts for project rental assistance, for supportive 
housing for the elderly under section 202(c)(2) of the Housing Act of 
1959.
    In accordance with the waiver authority provided in the HUD 
Appropriations Act, the Secretary is waiving the following statutory 
and regulatory provision: the term of the project rental assistance 
contract is reduced from 20 years to 5 years. HUD anticipates that at 
the end of the contract terms, renewals will be approved subject to the 
availability of funds. In addition to this provision, HUD will reserve 
project rental assistance contract funds based on 75 percent rather 
than on 100 percent of the current operating cost standards for 
approved units in order to take into account the average tenant 
contribution toward rent.
    The allocation formula used for Section 202 reflects the ``relevant 
characteristics of prospective program participants,'' as specified in 
24 CFR 791.402(a). The FY 2000 formula consists of one data element: a 
measure of the number of one and two person renter households with 
incomes at or below HUD's Very-low Income Limit (50 percent of area 
median family income, as determined by HUD, with an adjustment for 
household size), which have housing deficiencies. The counts of elderly 
renter households with housing deficiencies were taken from a special 
tabulation of the 1990 Decennial Census. The formula focuses the 
allocation on targeting the funds based on the unmet needs of elderly 
renter households with housing problems.
    Under Section 202, 85 percent of the total capital advance amount 
is allocated to metropolitan areas and 15 percent to nonmetropolitan 
areas. In addition, each HUD Office jurisdiction receives sufficient 
capital advance funds for a minimum of 20 units in metropolitan areas 
and 5 units in nonmetropolitan areas. The total amount of capital 
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support these minimum set-asides are subtracted from the respective 
(metropolitan or nonmetropolitan) total capital advance amounts 
available. The remainder is fair shared to each HUD Office jurisdiction 
whose fair share exceeds the minimum set-aside based on the allocation 
formula fair share factors described below. NOTE: The allocations for 
metropolitan and nonmetropolitan portions of the Multifamily Hub or 
Program Center jurisdictions reflect the most current definitions of 
metropolitan and nonmetropolitan areas, as defined by the Office of 
Management and Budget.
    A fair share factor is developed for each metropolitan and 
nonmetropolitan portion of each local HUD Office jurisdiction by 
dividing the number of renter households for the jurisdiction by the 
total number of rental households in the United States. The resulting 
percentage for each local HUD Office jurisdiction is then adjusted to 
reflect the relative cost of providing housing among the HUD Office 
jurisdictions. The adjusted needs percentage for the applicable 
metropolitan or nonmetropolitan portion of each jurisdiction is then 
multiplied by the respective total remaining capital advance funds 
available nationwide.
    Based on the allocation formula, HUD has allocated the available 
capital advance funds as shown on the following chart:

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III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. HUD provides capital advances and 
contracts for project rental assistance in accordance with 24 CFR part 
891. Capital Advances may be used for the construction or 
rehabilitation of a structure, or acquisition of a structure from the 
Federal Deposit Insurance Corporation (formerly held by the Resolution 
Trust Corporation) (FDIC/RTC). Capital Advance funds bear no interest 
and are based on development cost limits published in this SuperNOFA. 
Repayment of the capital advance is not required as long as the housing 
remains available for occupancy by very low-income elderly persons for 
at least 40 years.
    Project rental assistance contract (PRAC) funds are used to cover 
the difference between what the residents pay for rent and the HUD-
approved expense to operate the project. Project Rental Assistance 
Contract funds may also be used to provide supportive services and to 
hire a service coordinator in those projects serving the frail elderly 
residents. The supportive services must be appropriate to the category 
or categories of frail elderly residents to be served.
    (B) Eligible Applicants. Private nonprofit organizations and 
nonprofit consumer cooperatives are the only eligible applicants under 
this Section 202 Program. Neither a public body nor an instrumentality 
of a public body is eligible to participate in the program.
    A Sponsor or Co-sponsor may not apply for more than 200 units of 
housing for the elderly in a single Hub or more than 10 percent of the 
total units allocated to all HUD Offices. Also, no single application 
may propose more than the number of units allocated to a HUD office or 
125 units, whichever is less. Reservations for projects will not be 
approved for fewer than 5 units. Affiliated entities that submit 
separate applications are considered to be a single entity for the 
purpose of these limits.
    (C) Eligible Activities. Section 202 capital advance funds must be 
used to finance the development of housing through new construction, 
rehabilitation, or acquisition of housing from the FDIC/Resolution 
Trust Corporation. Project Rental Assistance funds are provided to 
cover the difference between the HUD-approved operating costs and the 
amount the residents pay (each resident pays 30 percent of adjusted 
income) as well as to provide supportive services to frail elderly 
residents. In projects principally serving the frail elderly, eligible 
costs include the salary of a service coordinator.
    (D) Ineligible Activities. Section 202 funds may not be used for 
nursing homes, infirmaries, medical facilities, mobile home projects, 
community centers, headquarters for organizations for the elderly, 
nonhousekeeping accommodations, or refinancing of sponsor-owned 
facilities without rehabilitation.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, as an applicant, you must comply with the 
following requirements:
    (A) Statutory and Regulatory Requirements. You must comply with all 
Section 202 Program statutory and regulatory requirements, as listed in 
Sections III, IV and IX of this program section of the SuperNOFA.
    (B) HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have 
an agreement to coordinate the administration of the agencies' 
respective rental assistance programs. As a result, HUD is required to 
notify RHS of applications for housing assistance it receives. This 
notification gives RHS the opportunity to comment if it has concerns 
about the demand for additional assisted housing and possible harm to 
existing projects in the same housing market area. HUD will consider 
RHS' comments in its review and application selection process.
    (C) Development Cost Limits. (1) The following development cost 
limits, adjusted by locality as described in Section IV(C)(2) of this 
program section of the SuperNOFA, below, will be used to determine the 
capital advance amount to be reserved for projects for the elderly:
    (a) The total development cost of the property or project 
attributable to dwelling use (less the incremental development cost and 
the capitalized operating costs associated with any excess amenities 
and design features you must pay for) may not exceed:
    Nonelevator structures:
    $33,638 per family unit without a bedroom;
    $38,785 per family unit with one bedroom;
    $46,775 per family unit with two bedrooms;
    For elevator structures:
    $35,400 per family unit without a bedroom;
    $40,579 per family unit with one bedroom;
    $49,344 per family unit with two bedrooms.
    (b) These cost limits reflect those costs reasonable and necessary 
to develop a project of modest design that complies with HUD minimum 
property standards; the accessibility requirements of Sec. 891.120(b); 
and the project design and cost standards of Sec. 891.120 and 
Sec. 891.210.
    (2) Increased development cost limits.
    (a) HUD may increase the development cost limits set forth in 
Section IV(C)(1) of this program section of the SuperNOFA, above, by up 
to 140 percent in any geographic area where the cost levels require, 
and may increase the development cost limits by up to 160 percent on a 
project-by-project basis. This increase may include covering additional 
costs to make dwelling units accessible through rehabilitation.
    (b) If HUD finds that high construction costs in Alaska, Guam, the 
Virgin Islands, or Hawaii make it infeasible to construct dwellings, 
without the sacrifice of sound standards of construction, design, and 
livability, within the development cost limits provided in Section 
IV(C)(1) of this program section of the SuperNOFA, above, the amount of 
the capital advances may be increased to compensate for such costs. The 
increase may not exceed the limits established under this section 
(including any high cost area adjustment) by more than 50 percent.
    (D) Minimum Capital Investment. Selected nonprofit organizations 
must provide a minimum capital investment of one-half of one percent of 
the HUD-approved capital advance amount, not to exceed $10,000 in 
accordance with Sec. 891.145, with the following exception. If you, as 
Sponsor or Co-Sponsor, have one or more Section 202 or one or more 
Section 811 project(s) under reservation, construction, or management 
in two or more different HUD geographical regions (Hubs), the minimum 
capital investment shall be one half of one percent of the HUD-approved 
capital advance amount, not to exceed $25,000.
    (E) Economic Opportunities for Low and Very Low-Income Persons 
(Section 3). You must comply with section 3 of the Housing and Urban 
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for 
Low and Very Low Income Persons), and its implementing regulations at 
24 CFR part 135. You must ensure that training, employment and other 
economic opportunities shall, to the greatest extent feasible, be 
directed toward low-and very low-income persons, particularly those who 
are recipients of government assistance for housing and to business 
concerns

[[Page 9908]]

which provide economic opportunities to low and very low income 
persons.

V. Application Selection Process

    (A) Review for Curable Deficiencies. HUD will screen all 
applications received by the deadline for curable deficiencies. A 
curable deficiency is a missing Exhibit or portion of an Exhibit that 
will not affect the rating of the application. The following is a list 
of the deficiencies that will be considered curable in a Section 202 
application:

Exhibits

(1) Form 92015-CA (Application Form)*
(2) (a) Articles of Incorporation*
    (b) By-laws*
    (c) IRS tax exemption ruling*
(4) (c)(ii) Energy efficiency
    (d)(i) Evidence of site control
    (d)(ii) Evidence site is free of limitations, restrictions or 
reverters
    (d)(iii) Evidence of permissive zoning
    (d)(vi) Phase I Environmental Site Assessment
    (d)(vii) Letter from State Historic Preservation Officer (SHPO)
(5) Applications submitted to other Offices
(6) Relocation
(7) (a) Standard Form 424, Application for Federal Assistance*
    (b) HUD-50070, Certification of a Drug-free Workplace
    (c) Form--HUD 50071, Certification of Payments to Influence Federal 
Transactions and Standard Form-LLL, Disclosure of Lobbying Activities
    (d) Form--HUD 2880, Applicant/Recipient Disclosure/Update Report
    (e) Form--HUD 2992, Certification Regarding Debarment and 
Suspension
    (f) Executive Order 12372 Certification
    (g) Form--HUD 2991, Certification of Consistency with Consolidated 
Plan
    (h) Conflict of Interest Resolution
    (i) Resolution for Commitment to Project*
    (k) Combined Certifications
    The HUD Office will notify you in writing if your application is 
missing any of the exhibits or portions of exhibits and you will be 
given 14 days from the date of the HUD notification to submit the 
information required to cure the noted deficiencies. The items 
identified by an asterisk (*) must be dated on or before the 
application deadline date.
    (B) Rating. HUD will review and rate your application in accordance 
with the Application Selection Process in the General Section of this 
SuperNOFA with the following exception. HUD will not reject your 
application based on technical review without notifying you of that 
rejection with all the reasons for rejection, and providing you an 
opportunity to appeal. You will have 14 calendar days from the date of 
HUD's written notice to appeal a technical rejection to the HUD office. 
If the rejection is due to the nonsubmission of the following exhibits 
because of the failure of a third party to provide information under 
the control of the third party but outside your control (e.g., by 
contract), and you were not provided the opportunity to cure the 
deficiency during the curable deficiency period, you can submit the 
information required to cure the deficiency during the 14 calendar day 
appeal period:
    (1) Exhibit 4(d)(iii), Evidence of permissive zoning, and/or
    (2) Exhibit 7(g), Form-HUD 2991, Certification of Consistency with 
the Consolidated Plan.
    The information required to cure the above identified deficiencies 
includes the deficient Exhibit and documentation showing that the 
information had been requested from the third party at least 45 days 
prior to the application deadline date.
    The HUD office will make a determination on an appeal before making 
its selection recommendations. All applications will be either rated or 
technically rejected at the end of technical review. If your 
application meets all program eligibility requirements after completion 
of technical review, it will be rated according to the rating factors 
in Section V(D) of this Section 202 Program section of the SuperNOFA.
    (C) Ranking and Selection Procedures. Applications submitted in 
response to the advertised metropolitan allocations or nonmetropolitan 
allocations that have a total base score (without the addition of EC/EZ 
bonus points) of 60 points or more and meet all of the applicable 
threshold requirements of Section II(B) of the General Section of the 
SuperNOFA will be eligible for selection, and HUD will place them in 
rank order per metropolitan or nonmetropolitan allocation. These 
applications, after adding any bonus points for EC/EZ, will be selected 
based on rank order, up to and including the last application that can 
be funded out of each HUD office's metropolitan or nonmetropolitan 
allocation. HUD offices must not skip over any applications in order to 
select one based on the funds remaining. After making the initial 
selections in each allocation area, however, HUD may use any residual 
funds to select the next rank-ordered application by reducing the 
number of units by no more than 10 percent, rounded to the nearest 
whole number, provided the reduction will not render the project 
infeasible. For this purpose, however, HUD will not reduce the number 
of units in projects of five units or less.
    Once this process has been completed, HUD offices may combine their 
unused metropolitan and nonmetropolitan funds in order to select the 
next ranked application in either category, using the unit reduction 
policy described above, if necessary.
    After the offices have funded all possible projects based on the 
process above, combined metropolitan and nonmetropolitan residual funds 
from all HUD Offices in each Multifamily Hub will be combined. These 
funds will be used first to restore units to projects reduced by HUD 
offices based on the above instructions. Second, additional 
applications within each Multifamily Hub will be selected in rank order 
with only one application selected per HUD Office. More than one 
application may be selected per HUD Office if there are no approvable 
applications in other HUD Offices within the Multifamily Hub. This 
process will continue until there are no more approvable applications 
within the Multifamily Hub that can be selected with the remaining 
funds without skipping over any application. HUD may use any remaining 
residual funds, however, to select the next rank-ordered application by 
reducing the number of units by no more than 10 percent rounded to the 
nearest whole number, provided the reduction will not render the 
project infeasible or result in the project being less than five units.
    Funds remaining after these processes are completed will be 
returned to Headquarters. HUD will use these funds to restore units to 
projects reduced by HUD offices as a result of the instructions for 
using their residual funds. Second, HUD will use these funds for 
selecting applications based on field offices' rankings beginning with 
the highest rated application nationwide. Only one application will be 
selected per HUD office from the national residual amount. If there are 
no approvable applications in other HUD offices, the process will begin 
with the selection of the next highest rated application nationwide. 
This process will continue until all approvable applications are 
selected using the available remaining funds.
    (D) Factors For Award Used To Evaluate and Rate Applications. HUD 
will rate applications that successfully complete technical processing 
using the Rating Factors set forth below and in

[[Page 9909]]

accordance with the application submission requirements identified in 
Section VI(B) below. The maximum number of points an application may 
receive under this program is 102. This includes two EZ/EC bonus 
points, as described in the General Section of the SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (25 Points)

    This factor addresses the extent to which you have the 
organizational resources to successfully implement the proposed 
activities in a timely manner. Submit information responding to this 
factor in accordance with Application Submission Requirements in 
paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of 
this program section of the SuperNOFA.
    In rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to develop and operate the 
proposed housing on a long-term basis, considering the following:
    (a) (15 points) The scope, extent, and quality of your experience 
in providing housing or related services to those proposed to be served 
by the project and the scope of the proposed project (i.e., number of 
units, services, relocation costs, development, and operation) in 
relationship to your demonstrated development and management capacity 
as well as your financial management capability; and
    (b) (10 points) The scope, extent, and quality of your experience 
in providing housing or related services to minority persons or 
families as well as your ties to the community at large and to the 
minority and elderly communities in particular. For purposes of this 
program section of the SuperNOFA, ``minority'' means the basic racial 
and ethnic categories for Federal statistics and administrative 
reporting, as defined in OMB's Statistical and Policy Directive No. 15. 
(See 62 FR 58782, October 30, 1997.).

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor addresses the extent to which there is a need for 
funding the proposed activities to address a documented problem in the 
target area. Submit information responding to this factor in accordance 
with Application Submission Requirements in paragraphs (B)(4)(a) and 
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In 
evaluating this factor, HUD will consider:
    The extent of the need for the project in the area based on a 
determination by the HUD Office. In making this determination, HUD will 
consider your evidence of need in the area, as well as other economic, 
demographic, and housing market data available to the HUD office. The 
data could include information on the number of existing Federally 
assisted housing units (HUD and RHS) for the elderly in the area and 
current occupancy in such facilities; Federally assisted housing for 
the elderly under construction or for which fund reservations have been 
issued; and in accordance with an agreement between HUD and the RHS, 
comments from the RHS on the demand for additional assisted housing and 
the possible harm to existing projects in the same housing market area. 
The Department will also review more favorably those applications which 
establish a connection between the proposed project and the community's 
Analysis of Impediments to Fair Housing Choice (AI) or other planning 
document that analyzes fair housing issues and is prepared by a local 
planning or similar organization. You must show how your proposed 
project will address an impediment to fair housing choice described in 
the AI or meet a need identified in the other type of planning 
document.

Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and effectiveness of your 
proposal. There must be a clear relationship between your proposed 
activities, the community's needs and purposes of the program funding 
for your application to receive points for this factor. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d) and 
(B)(4)(e) of Section VI of this program section of the SuperNOFA. In 
evaluating this factor, HUD will consider the following:
    (a) (15 points) The proximity or accessibility of the site to 
shopping, medical facilities, transportation, places of worship, 
recreational facilities, places of employment, and other necessary 
services to the intended occupants; adequacy of utilities and streets; 
freedom of the site from adverse environmental conditions; compliance 
with site and neighborhood standards (24 CFR 891.125(a), (d) and (e));
    (b) (10 points) The suitability of the site from the standpoints of 
promoting a greater choice of housing opportunities for minority 
elderly persons/families, and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the HUD Office. Where 
appropriate, HUD may visit the site.

    (i) The site will be deemed acceptable if it increases housing 
choice and opportunity by:

--Expanding housing opportunities in non-minority neighborhoods (if 
located in such a neighborhood); or
--Contributing to the revitalization of and reinvestment in minority 
neighborhoods, including improvement of the level, quality and 
affordability of services furnished to minority elderly. You should 
refer to the Site and Neighborhood Standards provisions of the 
regulations governing the Section 202 Supportive Housing for the 
Elderly program (24 CFR 891.125(b) and (c)) when considering sites for 
your project.

    (ii) For the purpose of this competition, the term ``minority 
neighborhood (area of minority concentration)'' is defined as one where 
any one of the following statistical conditions exists:

--The percentage of persons of a particular racial or ethnic minority 
is at least 20 points higher than the minority's or combination of 
minorities' percentage in the housing market as a whole; or,
--The neighborhood's total percentage of minority persons is at least 
20 points higher than the total percentage of minorities for the 
housing market as a whole; or,
--The neighborhood's total percentage of minorities exceeds 50 percent 
of the population. The term ``nonminority area'' is defined as one in 
which the minority population is lower than 10 percent.

    (c) (3 points) The extent to which your proposed design will meet 
the special physical needs of elderly persons;
    (d) (3 points) The extent to which the proposed size and unit mix 
of the housing will enable you to manage and operate the housing 
efficiently and ensure that the provision of supportive services will 
be accomplished in an economical fashion;
    (e) (3 points) The extent to which the proposed design of the 
housing will accommodate the provision of supportive services that are 
expected to be needed, initially and over the useful life of the 
housing, by the category or categories of elderly persons the housing 
is intended to serve;
    (f) (3 points) The extent to which the proposed supportive services 
meet the identified needs of the anticipated residents; and

[[Page 9910]]

    (g) (3 points) The extent to which you demonstrate that the 
identified supportive services will be provided on a consistent, long-
term basis.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other community 
resources which can be combined with HUD's program resources to achieve 
program purposes. Submit information responding to this factor in 
accordance with Application Submission Requirements in paragraphs 
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the 
SuperNOFA.
    (a) (5 points) The extent of local government support (including 
financial assistance, donation of land, provision of services, etc.) 
for the project; and
    (b) (5 points) The extent of your activities in the community, 
including previous experience in serving the area where the project is 
to be located, and your demonstrated ability to enlist volunteers and 
raise local funds.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinated your 
activities with other known organizations, participate or promote 
participation in the community's Consolidated Planning process, and are 
working toward addressing a need in a holistic and comprehensive manner 
through linkages with other activities in the community. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h) 
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
    (a) (4 points) Your involvement of elderly persons, particularly 
minority elderly persons, in the development of the application, and 
your intent to involve elderly persons, particularly minority elderly 
persons, in the development and operation of the project;
    (b) (2 points) The extent to which you coordinated your application 
with other organizations to complement and/or support the proposed 
project;
    (c) (2 points) The extent to which you demonstrated that you have 
been actively involved, or if not currently active, the steps you will 
take to become actively involved in the community's Consolidated 
Planning process to identify and address a need/problem that is related 
in whole or part, directly or indirectly to the proposed project;
    (d) (2 points) The extent to which you developed or plan to develop 
linkages with other activities, programs or projects related to the 
proposed project to coordinate your activities so solutions are 
holistic and comprehensive; and

Bonus Points

    (2 bonus points) Location of proposed site in an EZ/EC area, as 
described in the General Section of this SuperNOFA. Submit the 
information responding to the bonus points in accordance with the 
Application Submission Requirements in paragraph (B)(7)(j) of Section 
VI of this program section of the SuperNOFA.

VI. Application Submission Requirements

    (A) Application. Your application must include all of the 
information, materials, forms, and exhibits listed in Section VI(B) of 
this program section of the SuperNOFA (unless you were selected for a 
Section 202 fund reservation within the last three funding cycles). If 
you qualify for this exception, you are not required to submit the 
information described in Sections VI(B)(2)(a), (b), and (c) of this 
program section of the SuperNOFA (Exhibits 2.a., b., and c. of the 
application kit), which are the articles of incorporation, (or other 
organizational documents), by-laws, and the IRS tax exemption, 
respectively. If there has been a change in any of these documents 
since your previous HUD approval, you must submit the updated 
information in your application. HUD offices will verify your 
indication of previous HUD approval by checking the project number and 
approval status with the appropriate HUD Office based on the 
information submitted in response to Section VI(B)(2) below.
    In addition to this relief of paperwork burden in preparing 
applications, you will be able to submit information and exhibits you 
have previously prepared for prior applications under Section 202, 
Section 811, or other funding programs. Examples of exhibits that may 
be readily adapted or amended to decrease the burden of application 
preparation include, among others, those on previous participation in 
the Section 202 or Section 811 Programs, your experience in provision 
of housing and services, supportive services plan, community ties, and 
experience serving minorities.
    (B) General Application Requirements. Your application must contain 
the items listed in this Section VI(B). These items include the 
standard forms, certifications, and assurances listed in the General 
Section of the SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found as Appendix B to this program section of the 
SuperNOFA. The items are as follows:
    (1) Form HUD-92015-CA, Application for Section 202 Supportive 
Housing Capital Advance.
    (2) Evidence of your and each Co-Sponsor's legal status as a 
private nonprofit organization or nonprofit consumer cooperative, 
including the following:
    (2)(a) Articles of Incorporation, constitution, or other 
organizational documents;
    (2)(b) By-laws;
    (2)(c) IRS tax exemption ruling (this must be submitted by you and 
each Co-Sponsor, including churches). A consumer cooperative that is 
tax exempt under State law, has never been liable for payment of 
Federal income taxes, and does not pay patronage dividends may be 
exempt from the requirement set out in the previous sentence if it is 
not eligible for tax exemption.

    Note: If you received a Section 202 fund reservation within the 
last threefunding cycles, you are not required to submit the 
documents described in paragraphs (2)(a), (2)(b), and (2)(c), above. 
Instead, you must submit the project number of the latest 
application selected and the HUD office to which it was submitted. 
If there have been any modifications or additions to the subject 
documents, indicate such, and submit the new material.

    (3) A description of your purpose, community ties, and experience, 
including the following:
    (3)(a) A description of your purpose, current activities and how 
long you have been in existence;
    (3)(b) A description of your ties to the community at large and to 
the minority and elderly communities in particular;
    (3)(c) A description of local government support for the project 
(including financial assistance, donation of land, provision of 
services, etc.);
    (3)(d) Letters of support for your organization and for the 
proposed project from organizations familiar with the housing and 
supportive services needs of the elderly that you expect to serve in 
the proposed project;
    (3)(e) A description of your housing and/or supportive services 
experience. The description should include any rental housing projects 
and/or supportive services facilities that you have sponsored, owned, 
and/or operated; your past or current involvement in any programs other 
than

[[Page 9911]]

housing that demonstrates your management capabilities (including 
financial management) and experience; your experience in serving the 
elderly, including elderly persons with disabilities, and/or families 
and minorities; and the reasons for receiving any increases in fund 
reservations for developing and/or operating previously funded Section 
202 or Section 811 projects. The description should include data on the 
facilities and services provided, the racial/ethnic composition of the 
populations served, if available, and information and testimonials from 
residents or community leaders on the quality of the activities. 
Examples of activities that could be described include housing 
counseling, nutrition and food services, special housing referral, 
screening and information projects.
    (3)(f) A description, if applicable, of your efforts to involve 
elderly persons, including minority elderly persons, in the development 
of the application, as well as your intent to involve elderly persons 
in the development and operation of the project.
    (3)(g) A description of the steps you took to identify and 
coordinate your application with other organizations to complement and/
or support the proposed project as well as the steps you will take, if 
funded, to share information on solutions and outcomes relative to the 
development of the proposed project.
    (3)(h) A description of your involvement in the community's 
Consolidated Planning process including:
    (3)(h)(i) An identification of the lead/facilitating agency that 
organizes/administers the process;
    (3)(h)(ii) An identification of the Consolidated Plan issue areas 
in which you participate;
    (3)(h)(iii) Your level of participation in the process, including 
active involvement with any neighborhood-based organizations, 
associations, or any committees that support programs and activities 
that enhance projects or the lives of residents of the projects, such 
as the one proposed in your application.
    If you are not currently active, describe the specific steps you 
will take to become active in the Consolidated Planning process. 
(Consult the local HUD Office for the identification of the 
Consolidated Plan community process for the appropriate area.)
    (3)(i) A description of the linkages that you have developed or 
plan to develop with other related activities, programs or projects in 
order that the development of the project provides a comprehensive and 
holistic solution to the needs of the target population.
    (4) Project information, including the following:
    (4)(a) Evidence of need for supportive housing. Such evidence would 
include a description of the category or categories of elderly persons 
the housing is intended to serve and evidence demonstrating sustained 
effective demand for supportive housing for that population in the 
market area to be served, taking into consideration the occupancy and 
vacancy conditions in existing Federally assisted housing for the 
elderly (HUD and RHS; e.g., public housing); State or local data on the 
limitations in activities of daily living among the elderly in the 
area; aging in place in existing assisted rentals; trends in 
demographic changes in elderly population and households; the numbers 
of income eligible elderly households by size, tenure, and housing 
condition; the types of supportive services arrangements currently 
available in the area; and the use of such services as evidenced by 
data from local social service agencies or agencies on aging. Also, a 
description of how information in the community's Analysis of 
Impediments to Fair Housing Choice was used in documenting the need for 
the project.
    (4)(b) A description of how the proposed project will benefit the 
target population and the community in which it will be located.
    (4)(c) A description of the project, including the following: 
(4)(c)(i) A narrative description of the building design, including a 
description of the number of units with bedroom distributions, any 
special design features, amenities, and/or community space, and how 
this design will facilitate the delivery of services in an economical 
fashion and accommodate the changing needs of the residents over the 
next 10-20 years.

    Note:  If these community spaces, amenities, or features would 
not comply with the project design and cost standards of 24 CFR 
891.120 and the special project standards of 24 CFR 891.210, you 
must state your ability and willingness to contribute both the 
incremental development cost and continuing operating cost 
associated with the community spaces, amenities, or features;

    (4)(c)(ii) A description of whether and how the project will 
promote energy efficiency, and, if applicable, innovative construction 
or rehabilitation methods or technologies to be used that will promote 
efficient construction.
    (4)(d) Evidence that the Sponsor has site control and permissive 
zoning, including the following:
    (4)(d)(i) Acceptable evidence of site control is limited to any one 
of the following:
    (A) Deed or long-term leasehold which evidences that you have title 
to or a leasehold interest in the site. If a leasehold, the term of the 
lease must be at least 50 years;
    (B) Contract of sale for the site which is free of any limitations 
affecting ability to deliver ownership to you after you receive and 
accept a notice of section 202 capital advance. The only condition for 
closing on the sale can be your receipt and acceptance of the capital 
advance. The contract of sale cannot require closing on a date earlier 
than the section 202 closing.
    (C) Option to purchase or for a long-term leasehold which must 
remain in effect for six months from the date on which the applications 
are due, and must state a firm price binding on the seller. The only 
condition on which the option may be terminated is if you are not 
awarded a fund reservation. The option must be renewable at the end of 
the six months option period.
    (D) Where the proposed site is subject to a mortgage under a HUD 
program (e.g., an earlier 202 or an FHA insured mortgage), you must 
submit evidence that consent to release of the site from that mortgage 
has been obtained or has been requested from HUD and from the 
mortgagee, if other than HUD.
    (E) For sites to be acquired from a public body, evidence is needed 
that the public body possesses clear title to the site and has entered 
into a legally binding agreement to lease or convey the site to you 
after you receive and accept a notice of section 202 capital advance. 
Where HUD determines that time constraints of the funding round will 
not permit all of the required official actions (e.g., approval of 
Community Planning Boards) that are necessary to convey publicly-owned 
sites, a letter in the application from the mayor or director of the 
appropriate local agency indicating that conveyance or leasing of the 
site is acceptable without imposition of additional covenants or 
restrictions and only contingent on the necessary approval action. Such 
a letter commitment will be considered sufficient evidence of site 
control.
    (4)(d)(ii) Whether you have title to the site, a contract of sale, 
an option to purchase, or are acquiring the site from a public body, 
you must provide evidence (a title policy or other acceptable evidence) 
that the site is free of any limitations, restrictions, or reverters 
which could adversely affect the use of the site for the proposed 
project for the 40-year capital advance

[[Page 9912]]

period under HUD's regulations and requirements (e.g., reversion to 
seller if title is transferred). If the title evidence contains 
restrictions or covenants, copies of such covenants or restrictions 
must be submitted with the application. If the site is subject to any 
such limitations, restrictions, or reverters, the application will be 
rejected. Purchase money mortgages that will be satisfied from capital 
advance funds are not considered to be limitations or restrictions that 
would adversely affect the use of the site. If the contract of sale or 
the option agreement contains provisions that allow a Sponsor not to 
purchase the property for reasons such as environmental problems, 
failure of the site to pass inspection, or the appraisal is less than 
the purchase price, then such provisions are not objectionable and a 
Sponsor is allowed to terminate the contract of sale or the option 
agreement.

    Note:  A proposed project site may not be acquired or optioned 
from a general contractor (or its affiliate) that will construct the 
section 202 project or from any other development team member.

    (4)(d)(iii) Evidence that the project as proposed is permissible 
under applicable zoning ordinances or regulations, or a statement of 
the proposed action required to make the proposed project permissible 
and the basis for your belief that the proposed action will be 
completed successfully before the submission of the firm commitment 
application (e.g., a summary of the results of any requests for 
rezoning and/or the procedures for obtaining special or conditional use 
permits on land in similar zoning classifications and the time required 
for such rezoning, or preliminary indications of acceptability from 
zoning bodies, etc.);
    (4)(d)(iv) A narrative topographical and demographic description of 
the suitability of the site and area, and how the site will promote 
greater housing opportunities for minority elderly and elderly persons 
with disabilities, thereby affirmatively furthering fair housing; 
(NOTE: You can best demonstrate your commitment to affirmatively 
furthering fair housing by describing how your proposed activities will 
assist the jurisdiction in overcoming impediments to fair housing 
choice identified in the applicable jurisdictions's Analysis of 
Impediments to Fair Housing Choice (AI), which is a component of the 
jurisdiction's Consolidated Plan, or any other planning document that 
addresses fair housing issues. The applicable Consolidated Plan and AI 
may be the Community's, the County's, or the State's, to which input 
should have been provided by local community organizations, agencies in 
the community, and residents of the community. Alternatively, a 
document that addresses fair housing issues and remedies to barriers to 
fair housing in the community that was previously prepared by a local 
planning, or similar organization, may be used. Applicable impediments 
could include the need for improved housing quality and services for 
elderly minority families, lack of affirmative marketing and outreach 
to minority elderly persons, and the need for quality eldercare 
services within areas of minority concentration when compared with the 
type and quality of similar services and housing in nonminority areas.
    (4)(d)(v) A map showing the location of the site and the racial 
composition of the neighborhood, with the area of racial concentration 
delineated;
    (4)(d)(vi) A Phase I Environmental Site Assessment, in accordance 
with the American Society for Testing and Material (ASTM) Standards E 
1527-97, as amended. The Phase I study must be completed and submitted 
with the application. Therefore, it is important that you start the 
site assessment process as soon after publication of this SuperNOFA as 
possible.
    If the Phase I study indicates the possible presence of 
contamination and/or hazards, you must decide whether to continue with 
this site or choose another site. Should you choose another site, the 
same environmental site assessment procedure identified above must be 
followed for that site.

    Note: For properties to be acquired from the FDIC/RTC, include a 
copy of the FDIC/RTC prepared Transaction Screen Checklist or Phase 
I Environmental Site Assessment, and applicable documentation, per 
the FDIC/RTC Environmental Guidelines.

    If you choose to continue with the original site on which the Phase 
I study indicated contamination or hazards, you must undertake a 
detailed Phase II Environmental Site Assessment by an appropriate 
professional. If the Phase II Assessment reveals site contamination, 
the extent of the contamination and a plan for clean-up of the site 
must be submitted to the local HUD office. The plan for clean-up must 
include a contract for remediation of the problem(s) and an approval 
letter from the applicable Federal, State, and/or local agency with 
jurisdiction over the site. In order for the application to be 
considered for review under this FY 2000 funding competition, you must 
submit this information to the local HUD office on or before June 19, 
2000.

    Note: This could be an expensive undertaking. You must pay for 
the cost of any clean-up and/or remediation.

    (4)(d)(vii) A letter from the State Historic Preservation Officer 
(SHPO) indicating whether the proposed site has any historical 
significance. If you cannot obtain a letter from the SHPO due to the 
SHPO not responding to your request or the SHPO responding that it 
cannot or will not comply with the requirement, you must submit the 
following:
    (A) A letter indicating that you attempted to get the required 
letter from the SHPO but that the SHPO either had not responded to your 
request or would not honor or recognize your request;
    (B) A copy of your letter to the SHPO requesting the required 
letter; and,
    (C) A copy of the SHPO's response, if available.
    (4)(e) Provision of supportive services in the proposed facility:
    (4)(e)(i) A detailed description of the supportive services 
proposed to be provided to the anticipated occupancy;
    (4)(e)(ii) A description of public or private sources of assistance 
that reasonably could be expected to fund the proposed services;
    (4)(e)(iii) The manner in which such services will be provided to 
such persons (i.e., on or off-site), including whether a service 
coordinator will facilitate the adequate provision of such services, 
and how the services will meet the identified needs of the residents. 
Note: You may not require residents, as a condition of occupancy, to 
accept any supportive service.
    (5) A list of the applications, if any, that you have submitted or 
are planning to submit to any other HUD office in response to this 
announcement of Section 202 Program funding availability or the 
announcement of Section 811 Program (Supportive Housing for Persons 
with Disabilities) funding availability, published elsewhere in this 
SuperNOFA. Indicate by HUD office, the proposed location by city and 
State, and the number of units requested for each application. Include 
a list of all FY 1999 and prior year projects to which you are the 
Sponsor that have not been finally closed. Such projects must be 
identified by project number and HUD office.
    (6) A statement that:
    (6)(a) Identifies all persons (families, individuals, businesses, 
and nonprofit organizations), by race/minority group, and status as 
owners or tenants, occupying the property on the date of submission of 
the application for a capital advance;
    (6)(b) Indicates the estimated cost of relocation payments and 
other services;

[[Page 9913]]

    (6)(c) Identifies the staff organization that will carry out the 
relocation activities; and
    (6)(d) Identifies all persons that have moved from the site within 
the past 12 months.

    Note: If any of the relocation costs will be funded from sources 
other than the section 202 capital advance, you must provide 
evidence of a firm commitment of these funds. When evaluating 
applications, HUD will consider the total cost of proposals (i.e., 
cost of site acquisition, relocation, construction, and other 
project costs).

    (7) Certifications and Resolutions. In addition to the 
certifications and assurances listed in the General Section of this 
SuperNOFA with the exception of SF-424A, SF-424B, SF-424C, SF-424D, 
HUD-424M and the OMB Circulars which are not required, you are required 
to submit signed copies of the following:
    (7)(a) Standard Form 424. Application for Federal Assistance and 
indication of whether you are delinquent on any Federal debt. (See 
instructions for submitting this form in the Consolidated Application 
Submission section of the General Section of the SuperNOFA.)
    (7)(b) Drug-Free Workplace (HUD-50070). Certification to provide a 
drug-free workplace.
    (7)(c) Payments to Influence Federal Transactions (HUD-50071) and 
Standard Form LLL, Disclosure of Lobbying Activities. Certification of 
whether any of the funds received will be used to influence any Federal 
transactions and disclosure of those activities, if applicable.
    (7)(d) Applicant/Recipient Disclosure/Update Report, including 
Social Security Numbers and Employee Identification Numbers, (HUD-
2880). A disclosure of assistance from other government sources 
received in connection with the project.
    (7)(e) Certification Regarding Debarment and Suspension (HUD-2992) 
(24 CFR 24.510). A certification attesting to the eligibility of your 
principals.
    (7)(f) Executive Order 12372 Certification. A certification that 
you have submitted a copy of your application, if required, to the 
State agency (single point of contact) for State review in accordance 
with Executive Order 12372.
    (7)(g) Certification of Consistency with the Consolidated Plan 
(Plan), Form HUD-2991, for the jurisdiction in which the proposed 
project will be located. The certification must be made by the unit of 
general local government if it is required to have, or has, a complete 
Plan. Otherwise, the certification may be made by the State, or by the 
unit of general local government if the project will be located within 
the jurisdiction of the unit of general local government authorized to 
use an abbreviated strategy, and if it is willing to prepare such a 
Plan.
    All certifications must be made by the public official responsible 
for submitting the Plan to HUD. The certifications must be submitted as 
part of the application by the application submission deadline date set 
forth in this program section of the SuperNOFA. The Plan regulations 
are published in 24 CFR part 91.
    (7)(h) A certified Board Resolution that no officer or director of 
the Sponsor or Owner has or will have any financial interest in any 
contract with the Owner or in any firm or corporation that has or will 
have a contract with the Owner, including a current listing of all duly 
qualified and sitting officers and directors by title, and the 
beginning and ending dates of each person's term.
    (7)(i) A certified Board Resolution, acknowledging the 
responsibilities of sponsorship, long-term support of the project(s), 
willingness to assist the Owner to develop, own, manage, and provide 
appropriate services in connection with the proposed project, and that 
it reflects the will of its membership. Also, the resolution shall 
indicate your willingness to fund the estimated start-up expenses, the 
Minimum Capital Investment (one-half of 1 percent of the HUD-approved 
capital advance, not to exceed $10,000, if nonaffiliated with a 
National Sponsor; one-half of 1 percent of the HUD-approved capital 
advance, not to exceed $25,000, for all other Sponsors;), and the 
estimated cost of any amenities or features (and operating costs 
related thereto) that would not be covered by the approved capital 
advance.
    (7)(j) Certification of Consistency with the EZ/EC Strategic Plan 
HUD-2990). A certification that the project is consistent with the EZ/
EC strategic plan, is located within the EZ/EC, and serves EZ/EC 
residents.
    (7)(k) Sponsor's Combined Certifications.
    (7)(k)(i) Certification in Connection with the Development and 
Operation of a Section 202 Project. A certification of compliance with 
the requirements of the Fair Housing Act, Title VI of the Civil Rights 
Act, the Age Discrimination Act of 1975, section 3 of the Housing and 
Urban Development Act of 1968 (12 U.S.C. 1701u) and the implementing 
regulations at 24 CFR part 135, the affirmative fair housing marketing 
requirements of 24 CFR part 200, subpart M and the implementing 
regulations at 24 CFR part 108, and other applicable Federal, State and 
local laws prohibiting discrimination and promoting equal opportunity 
including affirmatively furthering fair housing.
    (7)(k)(ii) Design and Cost Standards. Certification of Compliance 
with HUD's Section 202 project design and cost standards (24 CFR 
891.120 and 891.210), the Uniform Federal Accessibility Standards (24 
CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's 
implementing regulations at 24 CFR part 8, and for covered multifamily 
dwellings designed and constructed for first occupancy after March 13, 
1991, the design and construction requirements of the Fair Housing Act 
and HUD's implementing regulations at 24 CFR part 100, and the 
Americans with Disabilities Act of 1990;
    (7)(k)(iii) Acquisition and Relocation. Certification of Compliance 
with the acquisition and relocation requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended (49 CFR part 24 and 24 CFR part 891.155(e));
    (7)(k)(iv) Formation of Owner Corporation. Certification that you 
will form an ``Owner'' (24 CFR 891.205) after issuance of the capital 
advance; cause the Owner to file a request for determination of 
eligibility and a request for capital advance, and provide sufficient 
resources to the Owner to insure the development and long-term 
operation of the project, including capitalizing the Owner at firm 
commitment processing in an amount sufficient to meet its obligations 
in connection with the project;
    (7)(k)(v) Supportive Services. Certification that you will not 
require residents to accept any supportive services as a condition of 
occupancy; and,
    (7)(k)(vi) Davis-Bacon. Certification of compliance with the Davis-
Bacon requirements and the Contract Work Hours and Safety Standards 
Act.

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR part 50, all Section 202 assistance is 
subject to the National Environmental Policy Act of 1969 and applicable 
related Federal environmental authorities. The environmental review 
provisions of the Section 202 Program regulations are in 24 CFR 
891.155(b).

IX. Authority

    The Section 202 Supportive Housing for the Elderly Program is 
authorized by

[[Page 9914]]

section 202 of the Housing Act of 1959 (12 U.S.C. 1701q). See section 
801 of the Cranston-Gonzalez National Affordable Housing Act (Pub.L. 
101-625; approved November 28, 1990); the Housing and Community 
Development Act of 1992 (Pub.L. 102-550; approved October 28, 1992), 
and the Rescissions Act (Pub.L. 104-19; enacted on July 27, 1995).

APPENDIX A--ADDRESSES FOR SUBMITTING APPLICATIONS

    Please see Appendix A to the Section 811 Program Section of this 
SuperNOFA. Submit your completed application (an original and four 
copies) to the Director of the appropriate Multifamily Hub Office or 
Multifamily Program Center as listed in Appendix A to the Section 811 
program section of this SuperNOFA with the following exceptions:
    1. Applications for projects proposed to be located within the 
jurisdiction of the Seattle, Washington and the Anchorage, Alaska 
Offices must be submitted to the Portland, Oregon Office.
    2. Applications for projects proposed to be located within the 
jurisdiction of the Sacramento, California Office must be submitted to 
the San Francisco, California Office.
    3. Applications for projects proposed to be located within the 
jurisdiction of the Cincinnati, Ohio Office must be submitted to the 
Columbus, Ohio Office.
    4. Applications for projects proposed to be located within the 
jurisdiction of the Washington, DC Office must be submitted to the 
Baltimore, Maryland Office.
BILLING CODE 4210-32-P

[[Page 9915]]

APPENDIX B

    The non-standard forms, which follow, are required for your Section 
202 Program application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9929]]



FUNDING AVAILABILITY FOR THE SECTION 811 PROGRAM OF SUPPORTIVE 
HOUSING FOR PERSONS WITH DISABILITIES (SECTION 811 PROGRAM)

Program Overview

    Purpose of the Program. This program provides funding for 
supportive housing for very low-income persons with disabilities who 
are at least 18 years old. (Please note that funding for a related 
program, Mainstream Opportunities for Persons with Disabilities, is 
found elsewhere in this SuperNOFA.)
    Available Funds. Approximately $109 million.
    Eligible Applicants. Nonprofit organizations that have a section 
501(c)(3) tax exemption from the Internal Revenue Service.
    Application Deadline. May 18, 2000.
    Match Requirements. No.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information, and 
Technical Assistance

    Application Due Date. Submit your completed application on or 
before 6:00 pm, local time, on May 18, 2000, at the address shown 
below.
    See the General Section of this SuperNOFA for specific procedures 
governing the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Submit your completed 
application (an original and four copies) to the Director of the 
appropriate Multifamily Hub Office or Multifamily Program Center as 
listed in Appendix A to this program section of the SuperNOFA with the 
following exceptions:
    1. Applications for projects proposed to be located within the 
jurisdiction of the Seattle, Washington and the Anchorage, Alaska 
Offices must be submitted to the Portland, Oregon Office.
    2. Applications for projects proposed to be located within the 
jurisdiction of the Sacramento, California Office must be submitted to 
the San Francisco, California Office.
    3. Applications for projects proposed to be located within the 
jurisdiction of the Cincinnati, Ohio Office must be submitted to the 
Columbus, Ohio Office.
    4. Applications for projects proposed to be located within the 
jurisdiction of the Washington, DC Office must be submitted to the 
Baltimore, Maryland Office.
    The application kit also includes a listing of the Multifamily Hubs 
and Program Centers, their addresses and telephone numbers, including 
TTY numbers. This information is also available from HUD's SuperNOFA 
Information Center at 1-800-HUD-8929 and from the Internet through the 
HUD web site at http://www.hud.gov. Persons with hearing or speech 
impairments may call the Center's TTY number at 1-800-HUD-2209.
    For Application Kits. For an application kit and any supplemental 
information, please call HUD's SuperNOFA Information Center at 1-800-
HUD-8929. Persons with hearing or speech impairments may call the 
Center's TTY number at 1-800-HUD-2209. When requesting an application 
kit, please refer to the Section 811 Program and provide your name, 
address (including zip code), and telephone number (including area 
code). The application kit also will be available on the Internet 
through the HUD web site at http://www.hud.gov and from the appropriate 
Multifamily Hub Office or Multifamily Program Center.
    For Further Information and Technical Assistance. You may contact 
the appropriate Multifamily Hub Office or Multifamily Program Center, 
Gail Williamson at HUD Headquarters at (202) 708-2866, or access the 
Internet at http://www.hud.gov.
    HUD encourages minority organizations to participate in this 
program and strongly recommends prospective applicants attend the local 
HUD Office workshop. At the workshops, HUD will explain application 
procedures and requirements, as well as address concerns such as local 
market conditions, building codes and accessibility requirements, 
historic preservation, floodplain management, displacement and 
relocation, zoning, and housing costs. If you are interested in 
attending the workshop, make sure that your name, address and telephone 
number are on the appropriate HUD Office's mailing list so that you 
will be informed of the date, time and place of the workshop. Persons 
with disabilities should call the appropriate HUD Office to assure that 
any necessary arrangements can be made to enable their attendance and 
participation in the workshop.
    If you cannot attend the workshop, call the appropriate HUD Office 
if you have any questions regarding the submission of applications to 
that particular office and to request any materials distributed at the 
workshop.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. For more information about the date and 
time of the broadcast, you should consult the HUD web site at http://www.hud.gov.

II. Amount Allocated

    For FY 2000, $108,774,343 for capital advances is available for the 
Section 811 Program of Supportive Housing for Persons with 
Disabilities. The FY 2000 HUD Appropriations Act (HUD Appropriations 
Act) provides $201,000,000 for capital advances, including amendments 
to capital advance contracts; for supportive housing for persons with 
disabilities, as authorized by section 811 of the National Affordable 
Housing Act of 1990 (NAHA); and for project rental assistance, 
including amendments to contracts for project rental assistance, for 
supportive housing for persons with disabilities under section 811 of 
the NAHA.
    Twenty-five percent (25%) of this amount is being set aside for 
tenant-based rental assistance for persons with disabilities 
administered through public housing agencies (PHAs) and nonprofit 
organizations under the Mainstream Housing Opportunities for Persons 
with Disabilities Program which is found elsewhere in this SuperNOFA.
    In accordance with the waiver authority provided in the HUD 
Appropriations Act, the Secretary is waiving the following statutory 
and regulatory provision: The term of the project rental assistance 
contract is reduced from 20 years to 5 years. HUD anticipates that at 
the end of the contract terms, renewals will be approved subject to the 
availability of funds. In addition to this provision, HUD will reserve 
project rental assistance contract funds based on 75 percent rather 
than on 100 percent of the current operating cost standards for 
approved units in order to take into account the average tenant 
contribution toward rent.
    The allocation formula used for Section 811 reflects the ``relevant 
characteristics of prospective program participants,'' as specified in 
24 CFR 791.402(a). The FY 2000 formula consists of two data elements 
from the 1990 Decennial Census: (1) The number of non-institutionalized 
persons age 16 or older with a work disability and a mobility or self-
care limitation and (2) the number of non-institutionalized persons age 
16 or older having a

[[Page 9930]]

mobility or self-care limitation but having no work disability.
    A work disability is defined as a health condition that had lasted 
for 6 or more months which limited the kind (restricted the choice of 
jobs) or amount (not able to work full time) of work a person could do 
at a job or business. A mobility limitation is defined as a health 
condition that lasted for 6 or more months, making it difficult for the 
person to go outside the home alone. This includes outside activities, 
such as shopping or visiting a doctor's office. A self-care limitation 
is defined as a health care limitation that had lasted for 6 or more 
months which made it difficult for the person to take care of his/her 
own personal needs such as dressing, bathing, or getting around inside 
the home. Temporary (short term) problems such as broken bones that are 
expected to heal normally are not considered problems.
    Under the Section 811 Program, each HUD Office jurisdiction 
receives sufficient capital advance funds for a minimum of 10 units. 
The total amount of capital advance funds to support this minimum set-
aside is then subtracted from the total capital advance available. The 
remainder is fair shared to each HUD Office jurisdiction whose fair 
share would exceed the set-aside based on the allocation formula fair 
share factors described below.
    The fair share factors were developed by taking the sum of the 
number of persons in each of the two elements for each state, or state 
portion, of each local HUD Office jurisdiction as a percent of the sum 
of the two data elements from the Decennial Census, described above, 
for the total United States. The resulting percentage for each local 
HUD Office is then adjusted to reflect the relative cost of providing 
housing among the local HUD Office jurisdictions. The adjusted needs 
percentage for each local HUD Office is then multiplied by the total 
amount of capital advance funds available nationwide.
    The Section 811 capital advance funds have been allocated, based on 
the formula above, to 51 local HUD Offices as shown on the following 
chart:

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[[Page 9934]]



III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. HUD provides capital advances and 
contracts for project rental assistance in accordance with 24 CFR part 
891. Capital advances may be used to construct, rehabilitate, or 
acquire structures (including structures from the Federal Deposit 
Insurance Corporation (formerly held by the Resolution Trust 
Corporation) (FDIC/RTC), to be developed into a variety of housing 
options described in Section III(C) below. Capital advance funds bear 
no interest and are based on development cost limits published in this 
SuperNOFA. Repayment of the capital advance is not required as long as 
the housing remains available for at least 40 years for occupancy by 
very low-income persons with disabilities.
    Project rental assistance contract (PRAC) funds are used to cover 
the difference between the tenants' contributions toward rent (30 
percent of adjusted income) and the HUD-approved cost to operate the 
project.
    (B) Eligible Applicants. Nonprofit organizations with a section 
501(c)(3) tax exemption from the Internal Revenue Service are the only 
eligible applicants for this program. A Sponsor or Co-sponsor may not 
apply for more than 70 units of housing or 4 projects (whichever is 
less) for persons with disabilities in a single Hub. In addition, a 
Sponsor or Co-sponsor may not apply for more units in a given HUD 
Office than allocated for the Section 811 program in that HUD Office, 
or for more than 10 percent of the total units allocated in all HUD 
offices. A single application must propose at least five units, not 
necessarily in one structure if the project will be an independent 
living project and two units if the project will be a group home. 
Affiliated entities that submit separate applications are considered a 
single entity for the purpose of these limits.
    (C) Eligible Activities. The types of housing that can be developed 
with Section 811 capital advance funds include small group homes, 
independent living projects and dwelling units in multifamily housing 
developments, condominium and cooperative housing.
    (D) Ineligible Activities. Section 811 funds may not be used for 
any of the following:
    (1) Nursing homes, infirmaries and medical facilities;
    (2) Transitional housing facilities;
    (3) Manufactured housing facilities;
    (4) Intermediate care facilities;
    (5) Community centers, with or without special components for use 
by persons with disabilities;
    (6) Sheltered workshops and centers for persons with disabilities;
    (7) Headquarters for organizations for persons with disabilities; 
and
    (8) Refinancing of Sponsor-owned facilities without rehabilitation.

IV. Program Requirements

    In addition to the program requirements listed in the General 
Section of this SuperNOFA, you must comply with the following 
requirements:
    (A) Statutory Requirements and Regulatory Requirements. You must 
comply with all statutory and regulatory requirements listed in 
Sections III, IV and IX of this program section of the SuperNOFA.
    (B) HUD/RHS Agreement. HUD and the Rural Housing Service (RHS) have 
an agreement to coordinate the administration of the agencies' 
respective rental assistance programs. As a result, HUD is required to 
notify RHS of applications for housing assistance it receives. This 
notification gives RHS the opportunity to comment if it has concerns 
about the demand for additional assisted housing and possible harm to 
existing projects in the same housing market area. HUD will consider 
RHS comments in its review and application selection process.
    (C) Development Cost Limits. (1) The following development cost 
limits, adjusted by locality as described in Section IV(C)(2) below, 
must be used to determine the capital advance amount reserved for 
projects for persons with disabilities:
    (a) For independent living projects and dwelling units in 
multifamily housing developments, condominium and cooperative housing: 
The total development cost of the project attributable to dwelling use 
(less the incremental development cost and the capitalized operating 
costs associated with any excess amenities and design features you will 
pay for) may not exceed:
    Non-elevator structures:
    $33,638 per family unit without a bedroom;
    $38,785 per family unit with one bedroom;
    $46,775 per family unit with two bedrooms;
    $59,872 per family unit with three bedrooms;
    $66,700 per family unit with four bedrooms.
    For elevator structures:
    $35,400 per family unit without a bedroom;
    $40,579 per family unit with one bedroom;
    $49,344 per family unit with two bedrooms;
    $63,834 per family unit with three bedrooms;
    $70,070 per family unit with four bedrooms.
    (b) For group homes only:

                           Type of Disability
------------------------------------------------------------------------
                                                                Chronic
                 No. residents                    Physical/      mental
                                                developmental   illness
------------------------------------------------------------------------
2.............................................     $143,628     $138,645
3.............................................      154,452      149,094
4.............................................      165,276      158,376
5.............................................      176,100      167,658
6.............................................      186,912      176,940
------------------------------------------------------------------------

    (c) These cost limits reflect those costs reasonable and necessary 
to develop a project of modest design that complies with HUD minimum 
property standards; the minimum group home requirements of 24 CFR 
891.310(a) (if applicable); the accessibility requirements of 24 CFR 
891.120(b) and 891.310(b); and the project design and cost standards of 
24 CFR 891.120.
    (2) Increased development cost limits.
    (a) HUD may increase the development cost limits set forth in 
Section IV(C)(1) of this program section of the SuperNOFA by up to 140 
percent in any geographic area where the cost levels require, and may 
increase the development cost limits by up to 160 percent on a project-
by-project basis.

[[Page 9935]]

This increase may include covering additional costs to make dwelling 
units accessible through rehabilitation.
    (b) If HUD finds that high construction costs in Alaska, Guam, the 
Virgin Islands or Hawaii make it infeasible to construct dwellings, 
without the sacrifice of sound standards of construction, design, and 
livability, within the development cost limits provided in Section 
IV(C)(1) of this program section of the SuperNOFA, the amount of 
capital advances may be increased to compensate for such costs. The 
increase may not exceed the limits established under this section 
(including any high cost area adjustment) by more than 50 percent.
    (c) For group homes only, HUD Offices may approve increases in the 
development cost limits in Section IV(C)(1)(b), above, in areas where 
you can provide sufficient documentation that high land costs limit or 
prohibit project feasibility. An example of acceptable documentation is 
evidence of at least three land sales which have actually taken place 
(listed prices for land are not acceptable) within the last two years 
in the area where your project is to be built. The average cost of the 
documented sales must exceed seven percent of the development cost 
limit for your project in order for an increase to be considered.
    (D) Sites. (1) NAHA requires you to provide in your application 
either:
    (a) Evidence of site control, or
    (b) A reasonable assurance that you will have control of a site 
within six months of notification of fund reservation.
    (2) Accordingly, if you have control of a site at the time you 
submit your application, you must include evidence of such as described 
in Section VI(B)(4)(d)(i) of this program section of the SuperNOFA 
relative to site control and in the application kit. If you do not have 
site control, you must provide the information required in Section 
VI(B)(4)(d)(x) of this program section of the SuperNOFA relative to 
identification of a site and in the application kit for identified 
sites as a reasonable assurance that site control will be obtained 
within six months of fund reservation notification.
    (3) Under Criterion (a) of Rating Factor 3 in Section V(D), below, 
related to your proposed site, your application has the potential of 
earning 15 points. Criterion (a)(i) is related to site approvability 
and is worth a maximum of 7 points. Three points for Criterion (a)(ii) 
will be awarded if your project will represent an integrated housing 
model (e.g., condominium units scattered within one or more buildings 
or non-contiguous independent living units on scattered sites). 
Criterion (a)(iii) which is worth five points for site control will be 
awarded as outlined in Section IV(D)(5) below. Regardless of whether 
you submit evidence of site control or have identified a site without 
obtaining control of the site, the site will be evaluated based on its 
proximity or accessibility to shopping, medical facilities, 
transportation, places of worship, recreational facilities, places of 
employment and other necessary services to the intended tenants.
    (4) To meet the ``proximity'' or ``accessibility'' test, you must 
demonstrate that community services and amenities described above are 
either near or accessible to the residents. Sites where the community 
services and amenities described above are either near or accessible to 
the residents other than solely by a project residence or private 
vehicle will be rated more favorably than sites where residents must 
depend upon the project residence or private vehicle to access such 
community services and amenities. Your application will also be 
evaluated to determine whether it complies with the site and 
neighborhood standards in 24 CFR 891.125.
    (5) Criterion (a)(iii) relates to the existence of legally 
acceptable site control. If you:
    (a) Submit evidence of site control for all proposed sites in your 
application,
    (b) The evidence is determined to be legally acceptable for all of 
the sites, and
    (c) All of the sites are approvable (i.e., receive a score of 1 or 
higher for Criterion (a)(i), your application will receive 5 points for 
Criterion (a)(iii).
    (6) If your application contains evidence of site control where 
either the evidence or the site is not approvable, your application 
will not be rejected provided you indicate in your application that you 
are willing to seek an alternate site and provide an assurance that 
site control will be obtained within six months of fund reservation 
notification.
    (E) Supportive Services. You are required to include a Supportive 
Services Plan and a certification from the appropriate State or local 
agency that the provision of services identified in your Supportive 
Services Plan is well designed to address the individual health, mental 
health and other needs of persons with disabilities who will live in 
your proposed project. Section VI(B)(4)(e) of this program section of 
the SuperNOFA, below, outlines the information that must be in the 
Supportive Services Plan. You must submit one copy of your Supportive 
Services Plan to the appropriate State or local agency well in advance 
of the application submission deadline date for the State or local 
agency to review your Supportive Services Plan (Exhibit 4(e) of the 
application kit) and complete the Supportive Services Certification 
(Exhibit 7(l) of the application kit) and return it to you so that you 
can include it in the application you submit to HUD.
    (1) HUD will reject your application if the supportive services 
certification:
    (i) Is not submitted with your application and is not submitted to 
HUD within the 14-day cure period; or
    (ii) Indicates that the provision of supportive services is not 
well designed to address the individual health, mental health and other 
needs of persons with disabilities who will live in your project.
    (2) In addition, if the agency completing the certification will be 
a major funding or referral source for your proposed project or be 
responsible for licensing the project, HUD will reject your application 
if either the agency's supportive services certification indicates--or, 
where the agency fails to complete item 2 or 3 of the certification, 
HUD determines that:
    (i) You failed to demonstrate that supportive services will be 
available on a consistent long-term basis; and/or
    (ii) The proposed housing is not consistent with State or local 
agency plans/policies governing development and operation of housing 
for persons with disabilities.
    Any prospective resident of a Section 811 project who believes he/
she needs supportive services must be given the choice to be 
responsible for acquiring his/her own services or to take part in your 
Supportive Services Plan which must be designed to meet the individual 
needs of each resident. Residents or applicants may not be required to 
accept any supportive service as a condition of occupancy or admission.
    (F) Project Size Limits. (1) Group home--The minimum number of 
persons with disabilities that can reside in a group home is two, and 
the maximum number is six. Only one person per bedroom is allowed, 
unless two residents choose to share one bedroom or a resident 
determines he/she needs another person to share his/her bedroom.
    (2) Independent living project--The minimum number of units that 
can be applied for in one application is five; not necessarily in one 
structure. The maximum number of persons with disabilities that can be 
housed in an independent living project is 18.
    (3) Exceptions--If you are submitting an application with site 
control, you may request an exception to the above

[[Page 9936]]

project size limits by providing the information required in Section 
VI(B)(4)(d)(ix) in this program section of the SuperNOFA, below, and in 
the application kit. Not more than 25 percent of any amounts for 
capital advances or project rental assistance will be used for 
independent living projects that exceed 24 units.
    (G) Minimum Capital Investment. Selected nonprofit organizations 
must provide a minimum capital investment of one-half of one percent of 
the HUD-approved capital advance amount not to exceed a maximum of 
$10,000 in accordance with 24 CFR 891.145.
    (H) Economic Opportunities for Low and Very Low Income Persons. You 
must comply with section 3 of the Housing and Urban Development Act of 
1968, 12 U.S.C. 1701u (Economic Opportunities for Low and Very Low 
Income Persons) and its implementing regulations at 24 CFR part 135. To 
comply, you must ensure that training, employment and other economic 
opportunities are directed, to the greatest extent feasible, toward low 
and very low income persons, particularly those who are recipients of 
government assistance for housing; and to business concerns which 
provide economic opportunities to low and very low income persons.
    (I) Accessibility. If you intend to construct, substantially 
rehabilitate, or acquire, with or without rehabilitation, structures to 
be used as housing for persons with disabilities, you should note 24 
CFR 891.310, which requires that your project meets accessibility 
requirements. In addition, you should note that 24 CFR 8.4(b)(5) 
prohibits the selection of a site or location which has the purpose or 
effect of excluding persons with disabilities from the Federally 
assisted program or activity. Thus, if you choose an existing 
structure, make sure that it can be made accessible without resulting 
in an infeasible project.

V. Application Selection Process

    (A) Review for Curable Deficiencies. You should ensure that your 
application is complete before submitting it to the appropriate HUD 
office. HUD will screen all applications received by the deadline to 
determine if there are any curable deficiencies. A curable deficiency 
is a missing Exhibit or portion of an Exhibit that will not affect the 
rating of your application. The following is a list of the only 
deficiencies that will be considered curable in a Section 811 
application:

Exhibits

(1) Form 92016-CA (Application Form)*
(2)(a) Articles of Incorporation*
    (b) By-laws*
    (c) IRS tax exemption ruling*
(4)(c)(ii) Energy efficiency
    (d)(vii) Letter from the State Historic Preservation Officer (SHPO)
    (d)(viii) Seek alternate site
    (d)(ix) Exception to project size limits
(5) Applications submitted to other offices
(6) Relocation
    (7) (a) Standard Form 424, Application for Federal Assistance*
    (b) Form-HUD 50070, Certification of a Drug-Free Workplace
    (c) Form-HUD 50071, Certification of Payments to Influence Federal 
Transactions and Standard Form-LLL, Disclosure of Lobbying Activities
    (d) Form-HUD 2880, Applicant/Recipient Disclosure/Update Report
    (e) Form-HUD 2992, Certification Regarding Debarment and Suspension
    (f) Executive Order 12372 Certification
    (g) Form-HUD 2991, Certification of Consistency with Consolidated 
Plan
    (h) Conflict of Interest Resolution
    (i) Resolution for Commitment to Project*
    (k) Combined Certifications
    (l) Supportive Services Certification
    (m) Lead-Based Paint Certification
    The HUD Office will notify you in writing if your application is 
missing any of the above exhibits or portions of exhibits and will give 
you 14 days from the date of the notification to submit the information 
required to cure the noted deficiencies. The items identified by an 
asterisk (*) must be dated on or before the application deadline date.
    (B) Rating. HUD will review and rate your application in accordance 
with the Application Selection Process in the General Section of this 
SuperNOFA with the following exception. HUD will not reject your 
application based on technical review without notifying you of the 
rejection with all the reasons for rejection and providing you an 
opportunity to appeal. You will have 14 calendar days from the date of 
HUD's written notice to appeal a technical rejection to the HUD Office. 
If the rejection is due to the nonsubmission of the following exhibits 
because of the failure of a third party to provide information under 
the control of the third party but outside your control (e.g., by 
contract), and you were not provided the opportunity to cure the 
deficiency during the curable deficiency period, you can submit the 
information required to cure the deficiency during the 14 calendar day 
appeal period:
    (1) Exhibit 7(g), Form HUD-2991, Certification of Consistency with 
the Consolidated Plan; and/or
    (2) Exhibit 7(l), Certification for Provision of Supportive 
Services. The information required to cure the above identified 
deficiencies includes the deficient Exhibit and documentation showing 
that the information had been requested from the third party at least 
45 days prior to the application deadline date.
    The HUD Office will make a determination on an appeal before making 
its selection recommendations. Your application(s) will be either rated 
or technically rejected at the end of technical review. If your 
application meets all program eligibility requirements after completion 
of technical review, your application will be rated according to the 
Rating Factors in Section V(D) below.
    (C) Ranking and Selection Procedures. Applications that have a 
total base score of 60 points or more (without the addition of EC/EZ 
bonus points) and meet all of the applicable threshold requirements of 
Section II(B) of the General Section of the SuperNOFA will be eligible 
for selection and will be placed in rank order. HUD will select 
applications, after adding any bonus points for EC/EZ, based on rank 
order, up to and including the last application that can be funded out 
of each HUD Office's allocation. HUD Offices must not skip over any 
applications in order to select one based on the funds remaining. After 
making the initial selections, however, HUD may use any residual funds 
to select the next rank-ordered application by reducing the number of 
units by no more than 10 percent rounded to the nearest whole number, 
provided the reduction will not render the project infeasible. For this 
purpose, however, HUD will not reduce the number of units in projects 
of five units or less.
    After this process is completed, residual funds from all HUD 
Offices within each Multifamily Hub will be combined. First, these 
funds will be used to restore units to projects reduced by HUD Offices 
based on the above instructions. Second, additional applications within 
each Multifamily Hub will be selected in rank order with only one 
application selected per HUD Office. More than one application may be 
selected per HUD Office if there are no approvable applications in 
other HUD Offices within the Multifamily Hub. This process will 
continue until there are no more approvable

[[Page 9937]]

applications within the Multifamily Hub that can be selected with the 
remaining funds. Applications may not be skipped over to select one 
based on funds remaining. However, HUD may use any remaining residual 
funds, to select the next rank-ordered application by reducing the 
number of units by no more than 10 percent rounded to the nearest whole 
number, provided the reduction will not render the project infeasible 
or result in the project being less than 5 units.
    Funds remaining after these processes are completed will be 
returned to Headquarters. First, HUD will use these funds to restore 
units to projects reduced by HUD Offices as a result of the 
instructions for using their residual funds. Second, HUD will use these 
funds for selecting applications based on field offices' rankings, 
beginning with the highest rated application nationwide. Only one 
application will be selected per HUD Office from the national residual 
amount. If there are no approvable applications in other HUD Offices, 
the process will begin again with the selection of the next highest 
rated application nationwide. This process will continue until all 
approvable applications are selected using the available remaining 
funds.
    (D) Factors For Award Used To Evaluate and Rate Applications. HUD 
will rate applications that successfully complete technical processing 
using the Rating Factors set forth below and in accordance with the 
application submission requirements in Section VI(B) below. The maximum 
number of points an application may receive under this program is 102. 
This includes two (2) EZ/EC bonus points, as described in the General 
Section of this SuperNOFA.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (25 Points)

    This factor addresses the extent to which you have the 
organizational resources to successfully implement the proposed 
activities in a timely manner. Submit information responding to this 
factor in accordance with Application Submission Requirements in 
paragraphs (B)(2), (B)(3)(a), (B)(3)(b), and (B)(3)(e) of Section VI of 
this program section of the SuperNOFA.
    In rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to develop and operate the 
proposed housing on a long-term basis, considering the following:
    (a) (12 points) The scope, extent, and quality of your experience 
in providing housing or related services to those proposed to be served 
by the project and the scope of the proposed project (i.e., number of 
units, services, relocation costs, development, and operation) in 
relationship to your demonstrated development and management capacity 
as well as your financial management capability;
    (b) (10 points) The scope, extent, and quality of your experience 
in providing housing or related services to minority persons or 
families as well as your ties to the community at large and to the 
minority and disability communities in particular. For purposes of this 
program section of the SuperNOFA, ``minority'' means the basic racial 
and ethnic categories for Federal statistics and administrative 
reporting, as defined in OMB's Statistical and Policy Directive No. 15. 
(See 62 FR 58782, October 30, 1997.)
    (c) (3 points) You have experience in developing integrated housing 
(e.g., condominium units scattered within one or more buildings or non-
contiguous independent living units on scattered sites).

Rating Factor 2: Need/Extent of the Problem (15 Points)

    This factor addresses the extent to which there is a need for 
funding the proposed activities to address a documented problem in the 
target area. Submit information responding to this factor in accordance 
with Application Submission Requirements in paragraphs (B)(4)(a) and 
(B)(4)(b) of Section VI of this program section of the SuperNOFA. In 
evaluating this factor, HUD will consider:
    The extent of the need for the project in the area based on a 
determination by the HUD Office. In making this determination, HUD will 
consider your evidence of need in the area, as well as other economic, 
demographic, and housing market data available to the HUD Office. The 
data could include the availability of existing comparable subsidized 
housing for persons with disabilities and current occupancy in such 
housing, comparable subsidized housing for persons with disabilities 
under construction or for which fund reservations have been issued, 
and, in accordance with an agreement between HUD and RHS, comments from 
RHS on the demand for additional comparable subsidized housing and the 
possible harm to existing projects in the same housing market area. The 
Department also will review more favorably those applications which 
establish a connection between the proposed project and the community's 
Analysis of Impediments to Fair Housing Choice (AI) or other planning 
document that analyzes fair housing issues and is prepared by a local 
planning or similar organization. You must show how the proposed 
project will address an impediment to fair housing choice described in 
the AI or meet a need identified in the other type of planning 
document.

Rating Factor 3: Soundness of Approach (40 Points)

    This factor addresses the quality and effectiveness of your 
proposal. There must be a clear relationship between the proposed 
activities, the community's needs and purposes of the program funding 
for your application to receive points for this factor. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in paragraphs (B)(4)(c), (B)(4)(d), and 
(B)(4)(e) of Section VI of this program section of the SuperNOFA. In 
evaluating this factor, HUD will consider the following:
    (a)(i) (7 points) Site approvability--The proximity or 
accessibility (other than by sole means of a project residence or 
private vehicle) of the site to shopping, medical facilities, 
transportation, places of worship, recreational facilities, places of 
employment, and other necessary services to the intended tenants; 
adequacy of utilities and streets, and freedom of the site from adverse 
environmental conditions (based on site visit for site control projects 
only); and compliance with site and neighborhood standards in 24 CFR 
891.125(a), (d), and (e);
    (a)(ii) (3 points) Integrated model--If your project will be an 
integrated model as described in Section IV(D) above, your application 
will receive 3 points for this Criterion.
    (a)(iii) (5 points) Site control--If your application contains 
legally acceptable site control for all proposed sites and all of the 
proposed sites are approvable (i.e., receive a score of 1 or higher on 
Criterion (a)(i)), your application will receive 5 points for site 
control;
    (b) (10 points) The suitability of the site from the standpoints of 
promoting a greater choice of housing opportunities for minorities and 
persons with disabilities and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the HUD Office. If 
appropriate, HUD may visit the site.
    (i) The site will be deemed acceptable if it increases housing 
choice and opportunity by:

Expanding housing opportunities in non-minority neighborhoods (if

[[Page 9938]]

located in such a neighborhood); or -- Contributing to the 
revitalization of and reinvestment in minority neighborhoods, including 
improvement of the level, quality and affordability of services 
furnished to minority persons with disabilities. You should refer to 
the Site and Neighborhood Standards provisions of the regulations 
governing the Section 811 Supportive Housing Program (24 CFR 891.125(b) 
and (c)) when considering sites for your projects.

    (ii) For the purpose of this competition, the term ``minority 
neighborhood (area of minority concentration)'' is defined as one where 
any one of the following statistical conditions exists:

The percentage of persons of a particular racial or ethnic minority is 
at least 20 points higher than the minority's or combination of 
minorities' percentage in the housing market as a whole; or,
 The neighborhood's total percentage of minority persons is at least 20 
points higher than the total percentage of minorities for the housing 
market area as a whole; or
The neighborhood's total percentage of minorities exceeds 50 percent of 
the population. The term ``minority area'' is defined as one in which 
the minority population is lower than 10 percent.

    (c) (5 points) The extent to which the proposed design of the 
project, including both the exterior and interior design, will meet the 
individual needs of persons with disabilities the housing is expected 
to serve;
    (d) (5 points) The extent to which the proposed design of the 
project and its placement in the neighborhood will facilitate the 
integration of the residents into the surrounding community and promote 
the ability of the residents to live as independently as possible; and
    (e) (5 points) At least 51% of your board members are persons with 
disabilities.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other community 
resources which can be combined with HUD's program resources to achieve 
program purposes. Submit information responding to this factor in 
accordance with Application Submission Requirements in paragraphs 
(B)(3)(c) and (B)(3)(d) of Section VI of this program section of the 
SuperNOFA.
    (a) (5 points) The extent of local government support (including 
financial assistance, donation of land, provision of services, etc.) 
for the project; and
    (b) (5 points) The extent of your activities in the community, 
including previous experience in serving the area where the project is 
to be located, developing integrated housing models and your 
demonstrated ability to enlist volunteers and raise local funds.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you coordinated your 
activities with other known organizations, participate or promote 
participation in the community's Consolidated Planning process, and are 
working towards addressing a need in a holistic and comprehensive 
manner through linkages with other activities in the community. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in paragraphs (B)(3)(f), (B)(3)(g), (B)(3)(h), 
and (B)(3)(i) of Section VI of this program section of the SuperNOFA.
    (a) (4 points) You involved persons with disabilities (including 
minority persons with disabilities) in the development of the 
application, and will involve persons with disabilities (including 
minority persons with disabilities) in the development and operation of 
the project;
    (b) (2 points) The extent to which you coordinated your application 
with other organizations (including local independent living centers; a 
list of such can be obtained from the local HUD Office) to complement 
and/or support the proposed project;
    (c) (2 points) The extent to which you demonstrated that you have 
been actively involved, or if not currently active, the steps you will 
take to become actively involved in the community's Consolidated 
Planning process to identify and address a need/problem that is related 
in whole or part, directly or indirectly to the proposed project; and
    (d) (2 points) The extent to which you developed or plan to develop 
linkages with other activities, programs (for example, the Mainstream 
Housing Opportunities for Persons with Disabilities Program) or 
projects related to the proposed project to coordinate your activities 
so solutions are holistic and comprehensive.

Bonus Points

    (2 bonus points) Location of proposed site in an EZ/EC area, as 
described in the General Section of this SuperNOFA. Submit the 
information responding to the bonus points in accordance with the 
Application Submission Requirements in paragraph (B)(7)(j) of Section 
VI of this program section of the SuperNOFA.

VI. Application Submission Requirements

    (A) Application. Your application must include all of the 
information, materials, forms, and exhibits listed in Section VI(B) of 
this program section of the SuperNOFA (unless you were selected for a 
Section 811 fund reservation within the last three funding cycles). If 
you qualify for this exception, you are not required to submit the 
information described in Section VI(B)(2)(a), (b), and (c), below, of 
this program section of the SuperNOFA (Exhibits 2.a., b., and c. of the 
application kit), which are the articles of incorporation (or other 
organizational documents), by-laws, and the IRS tax exemption, 
respectively. If there has been a change in any of these documents 
since your previous HUD approval, you must submit the updated 
information in your application. The HUD Office will verify your 
indication of previous HUD approval by checking the project number and 
approval status with the appropriate HUD Office based on information 
submitted in Section VI(B)(2) below.
    In addition to this relief of paperwork burden in preparing 
applications, you are able to use information and exhibits previously 
prepared for prior applications under Section 811, Section 202, or 
other funding programs. Examples of exhibits that may be readily 
adapted or amended to decrease the burden of application preparation 
include, among others, those on previous participation in the Section 
202 or Section 811 programs, your experience in the provision of 
housing and services, supportive services plans, community ties, and 
experience serving minorities.
    (B) General Application Requirements. Your application must contain 
the items listed in this Section VI(B). These items include the 
standard forms, certifications, and assurances listed in the General 
Section of the SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in Appendix B to the General Section of the 
SuperNOFA. The remaining application items that are forms (i.e., 
excluding such items as narratives), referred to as the ``non-standard 
forms'' can be found as Appendix B to this program section of the 
SuperNOFA. The items are as follows:

    Note: You may apply for a scattered site project in one 
application


[[Page 9939]]


    (1) Form HUD-92016-CA, Application for Section 811 Supportive 
Housing Capital Advance.
    (2) Evidence of your and each Co-Sponsor's legal status as a 
nonprofit organization, including the following:
    (2)(a) Articles of Incorporation, constitution, or other 
organizational documents;
    (2)(b) By-laws;
    (2)(c) IRS section 501(c)(3) tax exemption ruling (this must be 
submitted by you and all Co-Sponsors, including churches).

    Note: If you received a section 811 fund reservation within the 
last three funding cycles, you are not required to submit the 
documents described in paragraph (2)(a), (2)(b), and (2)(c), above. 
Instead, you must submit the project number of the latest 
application selected and the HUD office to which it was submitted. 
If there have been any modifications or additions to the subject 
documents, indicate such, and submit the new material.

    (2)(d) The number of people on your board and the number of those 
people who have disabilities.
    (3) A description of your purpose, community ties, and experience, 
including the following:
    (3)(a) A description of your purpose, current activities and how 
long you have been in existence;
    (3)(b) A description of your ties to the community at large and to 
the minority and disability communities in particular;
    (3)(c) A description of local government support for the project 
(including financial assistance, donation of land, provision of 
services, etc.);
    (3)(d) Letters of support for your organization and for the 
proposed project from organizations familiar with the housing and 
supportive services needs of the persons with disabilities that you 
expect to serve in the proposed project (e.g., the local center for 
independent living, the Statewide Independent Living Council);
    (3)(e) A description of your housing and/or supportive services 
experience. The description should include any rental housing projects 
(including integrated housing developments) and/or supportive services 
facilities that you have sponsored, owned, and/or operated; your past 
or current involvement in any programs other than housing that 
demonstrates your management capabilities (including financial 
management) and experience, and your experience in serving persons with 
disabilities and minorities; and the reasons for receiving any 
increases in fund reservations for developing and/or operating any 
previously funded Section 811 or Section 202 projects. The description 
should include data on the facilities and services provided, the 
racial/ethnic composition of the populations served, if available, and 
information and testimonials from residents or community leaders on the 
quality of the activities. Examples of activities that could be 
described include housing counseling, nutrition and food services, 
special housing referral, screening and information projects.
    (3)(f) A description, if applicable, of your efforts to involve 
persons with disabilities (including minority persons with 
disabilities) and the local center for independent living in the 
development of your application and in the development and operation of 
the project.
    (3)(g) A description of the steps you took to identify and 
coordinate your application with other organizations to complement and/
or support your proposed project as well as the steps you will take, if 
funded, to share information on solutions and outcomes relative to the 
development of your proposed project.
    (3)(h) A description of your involvement in the community's 
Consolidated Planning process, including:
    (3)(h)(i) An identification of the lead/facilitating agency that 
organizes/administers the process;
    (3)(h)(ii) An identification of the Consolidated Plan issue areas 
in which you participate;
    (3)(h)(iii) Your level of participation in the process, including 
active involvement with any neighborhood-based organizations, 
associations or any committees that support programs and activities 
that enhance projects, or the lives of residents of projects, such as 
the one proposed in your application.
    If you are not currently active, describe the specific steps you 
will take to become active in the Consolidated Planning process. 
(Consult the local HUD Office for the identification of the 
Consolidated Plan community process for the appropriate area.)
    (3)(i) A description of the linkages that you have developed or 
plan to develop with other related activities, programs (for example, 
the Mainstream Housing Opportunities for Persons with Disabilities 
Program) or projects in order that the development of the project 
provides a comprehensive and holistic solution to the needs of the 
target population.
    (4) Project information including the following:
    (4)(a) Evidence of need for supportive housing. Such evidence would 
include a description of the proposed population and evidence 
demonstrating sustained effective demand for supportive housing for the 
proposed population in the market area to be served, taking into 
consideration the occupancy and vacancy conditions in existing 
comparable subsidized housing for persons with disabilities, State or 
local needs assessments of persons with disabilities in the area, the 
types of supportive services arrangements currently available in the 
area, and the use of such services as evidenced by data from local 
social service agencies. Also, a description of how information in the 
community's Analysis of Impediments to Fair Housing Choice was used in 
documenting the need for the project.
    (4)(b) A description of how the proposed project will benefit the 
target population and the community in which it will be located;
    (4)(c) A description of the project, including the following:
    (4)(c)(i) A narrative description of the building(s) including the 
number and type of structure(s), number of bedrooms if group home, 
number of units with bedroom distribution if independent living units 
(including dwelling units in multifamily housing developments, 
condominiums and cooperatives), number of residents with disabilities, 
and any resident manager per structure; an identification of all 
community spaces, amenities, or features planned for the housing and a 
description of how the spaces, amenities, or features will be used, and 
the extent to which they are necessary to accommodate the needs of the 
proposed residents. If these community spaces, amenities, or features 
would not comply with the project design and cost standards of 
Sec. 891.120 and the special project standards of Sec. 891.310, you 
must demonstrate your ability and willingness to contribute both the 
incremental development cost and continuing operating cost associated 
with the community spaces, amenities, or features; and a description of 
how the design of the proposed project will promote the integration of 
the residents into the surrounding community and the ability of the 
residents to live as independently as possible; and
    (4)(c)(ii) A description of whether and how the project will 
promote energy efficiency, and, if applicable, innovative construction 
or rehabilitation methods or technologies to be used that will promote 
efficient construction.
    (4)(d) Evidence of control of an approvable site, OR identification 
of a site for which you provide a reasonable assurance that you will 
obtain control within 6 months from the date of fund

[[Page 9940]]

reservation (if you are approved for funding).
    Site control--If you are submitting an application with site 
control, you must submit the following:
    (4)(d)(i) Acceptable evidence that you have site control, which is 
limited to any one of the following:
    (A) Deed or long-term leasehold which evidences that you have title 
to or a leasehold interest in the site. If a leasehold, the term of the 
lease must be at least 50 years;
    (B) Contract of sale for the site which is free of any limitations 
affecting ability to deliver ownership to you after you receive and 
accept a notice of Section 811 capital advance. The only condition for 
closing on the sale can be your receipt and acceptance of the capital 
advance. The contract of sale cannot require closing on a date earlier 
than the Section 811 closing.
    (C) Option to purchase or for a long-term leasehold which must 
remain in effect for six months from the date on which the applications 
are due and must state a firm price binding on the seller. The only 
condition on which the option may be terminated is if you are not 
awarded a fund reservation. The option must be renewable at the end of 
the six month option period.
    (D) Where the proposed site is subject to a mortgage under a HUD 
program (e.g., an earlier Section 811 or an FHA-insured mortgage), you 
must submit evidence that consent to release of the site from the 
mortgage has been obtained or has been requested from HUD and from the 
mortgagee, if other than HUD.
    (E) For sites to be acquired from a public body, evidence is needed 
that the public body possesses clear title to the site and has entered 
into a legally binding agreement to lease or convey the site to you 
after you receive and accept a notice of Section 811 capital advance. 
If HUD determines that time constraints of the funding round will not 
permit you to obtain all of the required official actions (e.g., 
approval of Community Planning Boards) that are necessary to convey 
publicly-owned sites, you may include in your application a letter from 
the mayor or director of the appropriate local agency indicating that 
conveyance or leasing of the site is acceptable without imposition of 
additional covenants or restrictions, and only contingent on the 
necessary approval action. Such a letter commitment will be considered 
sufficient evidence of site control.
    (4)(d)(ii) Whether you have title to the site, a contract of sale, 
an option to purchase or are acquiring a site from a public body, you 
must provide evidence (a title policy or other acceptable evidence) 
that the site is free of any limitations, restrictions, or reverters 
which could adversely affect the use of the site for the proposed 
project for the 40-year capital advance period under HUD's regulations 
and requirements (e.g., reversion to seller if title is transferred). 
If the title evidence contains restrictions or covenants, copies of the 
restrictions or covenants must be submitted with the application. If 
the site is subject to any such limitations, restrictions, or 
reverters, the site will be rejected. Purchase money mortgages that 
will be satisfied from capital advance funds are not considered to be 
limitations or restrictions that would adversely affect the use of the 
site. If the contract of sale or option agreement contains provisions 
that allow a Sponsor not to purchase the property for reasons such as 
environmental problems, failure of the site to pass inspection, or the 
appraisal is less than the purchase price, then such provisions are not 
objectionable and a Sponsor is allowed to terminate the contract of 
sale or the option agreement.

    Note: A Proposed project site may not be acquired or optioned 
from a general contractor (or its affiliate) that will construct the 
section 811 project or from any other development team member.

    (4)(d)(iii) Evidence that your project as proposed is permissible 
under applicable zoning ordinances or regulations, or a statement of 
the proposed action required to make your proposed project permissible. 
You must provide the basis for your belief that the proposed action 
will be completed successfully before the submission of the firm 
commitment application (e.g., a summary of the results of any requests 
for rezoning on land in similar zoning classifications and the time 
required for such rezoning, the procedures for obtaining special or 
conditional use permits on land in similar zoning classifications and 
the time required for such rezoning, or preliminary indications of 
acceptability from zoning bodies, etc.). NOTE: You should be aware that 
under certain circumstances the Fair Housing Act requires localities to 
make reasonable accommodations to their zoning ordinances or 
regulations to offer persons with disabilities an opportunity to live 
in an area of their choice. If you are relying upon a theory of 
reasonable accommodation to satisfy the zoning requirement, then you 
must clearly articulate the basis for your reasonable accommodation 
theory.
    (4)(d)(iv) A narrative topographical and demographic description of 
the suitability of the site and area as well as a description of the 
area surrounding the site, the characteristics of the neighborhood, how 
the site will promote greater housing opportunities for minorities and 
persons with disabilities thereby affirmatively furthering fair 
housing. (NOTE: You can best demonstrate your commitment to 
affirmatively furthering fair housing by describing how proposed 
activities will assist the jurisdiction in overcoming impediments to 
fair housing choice identified in the applicable jurisdiction's 
Analysis of Impediments to Fair Housing Choice (AI), which is a 
component of the jurisdiction's Consolidated Plan, or any other 
planning document that addresses fair housing issues. The applicable 
Consolidated Plan and AI may be the Community's, the County's, or the 
State's, to which input should have been provided by local community 
organizations, agencies in the community, and residents of the 
community. Alternatively, a document that addresses fair housing issues 
and remedies to barriers to fair housing in the community that was 
previously prepared by a local planning, or similar organization, may 
be used. Applicable impediments could include a lack of units that are 
accessible to persons with disabilities, a lack of transportation 
services or other assistance that would serve persons with 
disabilities, or the need for improved housing quality and services for 
all persons with disabilities.
    (4)(d)(v) A map showing the location of the site and the racial 
composition of the neighborhood, with the area of racial concentration 
delineated.
    (4)(d)(vi) A Phase I Environmental Site Assessment, in accordance 
with the American Society for Testing and Material (ASTM) Standards E 
1527-97, as amended, in order for the application to be considered as 
an application with site control. The Phase I study must be completed 
and submitted with the application. The Phase I study is not a curable 
deficiency for the Section 811 Program. Therefore, it is important that 
you start the site assessment process as soon after publication of this 
SuperNOFA as possible.
    If the Phase I study indicates the possible presence of 
contamination and/or hazards, you must decide whether to continue with 
this site or choose another site. Should you choose another site, the 
same environmental site assessment procedure identified above must be 
followed for that site.

    Note: For properties to be acquired from the FDIC/RTC, include a 
copy of the FDIC/RTC prepared Transaction Screen Checklist or Phase 
I Environmental Site Assessment,

[[Page 9941]]

and applicable documentation, per the FDIC/RTC Environmental 
Guidelines.

    If you choose to continue with the original site on which the Phase 
I study indicated contamination or hazards, you must undertake a 
detailed Phase II Environmental Site Assessment by an appropriate 
professional. If the Phase II Assessment reveals site contamination, 
the extent of the contamination and a plan for clean-up of the site 
must be submitted to the local HUD Office. The plan for clean-up must 
include a contract for remediation of the problem(s) and an approval 
letter from the applicable Federal, State, and/or local agency with 
jurisdiction over the site. In order for your application to be 
considered as an application with site control you must submit this 
information to the local HUD Office on or before June 19, 2000.

    Note: This could be an expensive undertaking. You must pay for 
the cost of any clean-up and/or remediation.

    (4)(d)(vii) A letter from the State Historic Preservation Officer 
(SHPO) indicating whether the proposed site(s) has any historical 
significance. If you cannot obtain a letter from the SHPO due to the 
SHPO not responding to your request or the SHPO responding that it 
cannot or will not comply with the requirement, you must submit the 
following:
    (A) A letter indicating that you attempted to get the required 
letter from the SHPO but that the SHPO either had not responded to your 
request or would not honor or recognize your request;
    (B) A copy of your letter to the SHPO requesting the required 
letter; and
    (C) A copy of the SHPO's response, if available.
    (4)(d)(viii) A statement that you are willing to seek a different 
site if the preferred site is unapprovable and that site control will 
be obtained within six months of notification of fund reservation.
    (4)(d)(ix) If you are requesting an exception to the project size 
limits found in Section IV(F) of this program section of the SuperNOFA, 
describe why the site was selected and demonstrate the following:
    (A) People with disabilities have indicated their preference to 
live in housing with as many units/people as proposed for your project;
    (B) The increased number of units/people is warranted by the market 
conditions in the area in which the project is to be located.
    (C) Your project is compatible with other residential development 
and the population density of the area in which your project is to be 
located;
    (D) The increased number of people will not prohibit their 
successful integration into the community;
    (E) Your project is marketable in the community;
    (F) The size of your project is consistent with State and/or local 
policies governing similar housing for the proposed population; and
    (G) A statement that you are willing to have your application 
processed at the project size limit should HUD not approve the 
exception.
    Site identified--If you have identified a site, but do not have it 
under control, you must submit the following information:
    (4)(d)(x) A description of the location of the site, including its 
street address, its unit number (if condominium), neighborhood/
community characteristics (to include racial and ethnic data), 
amenities, adjacent housing and/or facilities, and how the site will 
promote greater housing opportunities for minorities and persons with 
disabilities thereby affirmatively furthering fair housing. You can 
best demonstrate your commitment to affirmatively furthering fair 
housing by describing how your proposed activities will assist the 
jurisdiction in overcoming impediments to fair housing choice 
identified in the community's AI or any other planning document that 
addresses fair housing issues. Examples of the applicable impediments 
include the need for improved housing quality and services for minority 
persons with disabilities and the need for quality services for persons 
with disabilities within the type and quality of similar services and 
housing in minority areas;
    (4)(d)(xi) A description of the activities undertaken to identify 
the site, as well as what actions must be taken to obtain control of 
the site, if approved for funding;
    (4)(xii) An indication as to whether the site is properly zoned. If 
it is not, an indication of the actions necessary for proper zoning and 
whether these can be accomplished within six months of fund reservation 
award, if approved for funding;
    (4)(d)(xiii) A status of the sale of the site; and
    (4)(d)(xiv) An indication as to whether the site would involve 
relocation.
    (4)(e) A supportive services plan (a copy of which must be sent to 
the appropriate State or local agency as instructed in Section IV(E) of 
this program section of the SuperNOFA) that includes:
    (4)(e)(i) A detailed description of whether the housing is expected 
to serve persons with physical disabilities, developmental 
disabilities, chronic mental illness or any combination of the three. 
Include how and from whom/where persons will be referred to and 
accepted for occupancy in the project.
    (4)(e)(ii) Information concerning limitation of occupancy, if 
applicable. You may, with the approval of the Secretary, limit 
occupancy within housing developed under this program section of the 
SuperNOFA to persons with disabilities who have similar disabilities 
and require a similar set of supportive services in a supportive 
housing environment. However, the Owner must permit occupancy by any 
qualified person with a disability who could benefit from the housing 
and/or services provided, regardless of the person's disability. If you 
are requesting approval to limit occupancy in your proposed project(s), 
you must submit the following:
    (A) A description of the population of persons with disabilities to 
which occupancy will be limited;
    (B) An explanation of why it is necessary to limit occupancy of the 
proposed project(s) to the population described in (4)(e)(ii) above. 
This should include but is not limited to:

--An explanation of how limiting occupancy to a subcategory of persons 
with disabilities promotes the goals of the Section 811 Program; and,
--An explanation of why the housing and/or service needs of this 
population cannot be met in a more integrated setting.

    (C) A description of your experience in providing housing and/or 
supportive services to the proposed occupants; and
    (D) A description of how you will ensure that the occupants of the 
proposed project(s) will be integrated into the neighborhood and 
surrounding community.
    (4)(e)(iii) A detailed description of the supportive service needs 
of the persons with disabilities that the housing is expected to serve.
    (4)(e)(iv) A list of community service providers, including those 
that are consumer-controlled, and letters of intent to provide services 
to residents of the proposed project(s) from as many potential service 
providers as possible. You must make this list available to any 
residents who wish to be responsible for acquiring their own supportive 
services. However, a provider may not require residents to accept any 
particular service.
    (4)(e)(v) The evidence of each service provider's capability and 
experience in providing such supportive services (applicable even if 
you will be the service provider);

[[Page 9942]]

    (4)(e)(vi) Identification of the extent of State and/or local 
agency involvement in the project (i.e., funding for the provision of 
supportive services, referral of residents, or licensing the project). 
If there will be any State or local agency involvement, a description 
of the State or local agency's philosophy/policy concerning housing for 
the population to be served and a demonstration that your application 
is consistent with State or local plans and policies governing the 
development and operation of housing for the same disabled population;
    (4)(e)(vii) If you will be making any supportive services available 
to the residents or will be coordinating the availability of any 
supportive services, a letter providing:
    (A) A description of the supportive services that you will make 
available to the residents or, if you will be coordinating the 
availability of any supportive services, a description of the 
supportive service(s) and how the coordination will be implemented;
    (B) An assurance that any supportive services that you will make 
available to the residents will be based on their individual needs; and
    (C) A commitment to make the supportive services available or 
coordinate their availability for the life of the project.
    (4)(e)(viii) A description of how the residents will be afforded 
opportunities for employment.
    (4)(e)(ix) An indication as to whether the project will include a 
unit for a resident manager; and
    (4)(e)(x) A statement that you will not condition occupancy on the 
resident's acceptance of any supportive services.
    (5) A list of the applications, if any, that you have submitted or 
are planning to submit to any other HUD Office in response to this 
Section 811 funding announcement under this SuperNOFA or announcement 
for funding under this SuperNOFA of the Section 202 Program of 
Supportive Housing for the Elderly. Indicate, by HUD Office, the number 
of units requested and the proposed location by city and State for each 
application. Include a list of all FY 1999 and prior year projects to 
which you are a party, identified by project number and HUD Office, 
which have not been finally closed.
    (6) A statement that:
    (6)(a) Identifies all persons (families, individuals, businesses, 
and nonprofit organizations) by race/minority group and status as 
owners or tenants occupying the property on the date of submission of 
the application for a capital advance;
    (6)(b) Indicates the estimated cost of relocation payments and 
other services;
    (6)(c) Identifies the staff organization that will carry out the 
relocation activities; and
    (6)(d) Identifies all persons that have moved from the site within 
the last 12 months. (This requirement applies to applications with site 
control only. Sponsors of applications with identified sites that are 
selected will be required to submit this information at a later date 
once they have obtained site control.)

    Note: If any of the relocation costs will be funded from sources 
other than the section 811 capital advance, you must provide 
evidence of a firm commitment of these funds. When evaluating 
applications, HUD will consider the total cost of proposals (i.e., 
cost of site acquisition, relocation, construction and other project 
costs).

    (7) Certifications and Resolutions. In addition to the 
certifications and assurances listed in the General Section of this 
SuperNOFA with the exception of SF-424A, SF-424B, SF-424C, SF-424D and 
the OMB Circulars which are not required, you are required to submit 
signed copies of the following:
    (7)(a) Standard Form 424. Application for Federal Assistance and 
indication of whether you are delinquent on any Federal debt. (See 
instructions for submitting this form in the Consolidated Application 
Submissions section of the General Section of the SuperNOFA.)
    (7)(b) Drug-Free Workplace (HUD-50070). Certification to provide a 
drug-free workplace.
    (7)(c) Payments to Influence Federal Transactions (HUD-50071) and 
Standard Form LLL, Disclosure of Lobbying Activities. Certification of 
whether any of the funds received will be used to influence any Federal 
transactions and disclosure of those activities, if applicable.
    (7)(d) Applicant/Recipient Disclosure/Update Report, including 
Social Security Numbers and Employee Identification Numbers, (HUD-
2880). A disclosure of assistance from other government sources 
received in connection with the project.
    (7)(e) Certification Regarding Debarment and Suspension (HUD-2992) 
(24 CFR 24.510)--a certification attesting to the eligibility of your 
principals.
    (7)(f) Executive Order 12372 Certification. A certification that 
you have submitted a copy of your application, if required, to the 
State agency (single point of contact) for State review in accordance 
with Executive Order 12372.
    (7)(g) Certification of Consistency with the Consolidated Plan 
(Plan) (Form HUD-2991) for the jurisdiction in which the proposed 
project will be located. The certification must be made by the unit of 
general local government if it is required to have, or has, a complete 
Plan. Otherwise, the certification may be made by the State, or by the 
unit of general local government if the project will be located within 
the jurisdiction of the unit of general local government authorized to 
use an abbreviated strategy, and if it is willing to prepare such a 
Plan.
    All certifications must be made by the public official responsible 
for submitting the Plan to HUD. The certifications must be submitted as 
part of the application by the application submission deadline date set 
forth in this program section of the SuperNOFA. The Plan regulations 
are published in 24 CFR part 91.
    (7)(h) A certified Board Resolution that no officer or director of 
the Sponsor or Owner has or will have any financial interest in any 
contract with the Owner or in any firm or corporation that has or will 
have a contract with the Owner, including a current listing of all duly 
qualified and sitting officers and directors by title and the beginning 
and ending dates of each person's term.
    (7)(i) A Certified Board Resolution acknowledging responsibilities 
of sponsorship, long-term support of the project(s), your willingness 
to assist the Owner to develop, own, manage and provide appropriate 
services in connection with the proposed project, and that it reflects 
the will of your membership. Also, it shall indicate your willingness 
to fund the estimated start-up expenses, the Minimum Capital Investment 
(one-half of one-percent of the HUD-approved capital advance, not to 
exceed $10,000), and the estimated cost of any amenities or features 
(and operating costs related thereto) that would not be covered by the 
approved capital advance.
    (7)(j) Certification of Consistency with the EZ/EC Strategic Plan 
(HUD-2990). A certification that the project is consistent with the EZ/
EC strategic plan, is located within the EZ/EC, and serves EZ/EC 
residents.
    (7)(k) Sponsor's Combined Certifications.
    (7)(k)(i) Certification in Connection with the Development and 
Operation of a Section 811 Project. A certification of compliance with 
the requirements of the Fair Housing Act, Title VI of the Civil Rights 
Act, the Age Discrimination Act of 1975, section 3 of the Housing and 
Urban Development Act of 1968 (12 U.S.C. 1701u) and the implementing 
regulations at 24 CFR part 135, the affirmative fair housing marketing 
requirements of 24 CFR part 200, subpart M, and the implementing 
regulations at 24 CFR part 108, and

[[Page 9943]]

other applicable Federal, State and local laws prohibiting 
discrimination and promoting equal opportunity including affirmatively 
furthering fair housing.
    (7)(k)(ii) Design and Cost Standards. Certification of Compliance 
with HUD's Section 811 project design and cost standards (24 CFR 
891.120 and 891.310), the Uniform Federal Accessibility Standards (24 
CFR 40.7), section 504 of the Rehabilitation Act of 1973 and HUD's 
implementing regulations at 24 CFR part 8, and for covered multifamily 
dwellings designed and constructed for first occupancy after March 13, 
1991, the design and construction requirements of the Fair Housing Act 
and HUD's implementing regulations at 24 CFR part 100, and the 
Americans with Disabilities Act of 1990.
    (7)(k)(iii) Acquisition and Relocation. Certification of Compliance 
with the acquisition and relocation requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970 (49 CFR part 24 and 24 CFR part 891.155(e)).
    (7)(k)(iv) Formation of Owner Corporation. Certification that you 
will form an ``Owner'' (24 CFR 891.305) after issuance of the capital 
advance; cause the Owner to file a request for determination of 
eligibility and a request for capital advance, and provide sufficient 
resources to the Owner to insure the development and long-term 
operation of the project, including capitalizing the Owner at firm 
commitment processing in an amount sufficient to meet its obligations 
in connection with the project.
    (7)(k)(v) Supportive Services. Certification that you will not 
require residents to accept any supportive services as a condition of 
occupancy; and,
    (7)(k)(vi) Davis-Bacon. Certification of compliance with the Davis-
Bacon requirements and the Contract Work Hours and Safety Standards 
Act.
    (7)(l) Supportive Services Certification. A certification from the 
appropriate State or local agency identified in the application kit 
indicating whether the:
    (7)(l)(i) Provision of supportive services is well designed to 
serve the needs of persons with disabilities the housing is expected to 
serve;
    (7)(l)(ii) Supportive services will be available on a consistent, 
long-term basis; and
    (7)(l)(iii) Proposed housing is consistent with State or local 
plans and policies governing the development and operation of housing 
to serve individuals of the proposed occupancy category(ies) if the 
State or local agency will provide funding for the provision of 
supportive services, refer residents to the project or license the 
project. (The name, address, and telephone number of the appropriate 
agency will be identified in the application kit and can also be 
obtained from the appropriate HUD Office.)
    (7)(m) Certification that you will comply with the requirements of 
the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and 
implementing regulations at 24 CFR part 35 (except as superseded in 24 
CFR 891.325).

VII. Corrections to Deficient Applications

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VIII. Environmental Requirements

    In accordance with 24 CFR part 50, all Section 811 assistance is 
subject to the National Environmental Policy Act of 1969 and applicable 
related Federal environmental authorities. The environmental review 
provisions of the Section 811 Program regulations are in 24 CFR 
891.155(b).

IX. Authority

    Section 811 of the Cranston-Gonzalez National Affordable Housing 
Act (Pub. L. 101-625, approved November 28, 1990), as amended by the 
Housing and Community Development Act of 1992) (Pub. L. 102-550, 
approved October 28, 1992), and by the Rescissions Act (Pub. L. 104-19, 
approved July 27, 1995) authorized a new supportive housing program for 
persons with disabilities, and replaced assistance for persons with 
disabilities previously covered by section 202 of the Housing Act of 
1959 (section 202 continues, as amended by section 801 of the NAHA, and 
the HCD Act of 1992, to authorize supportive housing for the elderly).

APPENDIX A--LOCAL HUD OFFICES

Notes:
    (1) The first line of the mailing address for all offices is 
Department of Housing and Urban Development. Telephone numbers 
listed are not toll-free.
    (2) Applications for projects proposed to be located within the 
jurisdiction of the Seattle, Washington and the Anchorage Alaska 
Offices must be submitted to the Portland, Oregon Office.
    (3) Applications for projects proposed to be located within the 
jurisdiction of the Sacramento, California Office must be submitted 
to the San Francisco, California Office.
    (4) Applications for projects proposed to be located within the 
jurisdiction of the Cincinnati, Ohio Office must be submitted to the 
Columbus Ohio Office.
    (5) Applications proposed to be located within the jurisdiction 
of the Washington, DC Office must be submitted to the Baltimore 
Maryland Office.

HUD--BOSTON HUB

Hartford Office

One Corporate Center, 19th Floor, Hartford, CT 06103-3220, (860) 
240-4800, TTY Number: (860) 240-4665

Boston Office

Room 375, Thomas P. O'Neill, Jr., Federal Building, 10 Causeway 
Street, Boston, MA 02222-1092, (617) 565-5234, TTY Number: (617) 
565-5453

Manchester Office

Norris Cotton Federal Building, 275 Chestnut Street, Manchester, NH 
03101-2487, (603) 666-7681, TTY Number: (603) 666-7518

Providence Office

Sixth Floor, 10 Weybosset Street, Providence, RI 02903-2808, (401) 
528-5230, TTY Number: (401) 528-5403

HUD--NEW YORK HUB

New York Office

26 Federal Plaza, New York, NY 10278-0068, (212) 264-8000, TTY 
Number: (212) 264-0927

HUD--BUFFALO HUB

Buffalo Office

Fifth Floor, Lafayette Court, 465 Main Street, Buffalo, NY 14203-
1780, (716) 551-5755, TTY Number: (716) 551-5787

HUD--PHILADELPHIA HUB

Philadelphia Office

The Wanamaker Building, 100 Penn Square East, Philadelphia, PA 
19107-3380, (215) 656-0600, TTY Number: (215) 656-3452

Charleston Office

Suite 708, 405 Capitol Street, Charleston, WV 25301-1795, (304) 347-
7000, TTY Number: (304) 347-5332

Newark Office

Thirteenth Floor, One Newark Center, Newark, NJ 07102-5260, (973) 
622-7900, TTY Number: (973) 645-3298

Pittsburgh Office

339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-2515, (412) 644-
6428, TTY Number: (412) 644-5747

HUD--BALTIMORE HUB

Baltimore Office

Fifth Floor, City Crescent Building, 10 South Howard Street, 
Baltimore, MD 21201-2505, (410) 962-2520, TTY Number: (410) 962-0106

Washington, DC Office

820 First Street, NE, Suite 300, Washington, D.C. 20002-4205, (202) 
275-9200, TTY Number: (202) 275-0772

Richmond Office

The 3600 Centre, 3600 West Broad Street, Richmond, VA 23230-4920, 
(804) 278-4500, TTY Number: (804) 278-4501

[[Page 9944]]

HUD--GREENSBORO HUB

Greensboro Office

Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055

Columbia Office

Strom Thurmond Federal Building, 1835-45 Assembly Street, Columbia, 
SC 29201-2480, (803) 765-5592, TTY Number: (803) 253-3071

HUD--ATLANTA HUB

Atlanta Office

Richard B. Russell Federal Building, 75 Spring Street, S.W., Suite 
600, Atlanta, GA 30303-3388, (404) 331-5136, TTY Number: (404) 730-
2654

San Juan Office

Edificio Administracion de Terrenos, 171 Carlos Chardon Avenue, 
Suite 301, San Juan, PR 00918-0903, (787) 766-5400, TTY Number: 
(787) 776-5609

Louisville Office

601 West Broadway, P.O. Box 1044, Louisville, KY 40201-1044, (502) 
582-5251, TTY Number: 1-800-648-6056

Knoxville Office

Third Floor, John J. Duncan Federal Building, 710 Locust Street, 
Knoxville, TN 37902-2526, (423) 545-4384, TTY Number: (423) 545-4559

Nashville Office

Suite 200, 251 Cumberland Bend, Nashville, TN 37228-1803, (615) 736-
5213, TTY Number: (615) 736-2886

HUD--JACKSONVILLE HUB

Jacksonville Office

Suite 2200,
    Southern Bell Tower, 301 West Bay Street,
    Jacksonville, FL 32202-5121,
    (904) 232-2626,
    TTY Number: (904) 232-2631

Birmingham Office

Suite 300, Beacon Ridge Tower, 600 Beacon Parkway, West, Birmingham, 
AL 35209-3144, (205) 290-7617, TTY Number: (205) 290-7624

Jackson Office

Suite 910, Doctor A.H. McCoy Federal Building, 100 West Capitol 
Street, Jackson, MS 39269-1096, (601) 965-4700, TTY Number: (601) 
965-4171

D--CHICAGO HUB

Chicago Office

Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
    Chicago, IL 60604-3507,
    (312) 353-5680,
    TTY Number: (312) 353-5944

Indianapolis Office

151 North Delaware Street, Indianapolis, IN 46204-2526, (317) 226-
6303, TTY Number: (317) 226-7081

HUD--DETROIT HUB

Detroit Office

Patrick V. McNamara Federal Building, 477 Michigan Avenue, Detroit, 
MI 48226-2592, (313) 226-7900, TTY Number: (313) 226-6899

Grand Rapids Office

Trade Center Building, 50 Louis Street, NW, Third Floor, Grand 
Rapids, MI 49503-2648, (616) 456-2100, TTY Number: (616) 456-2159

HUD--COLUMBUS HUB

Columbus Office

200 North High Street, 7th Floor, Columbus, OH 43215-2499, (614) 
469-5737, TTY Number: (614) 469-6694

Cleveland Office

Renaissance Building, 1350 Euclid Avenue, Suite 500, Cleveland, OH 
44115-1815, (216) 522-4058, TTY Number: (216) 522-2261

HUD--MINNEAPOLIS HUB

Minneapolis Office

220 Second Street, South, Minneapolis, MN 55401-2195, (612) 370-
3000, TTY Number: (612) 370-3186

Milwaukee Office

Suite 1380, Henry S. Reuss Federal Plaza, 310 West Wisconsin Avenue, 
Milwaukee, WI 53203-2289, (414) 297-3214, TTY Number: (414) 297-1423

HUD--FT. WORTH HUB

Little Rock Office

Suite 900, TCBY Tower, 425 West Capitol Avenue, Little Rock, AR 
72201-3488, (501) 324-5931, TTY Number: (501) 324-5931

New Orleans Office

Ninth Floor, Hale Boggs Federal Building, 501 Magazine Street, New 
Orleans, LA 70130-3099, (504) 589-7200, TTY Number: (504) 589-7279

Ft. Worth Office

801 N. Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905, 
(817) 978-9000, TTY Number: (817) 978-9273

Houston Office

Suite 200, Norfolk Tower, 2211 Norfolk, Houston, TX 77098-4096, 
(713) 313-2274, TTY Number: (713) 834-3274

San Antonio Office

Washington Square, 800 Dolorosa Street, San Antonio, TX 78207-4563, 
(210) 475-6800, TTY Number: (210) 475-6885

HUD--GREAT PLAINS

Des Moines Office

Room 239, Federal Building, 210 Walnut Street, Des Moines, IA 50309-
2155, (515) 284-4512, TTY Number: (515) 284-4728

Kansas City Office

Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972

Omaha Office

Executive Tower Centre, 10909 Mill Valley Road, Omaha, NE 68154-
3955, (402) 492-3100, TTY Number: (402) 492-3183

Saint Louis Office

Third Floor, Robert A. Young Federal Building, 1222 Spruce Street, 
St. Louis, MO 63103-2836, (314) 539-6583, TTY Number: (314) 539-6331

Oklahoma City Office

500 West Main Street, Suite 400, Oklahoma City, OK 73102-2233, (405) 
553-7401, TTY Number: 1-800-877-8339

HUD--DENVER HUB

Denver Office

633 17th Street, Denver, CO, 80202-3607, (303) 672-5440, TTY Number: 
(303) 672-5248

HUD--SAN FRANCISCO HUB

Phoenix Office

Suite 1600, Two Arizona Center, 400 North 5th Street, Phoenix, AZ 
85004-2361, (602) 379-4434, TTY Number: (602) 379-4464

SAN FRANCISCO OFFICE

Philip Burton Federal Building and U.S. Courthouse, 450 Golden Gate 
Avenue, P.O. Box 36003, San Francisco, CA 94102-3448, (415) 436-
6550, TTY Number: (415) 436-6594

HONOLULU OFFICE

Suite 500, 7 Waterfront Plaza, 500 Ala Moana Boulevard, Honolulu, HI 
96813-4918, (808) 522-8185, TTY Number: (808) 522-8193

HUD--LOS ANGELES HUB

Los Angeles Office

611 West 6th Street, Suite 800, Los Angeles, CA 90017-3106, (213) 
894-8000, TTY Number: (213) 894-8133

HUD--SEATTLE HUB

Portland Office

400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-1632, 
(503) 326-2561, TTY Number: (503) 326-3656

BILLING CODE 4210-32-P

[[Page 9945]]

APPENDIX B

    The non-standard forms, which follow, are required for your Section 
811 Program application. 
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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9965]]



FUNDING AVAILABILITY FOR MAINSTREAM HOUSING OPPORTUNITIES FOR 
PERSONS WITH DISABILITIES (MAINSTREAM PROGRAM)

Program Overview

    Purpose of the Program. The purpose of this program is to provide 
vouchers under the Section 8 Housing Choice Voucher Program to enable 
persons with disabilities (elderly and non-elderly) to rent affordable 
private housing.
    Available Funds. Approximately $50.25 million in five-year budget 
authority for approximately 1,800 vouchers is available to public 
housing agencies (PHAs) and nonprofit disability organizations.
    Applications are also being invited from PHAs for one-year budget 
authority funding (non-Section 811 funds) that HUD anticipates may be 
available for the Mainstream Program in FY 2000. Specifically, any 
portion of the $40 million in one-year budget authority contained in FY 
2000 appropriations related to designated housing plans; preferences in 
occupancy for the elderly in certain types of Section 8 project-based 
developments; or restrictions in occupancy to elderly only in certain 
types of Section 202, Section 221(d)(3), or Section 236 developments 
remaining unobligated will be added to the approximately $50.25 million 
in five-year budget authority available under this announcement. This 
one-year budget authority will be used only for non-elderly disabled 
families.
    Eligible Applicants. PHAs and nonprofit disability organizations 
that provide services to disabled families are eligible to apply for 
the $50.25 million in five-year budget authority for applications 
submitted in FY 2000. While PHAs and nonprofit disability organizations 
are eligible to apply for the $50.25 million in five-year budget 
authority available under this announcement, only PHAs are eligible to 
apply for the one-year budget authority that may also be available 
under this announcement (see Section II(A) of this announcement 
regarding the possibility of one-year funding also being available for 
the Mainstream Program). Indian Housing Authorities (IHAs), Indian 
tribes and their tribally designated housing entities are not eligible 
to apply because the Native American Housing Assistance and Self-
Determination Act of 1996 does not allow HUD to enter into new Section 
8 annual contributions contracts (ACC) with IHAs after September 30, 
1997.
    The vouchers that HUD will provide under this announcement must be 
made available to eligible disabled families regardless of their type 
of disability. (See the definition of disabled family in Section IV(E) 
of this announcement.) The Mainstream Program vouchers must not be 
issued by the administering agency on the basis of any preference 
system favoring any particular type of disability over another, nor 
shall the vouchers be issued solely on the basis of an administering 
agency's waiting list which is based on that agency's having heretofore 
served only certain types of disabled persons. The Section 8 Housing 
Choice Voucher Program regulations provide at 24 CFR 982.207(c) that a 
PHA may give preference for admission of families that include a person 
with disabilities; however, the PHA may not give preference for 
admission of persons with a specific disability. This regulatory 
requirement is also applicable to nonprofit disability organizations 
who receive funding under this announcement as such organizations must 
comply with the Section 8 regulatory requirements applicable to the 
Section 8 Housing Choice Voucher Program.
    Application Deadline. July 18, 2000.
    Match. None

Additional Information

    If you are interested in applying for funding under the Mainstream 
Program, please review carefully the General Section of this SuperNOFA 
and the following additional information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance

    Application Due Date. Submit your completed application (an 
original and two copies) to HUD on or before 12:00 midnight, Eastern 
time, on July 18, 2000.
    See the General Section of this SuperNOFA for specific procedures 
concerning the form of application submission (i.e., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of one original and two copies. Submit your original 
application and one copy to: Michael Diggs, Director, Grants Management 
Center, Department of Housing and Urban Development, 501 School Street, 
SW, Suite 800, Washington, DC 20024. Applications which are hand 
carried or sent via overnight delivery service should be delivered to 
this address. The Grants Management Center is the official place of 
receipt for all applications in response to this announcement of 
funding availability. Your application will be accepted at this address 
until 6:00 pm, Eastern time, on the application deadline.
    After 6:00 pm on the application deadline date, applications will 
be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street, 
SW, Washington, DC 20410, until 12:00 midnight Eastern time.
    Submit the second copy of your application to your local HUD Field 
Office Hub or local HUD Field Office Program Center. A listing of HUD 
Field Offices is attached to the General Section of this SuperNOFA.
    For Application Kits. An application kit is not necessary for 
submitting an application in response to this announcement. This 
announcement contains all the information necessary for the submission 
of your application for voucher funding for the Mainstream Program.
    For Further Information and Technical Assistance. You may contact 
George C. Hendrickson, Housing Program Specialist, Room 4216, Office of 
Public and Assisted Housing Delivery, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Washington, DC 20410; telephone 
(202) 708-1872, ext. 4064, or you may contact the Grants Management 
Center at (202) 358-0338. (These are not toll-free numbers.) Persons 
with hearing or speech impairments may access these numbers via TTY 
(text telephone) by calling the Federal Information Relay Service at 1-
800-877-8339 (this is a toll-free number).
    Prior to the application due date, George C. Hendrickson will be 
available to provide general guidance and technical assistance about 
this announcement.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at 
www.hud.gov.

II. Amount Allocated

    (A) Available Funding for Mainstream Program. Approximately $50.25 
million in five-year funding is available for approximately 1,800 
vouchers. This allocation is consistent with the FY 2000 HUD 
Appropriations Act. The FY 2000 HUD Appropriations Act provides that 
the Secretary of HUD may designate up to 25 percent of the amounts 
earmarked for capital advances including amendments to the capital 
advance contracts for supportive housing for persons with disabilities 
as authorized by section 811 of the

[[Page 9966]]

Cranston-Gonzalez National Affordable Housing Act (NAHA), for project 
rental assistance, for amendments to contracts for project rental 
assistance and supportive services associated with the housing for 
persons with disabilities as authorized by section 811 of NAHA. The FY 
2000 HUD Appropriations Act made $201 million available for the Section 
811 Program. The $50.25 million made available to applicants under this 
Mainstream Program funding announcement is no more than 25 percent of 
this $201 million.
    All of the approximately $50.25 million in funding is for use in 
the housing of elderly and non-elderly disabled families. HUD will 
supplement the Mainstream Program funding with additional funding, up 
to as much as $40 million in one-year budget authority for Section 8 
vouchers for non-elderly disabled families in support of designated 
housing plans, for non-elderly disabled families who are not currently 
receiving housing assistance in certain Section 8 project-based 
developments due to the owners establishing preferences for the 
admission of elderly families, and for nonelderly disabled families not 
being housed in certain section 202, section 221(d)(3) and section 236 
developments (or portions thereof) where the owners have restricted 
occupancy to elderly families. The FY 2000 HUD Appropriations Act 
states that to the extent the Secretary determines that the FY 2000 
appropriations related to designated housing plans and certain types of 
Section 8 project-based developments and certain types of section 202, 
section 221(d)(3) and section 236 developments are not needed to fund 
applications, the funds may be used for other non-elderly disabled 
families. Any such remaining funds will be used to supplement funding 
for the Mainstream Program. As a result, as much as $40 million in one-
year budget authority may be available in additional funding in FY 2000 
for the Mainstream Program.
    (B) Funding for the Section 811 Program. The Section 811 Program of 
Supportive Housing for Persons With Disabilities provides capital 
advances and project rental assistance in FY 2000 elsewhere in this 
SuperNOFA. The Section 811 Program of Supportive Housing for Persons 
With Disabilities will provide funding to nonprofit organizations 
(sponsors) for the development and operation of small, scattered-site 
housing to enable adults with disabilities to live as independently as 
possible in the community. The capital advance does not need to be 
repaid as long as the housing is used for its intended purpose for at 
least 40 years. The project rental assistance funds cover the 
difference between the HUD-approved operating expenses of the housing 
and the tenant's contribution towards rent which is 30 percent of 
adjusted income. The types of housing that are typically developed 
through the program are small group homes for no more than six persons, 
independent living projects containing individual apartment units for 
no more than 18 persons, and condominium units. Sponsors are required 
to ensure that residents have access to any necessary supportive 
services but cannot require the acceptance of such as a condition of 
occupancy. Through the FY 2000 Section 811 funding announcement in this 
SuperNOFA, a total of $108,774,343 in capital advance funds to support 
the development of 1,505 units has been allocated to 51 local HUD Field 
Offices.
    (C) Section 8 Voucher Funding.
    (1) Lottery. HUD will select approvable applications for funding by 
lottery in the event approvable applications are received for more 
funding than is available under this Mainstream Program announcement. 
In such event, a separate lottery will be held first to select 
applications for funding for the $50.25 million available in five-year 
budget authority available under this announcement, and a separate 
lottery will be held to select applications for funding for whatever 
amount of one-year budget authority may be available during FY 2000 for 
the Mainstream Program. PHAs should clearly indicate in their 
applications if they are applying for both five-year and one-year 
funding in order to ensure their inclusion in both lotteries. This 
would allow the last selected application (if a PHA) under the five-
year funding lottery to be automatically funded with one-year budget 
authority for the remaining number of vouchers requested, but for which 
there was insufficient five-year budget authority at the point the PHA 
was selected in the five-year funding lottery. This would also allow a 
PHA to be automatically included in the lottery for one-year budget 
authority funding if not fortunate enough to be selected for any 
funding in the five-year budget authority lottery. PHAs applying for 
one-year funding must make it clear in their applications that they 
have a sufficient number of non-elderly disabled families to support 
the number of rental vouchers being requested. As indicated earlier in 
this announcement, one-year budget authority funding is for use by PHAs 
solely for non-elderly disabled families, whereas five-year budget 
authority is for use by PHAs and nonprofit disability organizations for 
both elderly and non-elderly disabled families. 
    (2) Maximum Voucher Request. There is a limit on the number of 
rental vouchers that may be requested. An eligible applicant may apply 
for a maximum of 75 vouchers. No more than a grand total of 75 vouchers 
will be awarded to any applicant under the FY 2000 Mainstream Program.
    (3) Determination of Funding Amount for the Applicant's Requested 
Number of Vouchers. HUD will determine the amount of funding that an 
applicant will be awarded under this announcement based upon an actual 
annual per unit cost using the following three step process:
    (a) HUD will extract the total expenditures for all the PHA's 
Section 8 tenant-based assistance programs and the unit months leased 
information from the most recent approved year end statement (Form HUD-
52681) that the PHA has filed with HUD. HUD will divide the total 
expenditures for all of the PHA's Section 8 tenant-based assistance 
programs by the unit months leased to derive an average monthly per 
unit cost.
    (b) HUD will multiply the monthly per unit cost by 12 (months) to 
obtain an annual per unit cost.
    (c) HUD will multiply the annual per unit costs derived under 
paragraph (b) above by the Section 8 Housing Assistance Payments 
Program Contract Rent Annual Adjustment Factor (with the highest cost 
utility included) to generate an adjusted annual per unit cost.

    Note:  Applicants who do not currently administer a Section 8 
certificate or voucher program shall have their voucher funding 
based upon the annual actual per unit costs of the PHA in their most 
immediate area administering a Section 8 certificate or voucher 
program, using the three step process described immediately above.

    (4) Preliminary Fee. A preliminary fee of up to $500 per unit for 
preliminary (start-up) expenses will be paid to applicants that have 
not previously administered their own Section 8 tenant-based program 
that are selected for funding under this announcement. The preliminary 
fee will be provided to such applicants only in their first year 
administering Section 8 vouchers.
    (e) Underfunding Corrections. If prior to the award of Mainstream 
Program funding under this announcement, HUD determines that any 
awardees under the FY 1999 Mainstream Program NOFA have been 
underfunded, HUD will increase funding to the amount that the awardee 
should have received.

[[Page 9967]]

III. Program Description, Eligible Applicants and Eligible 
Participants

    (A) Program Description. The Secretary has established a Mainstream 
Housing Opportunities for Persons with Disabilities Program (Mainstream 
Program) to provide vouchers to enable persons with disabilities to 
rent affordable private housing of their choice.
    The Mainstream Program will assist PHAs and non-profit disability 
organizations in providing Section 8 vouchers to a segment of the 
population recognized by HUD's housing research as having one of the 
worst housing needs of any group in the United States; i.e., very low-
income households with adults with disabilities. In addition, the 
Mainstream Program will assist persons with disabilities who often face 
difficulties in locating suitable and accessible housing on the private 
market.
    (B) Eligible Applicants. Public housing agencies (PHAs) and 
nonprofit disability organizations that provide services to the 
disabled (as defined in Section IV(E) of this announcement) are 
eligible applicants. Indian Housing Authorities (IHAs), Indian tribes 
and their tribally designated housing entities are not eligible to 
apply for new increments of Section 8 funding because the Native 
American Housing Assistance and Self-Determination Act of 1996 does not 
allow HUD to enter into new Section 8 annual contributions contracts 
(ACC) with IHAs after September 30, 1997.
    (1) PHAs.
    (a) A PHA established pursuant to State law may apply for funding 
under this announcement. A regional (multi-county) or State PHA is 
eligible to apply for funding.
    (b) PHAs are encouraged to involve nonprofit disability 
organizations that provide services to disabled families, as defined in 
Section III(B)(2) of this announcement, in the administration of the 
Mainstream Program's vouchers.
    (i) Such nonprofit disability organizations could function as 
either a contract administrator for the PHA's Section 8 Mainstream 
vouchers, or as a subcontractor responsible for providing case 
management services or assisting disabled families to locate suitable 
housing, gain access to supportive services, or identify private 
funding sources to cover the costs of unit modifications needed as a 
reasonable accommodation.
    (ii) Such contractual arrangements must, however, ensure equal 
opportunity among the wide variety of disabled populations in the PHA's 
service area. PHAs are being encouraged to seek out nonprofit 
disability organizations to assist in the administration of the 
Mainstream vouchers due to such organizations' capacity for assisting 
disabled families, as well as their in-depth knowledge of the 
disability community.
    (c) Some PHAs currently administering the Section 8 rental voucher 
and certificate programs have, at the time of publication of this 
SuperNOFA, major program management findings from Inspector General 
audits, HUD management reviews, or independent public accountant (IPA) 
audits that are open and unresolved or other significant program 
compliance problems. HUD will not accept applications for additional 
funding from these applicants as contract administrators if, on the 
application due date, the findings are either not closed, or sufficient 
progress toward closing the findings has not been made to HUD's 
satisfaction. The PHA must also, to HUD's satisfaction, be making 
satisfactory progress in addressing any program compliance problems. If 
the PHA wants to apply for funding under this announcement, the PHA 
must submit an application that designates another housing agency, 
nonprofit agency, or contractor, that is acceptable to HUD. The PHA's 
application must include an agreement by the other housing agency, 
nonprofit agency, or contractor to administer the new funding increment 
on behalf of the PHA, and a statement that outlines the steps the PHA 
is taking to resolve the program findings and program compliance 
problems. Immediately after the publication of this SuperNOFA, the 
Office of Public Housing in the local HUD Field Office will notify, in 
writing, those PHAs that are not eligible to apply without such an 
agreement. Concurrently, the local HUD Field Office will provide a copy 
of each such written notification to the Grants Management Center. The 
PHA may appeal the decision in writing, if HUD has mistakenly 
classified the PHA as having outstanding management or compliance 
problems. Any appeal must be accompanied by conclusive evidence of 
HUD's error and must be received prior to the application deadline. The 
appeal should be submitted to the local HUD Field Office where a final 
determination shall be made. The local HUD Field Office shall, 
concurrent with its response to the PHA, provide the Grants Management 
Center with a copy of its written response to the appeal, along with a 
copy of the PHA's written appeal. Major program management findings are 
those that would cast doubt on the capacity of the PHA to effectively 
administer any new Section 8 voucher funding in accordance with 
applicable HUD regulatory and statutory requirements.
    (2) Nonprofit Disability Organization. A private organization, no 
part of the net earnings of which inures to the benefit of any member, 
founder, contributor, or individual, that provides services to persons 
with disabilities and has received a federal tax-exempt designation 
from the U.S. Internal Revenue Service.
    (a) The nonprofit entity must:
    (i) Have a voluntary board;
    (ii) Be authorized by its charter or State law to enter into a 
contract with the Federal Government to provide housing assistance;
    (iii) Have a functioning accounting system that is operated in 
accordance with generally accepted accounting principles, or designate 
an entity that will maintain a functioning accounting system for the 
organization in accordance with generally accepted accounting 
principles; and
    (iv) Practice nondiscrimination in the provision of assistance.
    (b) A nonprofit disability organization meeting the definition of a 
nonprofit disability organization as defined in this Section III(B), 
and wishing to apply for the funding available under this announcement 
must have the capacity to:
    (i) Comply with the Section 8 Management Assessment Program (SEMAP) 
certification requirements under 24 CFR part 985.
    (ii) Carry out such Section 8 and SEMAP specific related activities 
as making determinations as to rent reasonableness, performing housing 
quality standards (HQS) inspections and enforcement, conducting annual 
reexaminations of participant families, as well as otherwise meeting 
Section 8 program requirements under 24 CFR parts 887 and 982.
    (iii) Manage the Section 8 Mainstream Program vouchers in a manner 
equivalent to an overall performance rating under SEMAP (24 CFR part 
985) of ``standard'' during the first fiscal year of its receiving 
Mainstream Program funding.
    (iv) Administer rental housing programs or manage rental housing, 
as demonstrated by a specific list of rental housing programs the 
nonprofit disability organization has administered or the rental 
housing the organization has managed (e.g. private rental housing, HUD 
or State-related housing programs, etc.).

[[Page 9968]]

    Nonprofit disability organizations are encouraged to seek out PHAs 
in their geographic area to develop cooperative contractual 
relationships under the Mainstream Program, and to enhance services to 
disabled families. In addition to contacting local PHAs, nonprofit 
disability organizations may also wish to contact regional (multi-
county), or state-wide PHAs who may be applying for Mainstream Program 
funding.
    (C) Eligible Participants. Only a disabled family that is income 
eligible under 24 CFR 982.201(b) may receive a voucher awarded under 
the Mainstream Program. While elderly and non-elderly disabled families 
are eligible to receive a voucher awarded to a PHA or nonprofit 
disability organization using five-year budget authority under this 
announcement, only non-elderly disabled families are eligible to 
receive a voucher awarded to a PHA using one-year budget authority that 
may be available for the Mainstream Program under this announcement. 
Applicants with disabilities will be selected from the PHA's or 
nonprofit disability organization's Section 8 waiting list.

IV. Program Requirements and Definitions

    In addition to the civil rights compliance and nondiscrimination 
requirements listed in the General Section of this SuperNOFA, grantees 
must meet the following program requirements:
    (A) Affirmatively Furthering Fair Housing. Each successful 
applicant will have a duty to affirmatively further fair housing. 
Applicants will be required to identify the specific steps that they 
will take to:
    (1) Address the elimination of impediments to fair housing that 
were identified in the jurisdiction's Analysis of Impediments (AI) to 
Fair Housing Choice;
    (2) Remedy discrimination in housing; or
    (3) Promote fair housing rights and fair housing choice.
    Further, applicants have a duty to carry out the specific 
activities cited in their responses under this announcement to address 
affirmatively furthering fair housing.
    (B) Certifications and Assurances. Each applicant is required to 
submit signed copies of Assurances and Certifications. The standard 
Assurances and Certifications are on Form HUD-52515, Funding 
Application, which includes the Equal Opportunity Certification, 
Certification Regarding Lobbying, and Certification Regarding Drug-Free 
Workplace Requirements.
    (C) Voucher Assistance Requirements.
    (1) Section 8 regulations. Applicants must administer the 
Mainstream Program in accordance with HUD regulations and requirements 
governing the Section 8 Housing Choice Voucher Program.
    (2) Section 8 admission requirements. Section 8 assistance must be 
provided to eligible applicants in conformity with regulations and 
requirements governing the Section 8 Housing Choice Voucher Program and 
the PHA's administrative plan.
    If there is ever an insufficient pool of disabled families on the 
PHA's or nonprofit disability organization's Section 8 waiting list, 
the PHA or nonprofit disability organization shall conduct outreach to 
encourage eligible persons to apply for this special allocation of 
rental vouchers. Outreach may include contacting independent living 
centers, advocacy organizations for persons with disabilities, and 
medical, mental health, and social service providers for referrals of 
persons receiving such services who would benefit from Section 8 
assistance. If the PHA's or nonprofit disability organization's Section 
8 waiting list is closed, and if the PHA or nonprofit disability 
organization has insufficient applicants on its Section 8 waiting list 
to use all awarded vouchers under this announcement, the PHA or 
nonprofit disability organization shall open the waiting list for 
applications from disabled families.
    (3) Turnover. When a voucher under this announcement becomes 
available for reissue (e.g., the family initially selected for the 
program drops out of the program or is unsuccessful in the search for a 
unit), the rental assistance may be used only for another individual or 
family eligible for assistance under this announcement for five years 
for the five-year funding or for one year for the one-year funding 
under this announcement from the date the rental assistance is placed 
under an annual contributions contract (ACC).
    (D) PHA and Nonprofit Disability Organization Responsibilities. In 
addition to the responsibilities under the Section 8 Housing Choice 
Voucher Program and HUD regulations concerning nondiscrimination based 
on disability (24 CFR 8.28) and to affirmatively further fair housing, 
PHAs and nonprofit disability organizations that receive voucher 
funding shall:
    (1) Where requested by an individual, assist program participants 
to gain access to supportive services available within the community, 
but not require eligible applicants or participants to accept 
supportive services as a condition of participation or continued 
occupancy in the program.
    (2) Identify public and private funding sources to assist 
participants in covering the costs of modifications that need to be 
made to their units as a reasonable accommodation for their 
disabilities.
    (3) Not deny persons who qualify for rental assistance under this 
program other housing opportunities, or otherwise restrict access to 
PHA or nonprofit disability organization programs to eligible 
applicants who choose not to participate.
    (4) Provide Section 8 search assistance.
    (5) In accordance with regulatory guidance, provide higher rents to 
owners necessary for the provision of accessible units and structural 
modifications for persons with disabilities.
    (6) Provide technical assistance to owners for making reasonable 
accommodations or making units accessible to persons with disabilities.
    (E) Definitions. The following definitions apply.
    (1) Disabled Family. A family whose head, spouse, or sole member is 
a person with disabilities. The term ``disabled family'' may include 
two or more persons with disabilities living together, and one or more 
persons with disabilities living with one or more live-in aides. A 
disabled family may include a person with disabilities who is elderly. 
(Note: This definition applies to the approximately $50.25 million in 
five-year budget authority available under the Mainstream Program, as 
well as to any one-year budget authority that may be available. This 
definition shall be modified, however, to be limited solely to non-
elderly disabled families (families whose head, spouse or sole member 
is disabled and under the age of 62) regarding any funding available 
and awarded from the approximately $40 million in FY 2000 for 
designated housing allocation plans, or in connection with certain 
Section 8 project-based developments or certain section 202, section 
221(d)(3) or section 236 developments. See Section II(A) of this 
announcement regarding the possibility of additional Mainstream Program 
funding during FY 2000 beyond the approximately $50.25 million 
available as announced under this announcement.)
    (2) Person with disabilities. A person who--
    (a) Has a disability as defined in section 223 of the Social 
Security Act (42 U.S.C. 423), or
    (b) Is determined to have a physical, mental or emotional 
impairment that:

[[Page 9969]]

    (i) Is expected to be of long-continued and indefinite duration;
    (ii) Substantially impedes his or her ability to live 
independently; and
    (iii) Is of such a nature that such ability could be improved by 
more suitable housing conditions, or
    (c) Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 
6001(5)).
    The term ``person with disabilities'' does not exclude persons who 
have the disease of acquired immunodeficiency syndrome (AIDS) or any 
conditions arising from the etiologic agent for acquired 
immunodeficiency syndrome (HIV).

    Note: While the above definition of a ``person with 
disabilities'' is to be used for purposes of determining a family's 
eligibility for a Section 8 voucher under this announcement, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must 
be used for purposes of reasonable accommodations.)

    No individual shall be considered a person with disabilities for 
the purpose of determining eligibility solely on the basis of any drug 
or alcohol dependence.
    (3) Section 8 search assistance. Assistance to increase access by 
program participants to housing units in a variety of neighborhoods 
(including areas with low poverty concentrations) and to locate and 
obtain units suited to their needs.

V. Application Selection Process

    After the Grants Management Center has screened and disapproved any 
applications found unacceptable for further processing, the Grants 
Management Center will review all acceptable applications to ensure 
that they are technically adequate and responsive to the requirements 
of this announcement. HUD Headquarters will fund all applications from 
PHAs and nonprofit disability organizations that are recommended for 
funding by the Grants Management Center unless HUD receives approvable 
applications for more funds than are available. If HUD receives 
approvable applications for more funds than are available, HUD will 
select applicants to be funded by lottery. A separate lottery will be 
held first for those PHAs and nonprofit disability organizations 
seeking funding under the five-year budget authority available under 
this announcement, and a separate lottery will next be held for those 
PHAs seeking funding under the one-year budget authority that may be 
available under this announcement. (Nonprofit disability organizations 
are not eligible to apply for the one-year budget authority that may be 
available under this announcement.) All applicants identified by the 
Grants Management Center as having submitted technically adequate and 
responsive applications will be included in the lottery. As applicants 
are selected, the cost of funding the applications will be subtracted 
from the funds available. In order to achieve geographic diversity, HUD 
Headquarters will limit the number of applications selected for funding 
from any State to 10 percent of the budget authority available for the 
Mainstream Program. The 10 percent limit shall be applied first during 
the lottery for the five-year funding and shall continue over into the 
lottery for any one-year funding that may be available. This, for 
instance, may result in a State reaching the 10 percent limit prior to 
the start of the lottery for any one-year funding that may be 
available, and therefore any PHAs from that State would not be eligible 
for any further Mainstream funding. If establishing this geographic 
limit would result, however, in unreserved budget authority, HUD may 
modify this limit to assure that all available funds are used.
    Applications will be funded for the total number of units requested 
by the applicant and recommended for approval by the Grants Management 
Center (not to exceed 75 units) in accordance with this announcement. 
When remaining budget authority is insufficient to fund the last 
selected application in full, HUD Headquarters will fund that 
application to the extent of the funding available, unless the 
applicant indicates that it will only accept a higher number of units. 
In that event, the next selected application shall be one that has 
indicated a willingness to accept the lesser amount of funding for the 
units available.

VI. Application Submission Requirements

    (A) Form HUD-52515. All applicants must complete and submit Form 
HUD-52515, Funding Application, for the Section 8 Housing Choice 
Voucher Program (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. Section C of the form should be left blank. A copy of Form 
HUD-52515 is included in the forms found in Appendix B to the General 
Section of the SuperNOFA. The form must be completed in its entirety, 
with the exception of Section C, signed and dated.
    In the instance of a nonprofit disability organization that does 
not currently manage a Section 8 tenant-based program, the nonprofit 
disability organization shall fill in Section B, Proposed Assisted 
Dwelling Units, of the form HUD-52515, by either basing the numbers the 
organization enters in this section on information requested from the 
nearest public housing agency, based upon its Section 8 waiting list, 
or based upon information from local advocacy groups and local public 
and private service agencies familiar with the needs of elderly and 
non-elderly persons with disabilities, census data, and pertinent 
information from the Consolidated Plan applicable to the applicant's 
jurisdiction. Section C, Average Monthly Adjusted Income, should be 
left blank. Section F, New HA Information, requires information on 
Financial and Administrative Capability and Qualification as an HA. For 
Financial and Administrative Capability, a nonprofit disability 
organization may reference that part of its application addressing the 
requirements for this program. For Qualification as an HA, the 
nonprofit disability organization should submit information validating 
its qualifications as a nonprofit disability organization as defined in 
Section III(B)(2) of this announcement. The submission of enabling 
legislation is not required, but a legal opinion supportive of the 
applicant's status as a nonprofit disability organization , as defined 
in this program section of the SuperNOFA, is required.
    (B) Letter of Intent and Narrative. The applicant must state in its 
cover letter to the application whether the applicant will accept a 
reduction in the number of vouchers, and the minimum number of vouchers 
the applicant will accept, since the funding is limited and HUD may 
only have enough funds to approve a smaller amount than the number of 
vouchers requested. The maximum number of vouchers that an applicant 
may apply for under this announcement is limited to 75. The applicant 
should also indicate whether or not the applicant intends to enter into 
a contract with a nonprofit disability organization or PHA to serve as 
the contract administrator of the Section 8 Mainstream Program 
vouchers, or to otherwise provide services related to the Mainstream 
Program.
    (C) Description of Need for Mainstream Program Rental Assistance. 
The PHA's and nonprofit disability organization's application must 
demonstrate a need for Mainstream Program vouchers by providing 
information documenting that the demand for housing for non-elderly and 
elderly persons with disabilities in

[[Page 9970]]

connection with a request for five-year funding under this announcement 
would equal or exceed the requested number of vouchers. If the PHA is 
requesting one-year funding, the demand for housing for non-elderly 
disabled persons must be demonstrated as equalling or exceeding the 
number of vouchers being requested. The applicant must assess and 
document the housing need for elderly and non-elderly persons with 
disabilities using a range of sources including, but not limited to: 
census data, information from the applicant's waiting list (both public 
housing and Section 8), statistics on recent public housing admissions 
and certificate and voucher use, data from local advocacy groups and 
local public and private service agencies familiar with the housing 
needs of elderly and non-elderly persons with disabilities, and 
pertinent information from the Consolidated Plan [including the 
Analysis of Impediments to Fair Housing Choice (AI)] applicable to the 
applicant's jurisdiction. (See 24 CFR 91.205(d).) The applicant's 
demonstrated need for vouchers must clearly support need on the basis 
of only non-elderly disabled families when requesting one-year funding. 
This distinction is important, as any FY 2000 Mainstream Program 
funding that may be available beyond the approximately $50.25 million 
under this announcement, must be used to assist only non-elderly 
disabled families and will be available only to PHAs. (See Section 
II(A) of this announcement regarding the possibility of substantially 
more Mainstream Program funding being available beyond the 
approximately $50.25 million.)
    (D) Mainstream Program Operating Plan. The application must include 
a description of an adequate plan for operating a program to serve 
eligible disabled families, including:
    (1) A description of how the applicant will carry out its 
responsibilities under 24 CFR 8.28 to assist recipients in locating 
units with needed accessibility features; and
    (2) A description of how the applicant will identify private or 
public funding sources to help participants cover the costs of 
modifications that need to be made to their units as reasonable 
accommodations to their disabilities.
    (3) A description of how the applicant will use a nonprofit 
disability organization or PHA (if any) to assist in the administration 
of the Section 8 Mainstream Program.
    (E) Certification Applicable to Nonprofit Disability Organizations. 
A nonprofit disability organization applying for funding available 
under this announcement must provide a certification stating that the 
applicant can meet the capacity requirements applicable to a nonprofit 
disability organization delineated in Section III(B)(2)(b) of this 
announcement. The certification must specifically list the four 
capacity requirements from that paragraph, and must specifically list 
the rental housing programs the nonprofit disability organization has 
administered or the rental housing the nonprofit disability 
organization has managed.
    (F) Statement Regarding the Steps the Applicant Will Take to 
Affirmatively Further Fair Housing. The areas to be addressed in the 
applicant's statement should include, but necessarily be limited to:
    (1) Elimination of impediments to fair housing that were identified 
in the jurisdiction's Analysis of Impediments (AI) to Fair Housing 
Choice;
    (2) Remedy discrimination in housing for persons with disabilities 
regardless of race, color, religion, sex, familial status, national 
origin, or nature of disability; or
    (3) Promote fair housing rights and fair housing choice.
    (G) Program Summary. Provide a separate one paragraph statement 
describing how the Mainstream Program vouchers will address the local 
housing needs of eligible disabled families in renting decent, safe, 
and affordable housing. Describe, where applicable, how the vouchers 
will be used to expand existing housing choices, and whether the 
applicant intends to use the vouchers to establish or expand upon its 
existing partnerships with local government, nonprofit agencies, or 
private industry groups. Also address any related notable local program 
activities, best practices, or accomplishments.

VI. Corrections to Deficient Applications

    (A) Acceptable Applications. The General Section of the SuperNOFA 
provides the procedures for corrections to deficient applications.
    (B) Unacceptable Applications.
    (1) After the 14-calendar day technical deficiency correction 
period (as provided in the General Section), the Grants Management 
Center will disapprove all applications that the Grants Management 
Center determines are not acceptable for processing. The notification 
of rejection letter will state the basis for the decision.
    (2) Applications that fall into any of the following categories 
will not be processed:
    (a) Applications that do not meet the threshold fair housing and 
civil rights compliance requirements of Section II(B) of the General 
Section of the SuperNOFA.
    (b) The PHA has major program management findings in an Inspector 
General audit, HUD management review, or independent public accountant 
(IPA) audit for its voucher or certificate programs that are not closed 
or on which satisfactory progress in resolving the findings is not 
being made; or program compliance problems for its voucher or 
certificate programs on which satisfactory progress is not being made. 
The only exception to this category is if the PHA has been identified 
under the policy established in Section III(B)(1)(c) of this 
announcement and the PHA makes application with a designated contract 
administrator. Major program management findings are those that would 
cast doubt on the capacity of the PHA to effectively administer any new 
Section 8 voucher funding in accordance with applicable HUD regulatory 
and statutory requirements.
    (c) The PHA has failed to achieve a lease-up rate of 90 percent for 
its combined certificate and voucher units under contract for its 
fiscal year ending in 1998. Category (c) may be passed, however, if the 
PHA achieved a combined certificate and voucher budget authority 
utilization rate of 90 percent or greater for its fiscal year ending in 
1998. In the event the PHA is unable to meet either of these percentage 
requirements, the PHA may still pass category (c) if the PHA submits 
information to the Grants Management Center, as part of its 
application, demonstrating that it was able to either increase its 
combined certificate and voucher lease-up rate to 90 percent or greater 
for its fiscal year ending in 1999, or was able to increase combined 
certificate and voucher budget authority utilization to 90 percent or 
more for its fiscal year ending in 1999. PHAs that have been determined 
by HUD to have passed either the 90 percent lease-up, or 90 percent 
budget authority utilization requirement for their fiscal year ending 
in 1998 will be listed on the HUD Home Page site on the Internet's 
world wide web (http://www.hud.gov). A PHA not listed must either 
submit information in its application supportive of its 90 percent 
lease-up or 90 percent budget authority utilization performance for its 
fiscal year ending in 1999, or submit information as part of its 
application supportive of its contention that it should have been 
included among those PHAs HUD listed on the HUD Home Page as having 
achieved either a 90 percent lease-up rate or 90 percent budget 
authority utilization rate for

[[Page 9971]]

fiscal years ending in 1998. Appendix A to this program section 
indicates the methodology and data sources used by HUD to calculate the 
lease-up and budget authority utilization percentage rates for PHAs 
with fiscal years ending in 1998. Any PHA wishing to submit information 
to the Grants Management Center in connection with its 1998 fiscal year 
or 1999 fiscal year for the purposes described immediately above (so as 
to be eligible under category (c) to submit an application) will be 
required to use the same methodology and data sources indicated in 
Appendix A.
    (d) The PHA is involved in litigation and HUD determines that the 
litigation may seriously impede the ability of the PHA to administer 
the vouchers.
    (e) An application that does not comply with the requirements of 24 
CFR 982.102 and this program section after the expiration of the 14-
calendar day technical deficiency correction period will be rejected 
from processing.
    (f) The application was submitted after the application due date.
    (g) The application was not submitted to the official place of 
receipt as indicated in the paragraph entitled ``Address for Submitting 
Applications'' at the beginning of this announcement.
    (h) The applicant has been debarred or otherwise disqualified from 
providing assistance under the program.

VII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(11) of the HUD regulations, 
tenant-based rental activities under this program are categorically 
excluded from the requirements of the National Environmental Policy Act 
of 1969 (NEPA) and are not subject to environmental review under the 
related laws and authorities. This announcement of funding availability 
provides funding for these activities under 24 CFR part 982, which does 
not contain environmental review provisions because of the categorical 
exclusion of these activities from environmental review. Accordingly, 
under 24 CFR 50.19(c)(5), issuance of this announcement of funding 
availability is also categorically excluded from environmental review 
under NEPA.

VIII. Authority

    Authority for the approximately $50.25 million in 5-year budget 
authority available for the Mainstream Program under this announcement 
(general use rental assistance for persons with disabilities) is found 
in the Departments of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, FY 2000 
(Pub.L. 106-74, approved October 20, 1999). The FY 2000 HUD 
Appropriations Act states that the Secretary may designate up to 25 
percent of the amounts earmarked for section 811 of the National 
Affordable Housing Act of 1990 (42 U.S.C. 8013) for tenant-based 
assistance, as authorized under that section.

BILLING CODE 4210-32-P

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Notices  

[[Page 9975]]


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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9977]]



FUNDING AVAILABILITY FOR RENTAL ASSISTANCE FOR NON-ELDERLY PERSONS 
WITH DISABILITIES RELATED TO CERTAIN TYPES OF SECTION 8 PROJECT-
BASED DEVELOPMENTS AND SECTIONS 202, 221(d)(3) AND 236 DEVELOPMENTS

Program Overview

    Purpose of the Program. The purpose of this program is to provide 
vouchers to non-elderly disabled families who are not currently 
receiving housing assistance in certain Section 8 project-based 
developments due to the owners establishing preferences for the 
admission of elderly families, or in certain types of Section 202, 
Section 221(d)(3), or Section 236 developments where the owners are 
restricting occupancy in the developments (or portions thereof) to 
elderly families. The vouchers will enable non-elderly disabled 
families to rent affordable housing.
    Available Funds. Approximately $20 million in one-year budget 
authority for approximately 3,600 Section 8 vouchers.
    Eligible Applicants. Public housing agencies (PHAs). Indian Housing 
Authorities (IHAs), Indian tribes and their tribally designated housing 
entities are not eligible to apply because the Native American Housing 
Assistance and Self-Determination Act of 1996 does not allow HUD to 
enter into new Section 8 annual contributions contracts (ACC) with IHAs 
after September 30, 1997.

Application Deadline. June 20, 2000.

    Match. None

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance

    Application Due Date. Submit your original and two copies of your 
completed application to HUD on or before 12:00 midnight, Eastern time, 
on June 20, 2000.
    See the General Section of this SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
    Address for Submitting Applications. Your completed application 
consists of an original and two copies. Submit your original 
application and one copy to: Michael Diggs, Director, Grants Management 
Center, Department of Housing and Urban Development, 501 School Street, 
SW, Suite 800, Washington, DC 20024. Applications which are hand 
carried or sent via overnight delivery service should be delivered to 
this address. The Grants Management Center is the official place of 
receipt for all applications in response to this announcement of 
funding availability. Your application will be accepted at this address 
on the application deadline until 6:00 pm Eastern time. After 6:00 pm 
on the application deadline, applications will be accepted in the South 
Lobby of HUD Headquarters, 451 Seventh Street, SW, Washington, DC 
20410, until 12:00 midnight Eastern time.
    A copy of your application should also be sent to your local HUD 
Field Office Hub or local HUD Field Office Program Center. A listing of 
HUD Field Offices is attached to the General Section of this SuperNOFA.
    For Application Kits. An application kit is not necessary for 
submitting an application in response to this announcement. This 
announcement contains all the information necessary for the submission 
of your application for voucher funding under this announcement.
    For Further Information and Technical Assistance. You may contact 
George C. Hendrickson, Housing Program Specialist, Room 4216, Office of 
Public and Assisted Housing Delivery, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Washington, DC 20410; telephone 
(202) 708-1872, ext. 4064, or you may contact the Grants Management 
Center at (202) 358-0338. (These are not toll-free numbers.) Persons 
with hearing or speech impairments may access these numbers via TTY 
(text telephone) by calling the Federal Information Relay Service at 1-
800-877-8339 (this is a toll-free number).
    Prior to the application due date, George C. Hendrickson will be 
available to provide general guidance and technical assistance about 
this announcement.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at 
www.hud.gov.

II. Amount Allocated

    (A) Available Funding. Approximately $20 million in one-year budget 
authority is available to provide assistance to approximately 3,600 
non-elderly disabled families (who are not currently receiving housing 
assistance in certain Section 8 project-based developments due to the 
owners establishing a preference for the admission of elderly families, 
and for non-elderly disabled families not being housed in certain 
Section 202, Section 221(d)(3) and Section 236 developments or portions 
thereof where the owners have restricted occupancy to elderly 
families).
    In the event approvable applications are received for more than the 
approximately $20 million announced as available under this 
announcement, funds will be transferred from the approximately $20 
million available under the funding announcement for Rental Assistance 
for Non-Elderly Persons with Disabilities in Support of Designated 
Housing Plans program to the extent funds remain unobligated after 
funding all approvable applications under that announcement.
    Any funding remaining unobligated under this announcement providing 
assistance for non-elderly persons with disabilities related to certain 
developments will be used first to fund any approval applications under 
the announcement for Rental Assistance for Non-Elderly Persons with 
Disabilities in Support of Designated Housing Plans, for which there 
may be insufficient funds. Any funds still remaining unobligated will 
be used to fund any approvable applications under the announcement for 
Mainstream Housing Opportunities for Persons with Disabilities for 
which there are insufficient funds.
    (B) Voucher Funding, Preliminary Fees and Underfunding Corrections.
    (1) Voucher Funding.
    (a) Maximum Voucher Request. PHAs are limited to applying for no 
more than a maximum of 200 units (vouchers). A PHA may apply only for 
the number of units needed to house:
    (i) Those non-elderly disabled families who are on the waiting list 
of an owner of a Section 8 project-based development identified in this 
announcement where the owner elected to provide preferences to elderly 
families and to house other non-elderly disabled families residing in 
the community who would qualify for one- or zero-bedroom units; or
    (ii) Those non-elderly disabled families who are on the waiting 
list of, or are otherwise residing in the community, but in either 
instance are not being housed in certain assisted housing developments 
listed in this announcement where the owners have

[[Page 9978]]

restricted occupancy in the developments (or portion thereof) to 
elderly. Non-elderly disabled families in this second category would 
also need to qualify for one-or zero bedroom units.

    Note: The PHA may apply for a two-bedroom unit under this 
Section I(B) in such instances where a non-elderly disabled family 
requires the extra bedroom for purposes of a live-in aide, or for 
medical equipment.

    (b) Determination of Funding Amount for the PHA's Requested Number 
of Vouchers. HUD will determine the amount of funding that you will be 
awarded under this announcement based upon an actual annual per unit 
cost using the following three step process:
    (i) HUD will extract the total expenditures for all your Section 8 
tenant-based assistance programs and the unit months leased information 
from the most recent approved year end statement (form HUD-52681) that 
the PHA has filed with HUD. HUD will divide the total expenditures for 
all of your Section 8 tenant-based assistance programs by the unit 
months leased to derive an average monthly per unit cost.
    (ii) HUD will multiply the monthly per unit cost by 12 (months) to 
obtain an annual per unit cost.
    (iii) HUD will multiply the annual per unit cost derived under 
paragraph (ii) above by the Section 8 Housing Assistance Payments 
Program Contract Rent Annual Adjustment Factor (with the highest 
utility included) to generate an adjusted annual per unit cost.

    Note: If you do not currently administer a Section 8 certificate 
or voucher program your voucher funding will be based upon the 
annual actual per unit costs of a PHA in your most immediate area 
administering a Section 8 certificate or voucher program, using the 
three step process described immediately above.

    (2) Preliminary Fee. A preliminary fee of up to $500 per unit for 
preliminary (start-up) expenses will be paid to PHAs that have not 
previously administered their own Section 8 tenant-based program that 
are selected for funding under this announcement. The preliminary fee 
will be provided to such PHAs only in their first year administering 
Section 8 vouchers.
    (3) Underfunding Corrections. If prior to the award of funding HUD 
determines that any awardees under the FY 1999 NOFA for the same 
purpose have been underfunded, HUD will increase funding to the amount 
that the awardee should have received.

III. Program Description, Eligible Applicants, and Eligible 
Participants

    (A) Program Description. This program provides Section 8 vouchers 
to non-elderly disabled families who are not currently receiving 
housing assistance in certain Section 8 project-based developments due 
to the owners establishing preferences for the admission of elderly 
families, or in certain types of Section 202, Section 221(d)(3), or 
Section 236 developments where the owners are restricting occupancy in 
the developments (or portions thereof) to elderly families. The 
vouchers will enable non-elderly disabled families to rent affordable 
housing. The specific types of developments covered under these two 
broad categories are as follows:
    (1) Section 651 of the Housing and Community Development Act of 
1992 (42 U.S.C. 13611 allowed owners of the following covered Section 8 
project-based developments (limited to only such developments 
originally designed primarily for occupancy by elderly families) to 
provide preferences to elderly families in selecting tenants for 
available assisted units in those projects:
    (a) Section 8 New Construction Program, 24 CFR part 880;
    (b) Section 8 Substantial Rehabilitation Program, 24 CFR part 881;
    (c) State Housing Agencies Program (insofar as involving new 
construction and substantial rehabilitation), 24 CFR part 883;
    (d) New Construction Set-Aside for Section 515 Rural Rental Housing 
Projects Program, 24 CFR part 884; and
    (e) Section 8 Housing Assistance Program for the Disposition of 
HUD-Owned Projects (insofar as involving substantial rehabilitation), 
24 CFR part 886, subpart C.
    (2) Section 658 of the 1992 Act provides that an owner of a 
Federally assisted project (or portion thereof) that was designed for 
occupancy for elderly families may continue to restrict occupancy in 
such project (or portion) to elderly families in accordance with the 
rules, standards, and agreements governing occupancy in such housing in 
effect at the time of the development of the housing. The three types 
of assisted housing developments covered by Section 658 are as follows:
    (a) Housing assisted under section 202 of the Housing Act of 1959, 
as such section existed before the enactment of the National Affordable 
Housing Act (NAHA);
    (b) Housing financed by a loan or mortgage insured under section 
221(d)3) of the National Housing Act that bears an interest rate 
determined under section 221(d)5); and
    (c) Housing insured, assisted or held by the Secretary or a State 
or State Agency under section 236 of the National Housing Act.
    (B) Eligible Applicants.
    (1) A PHA established pursuant to State law may apply for funding 
under this announcement. A regional (multi-county) or State PHA is 
eligible to apply for funding. Indian Housing Authorities (IHAs), 
Indian tribes and their tribally designated housing entities are not 
eligible to apply because the Native American Housing Assistance and 
Self-Determination Act of 1996 does not allow HUD to enter into new 
Section 8 annual contributions contracts (ACC) with IHAs after 
September 30, 1997.
    (2) Some PHAs currently administering the Section 8 voucher and 
certificate programs have, at the time of publication of this 
SuperNOFA, major program management findings from Inspector General 
audits, HUD management reviews, or independent public accountant (IPA) 
audits that are open and unresolved or other significant program 
compliance problems. HUD will not accept applications for additional 
funding from these PHAs as contract administrators if, on the 
application due date, the findings are either not closed, or sufficient 
progress toward closing the findings has not been made to HUD's 
satisfaction. The PHA must also, to HUD's satisfaction, be making 
satisfactory progress in addressing any program compliance problems. If 
the PHA wants to apply for funding under this announcement, the PHA 
must submit an application that designates another housing agency, 
nonprofit agency, or contractor, that is acceptable to HUD. The PHA's 
application must include an agreement by the other housing agency, 
nonprofit agency, or contractor to administer the new funding increment 
on behalf of the PHA, and a statement that outlines the steps the PHA 
is taking to resolve the program findings and the program compliance 
problems. Immediately after the publication of this SuperNOFA, the 
local HUD Field Office will notify, in writing, those PHAs that are not 
eligible to apply without such an agreement. Concurrently, the local 
HUD Field Office will provide a copy of each such written notification 
to the Grants Management Center. The PHA may appeal the decision in 
writing, if HUD has mistakenly classified the PHA as having outstanding 
management or compliance problems. Any appeal must be accompanied by 
conclusive evidence of HUD's error and must be received prior to the 
application deadline. The appeal should be submitted to the local HUD 
Field Office where a final determination shall be made. Concurrently, 
the local HUD Field

[[Page 9979]]

Office shall provide the Grants Management Center with a copy of its 
written response to the appeal, along with a copy of the PHA's written 
appeal. Major program management findings are those that would cast 
doubt on the capacity of the PHA to effectively administer any new 
Section 8 voucher funding in accordance with applicable HUD regulatory 
and statutory requirements.
    (C) Eligible Participants. Eligible participants include non-
elderly disabled families who were on the waiting list (at the time of 
the PHA's application) of a covered development identified in this 
announcement where the owner had exercised a preference for the 
admission of elderly families, or restricted occupancy to elderly 
families, respectively, at the time the PHA received the names of these 
families from the owner of the development(s) for purposes of 
requesting Section 8 rental vouchers in response to this announcement. 
These non-elderly disabled families need not be listed on the PHA's 
Section 8 waiting list in order to be offered and receive Section 
assistance; i.e., it is sufficient that their names are on the waiting 
list for a covered development at the time their names are provided to 
the PHA by the owner. Eligible participants also include other non-
elderly disabled families residing in the community who would qualify 
for a one-or zero-bedroom unit. (See the note in this announcement at 
the end of Section II(B) for those limited instances in which a PHA 
could also apply for funding for a two-bedroom unit.) Non-elderly 
disabled families must be income eligible under 24 CFR 982.201(b) in 
order to receive a rental voucher.

IV. Program Requirements and Operations

    In addition to the civil rights compliance and nondiscrimination 
requirements listed in the General Section of this SuperNOFA, grantees 
must meet the following program requirements:
    (A) Affirmatively Furthering Fair Housing. Each successful 
applicant will have a duty to affirmatively further fair housing. 
Applicants will be required to identify the specific steps that they 
will take to:
    (1) Address the elimination of impediments to fair housing that 
were identified in the jurisdiction's Analysis of Impediments (AI) to 
Fair Housing Choice;
    (2) Remedy discrimination in housing; or
    (3) Promote fair housing rights and fair housing choice.
    Further applicants have a duty to carry out the specific activities 
cited in their responses under this announcement to address 
affirmatively furthering fair housing.
    (B) Certifications and Assurances. Each applicant is required to 
submit signed copies of Assurances and Certifications. The standard 
Assurances and Certifications are on Form HUD-52515, Funding 
Application, which includes the Equal Opportunity Certification, 
Certification Regarding Lobbying, and Certification Regarding Drug-Free 
Workplace Requirements.
    (C) Voucher Assistance Requirements.
    (1) Section 8 regulations. PHAs must administer the Section 8 
vouchers received under this announcement in accordance with HUD 
regulations and requirements governing the Section 8 Housing Choice 
Voucher Program.
    (2) Section 8 admission requirements. Section 8 assistance must be 
provided to eligible applicants in conformity with regulations and 
requirements governing the Section 8 Housing Choice Voucher Program and 
the PHA's administrative plan.
    (3) Turnover. When a voucher under this announcement becomes 
available for reissue (e.g., the family initially selected for the 
program drops out of the program or is unsuccessful in the search for a 
unit), the rental assistance may be used only for another individual or 
family eligible for assistance under this announcement subject to 
appropriations for renewal funding, from the date the rental assistance 
is placed under an annual contributions contract (ACC).
    (D) PHA Responsibilities. In addition to PHA responsibilities under 
the Section 8 Housing Choice Voucher Program and HUD regulations 
concerning nondiscrimination based on disability (24 CFR 8.28) and to 
affirmatively further fair housing, PHAs that receive voucher funding 
shall:
    (1) Where requested by an individual, assist program participants 
to gain access to supportive services available within the community, 
but not require eligible applicants or participants to accept 
supportive services as a condition of participation or continued 
occupancy in the program.
    (2) Identify public and private funding sources to assist 
participants with disabilities in covering the costs of modifications 
that need to be made to their units as a reasonable accommodation for 
their disabilities.
    (3) Not deny persons who qualify for rental assistance under this 
program other housing opportunities, or otherwise restrict access to 
PHA programs to eligible applicants who choose not to participate.
    (4) Provide Section 8 search assistance.
    (5) In accordance with regulatory guidance, provide higher rent to 
owners necessary for the provision of accessible units and structural 
modifications for persons with disabilities.
    (6) Provide technical assistance to owners for making reasonable 
accommodations or making units accessible to persons with disabilities.
    (E) Definitions.
    (1) Elderly Family. A family whose head of household, spouse, or 
sole member is 62 years or older.
    (2) Non-elderly Disabled Family. A family who is not elderly, and 
whose head, spouse, or sole member is a person with disabilities. The 
term ``non-elderly disabled family'' may include two or more such 
persons with disabilities living together, and one or more such persons 
with disabilities living with one or more persons who are determined 
essential to the care and well-being of the person or persons with 
disabilities (live-in aides).
    (3) Person with Disabilities. A person who--
    (a) Has a disability as defined in section 223 of the Social 
Security Act (42 U.S.C. 423), or
    (b) Is determined to have a physical, mental or emotional 
impairment that:
    (i) Is expected to be of long-continued and indefinite duration;
    (ii) Substantially impedes his or her ability to live 
independently; and
    (iii) Is of such a nature that such ability could be improved by 
more suitable housing conditions, or
    (c) Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 
6001(5)).
    The term ``person with disabilities'' does not exclude persons who 
have the disease of acquired immunodeficiency syndrome (AIDS) or any 
conditions arising from the etiologic agent for acquired 
immunodeficiency syndrome (HIV).

    Note: While the above definition of a ``person with 
disabilities'' is to be used for purposes of determining a family's 
eligibility for a Section 8 voucher under this announcement, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must 
be used for purposes of meeting the requirements of Fair Housing 
laws, including providing reasonable accommodations.

    No individual shall be considered a person with disabilities for 
the purpose of determining eligibility solely on the basis of any drug 
or alcohol dependence.

[[Page 9980]]

    (4) Section 8 Search Assistance. Assistance to increase access by 
program participants to housing units in a variety of neighborhoods 
(including areas with low poverty concentrations) and to locate and 
obtain units suited to their needs.

V. Application Selection Process

    After the Grants Management Center has screened all applications 
and disapproved any found unacceptable for further processing, the 
Grants Management Center will review all remaining applications to 
ensure that they are technically adequate and responsive to the 
requirements identified in this program section of this SuperNOFA.
    HUD Headquarters will fund on a first-come, first-serve basis all 
approvable applications that are recommended for funding by the Grants 
Management Center, based upon the date and time the application is 
received in the Grants Management Center. As applications are selected, 
the cost of funding the applications will be subtracted from the funds 
available. In the event approvable applications are received for more 
than the approximately $20 million available funds will be transferred 
from the approximately $20 million available under the Rental 
Assistance for Non-elderly Persons with Disabilities in Support of 
Designated Housing Plans program to the extent such funds have not been 
obligated under that program for approvable applications. Applications 
will be funded for the total number of units requested and recommended 
for approval by the Grants Management Center. When remaining budget 
authority is insufficient to fund the last selected application in full 
the Grants Management Center will fund that application to the extent 
of the funding available, unless the application indicates that the PHA 
will only accept a higher number of units. In that event, HUD will fund 
the next selected application that has indicated a willingness to 
accept the lesser amount of funding for units available.

VII. Application Submission Requirements

    (A) Form HUD-52515. All PHAs must complete and submit form HUD-
52515, Funding Application, for the Section 8 Housing Choice Voucher 
Program (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. Section C of the form should be left blank. A copy of Form 
HUD-52515 is included in the forms found in Appendix B to the General 
Section of the SuperNOFA. The form must be completed in its entirety, 
with the exception of Section C, signed and dated.
    (B) Letter of Intent and Narrative. The PHA must state in its cover 
letter to the application whether the PHA will accept a reduction in 
the number of vouchers, and the minimum number of vouchers the PHA will 
accept, since the funding is limited and HUD may only have enough funds 
to approve a smaller amount than the number of vouchers requested. The 
maximum number of vouchers that a PHA may apply for under this 
announcement is limited to 200.
    (C) Demonstration of Need: Certification/Waiting List Information 
and Other Non-Elderly Disabled Families Residing in the Community. In 
order to support the number of vouchers being requested on the form 
HUD-52515, the PHA's application must include:
    (1) A certification from the owner of a covered development (see 
the different types of covered developments listed in Section III(A)(1) 
and (2) of this announcement), stating the specific type of covered 
development, preferences are provided to elderly families in selecting 
tenants (Section 8 project-based developments) or occupancy in the 
development is restricted to elderly families (assisted housing 
developments), and the number of non-elderly disabled families on the 
owner's waiting list for the development. (PHAs may contact the local 
HUD Field Office's Director, Multifamily Division, to get the addresses 
and telephone numbers of the developments falling under Section 
III(A)(1) and (2) in this announcement. The PHA will then need to 
contact the management/owners of these developments within their 
jurisdiction to verify that the development is a covered development. 
Owners of covered developments are encouraged to cooperate with PHAs 
and provide the required certification (if applicable) in a timely 
manner, along with the names, addresses and telephone numbers of those 
families on the development's waiting list that are non-elderly 
disabled families.)
    (2) PHAs must also submit information supportive of the number of 
other non-elderly disabled families residing in the community who would 
qualify for one-bedroom or zero-bedroom units (not on the waiting lists 
of covered developments). (See the note at the end of Section II(B) of 
this announcement which identifies those limited instances in which a 
PHA may apply for funding for a two-bedroom unit.) The application must 
demonstrate a need for vouchers by providing information documenting 
that the demand for housing for non-elderly disabled families would 
equal or exceed the requested number of vouchers (not to exceed 200). 
The PHA must assess and document the need using a range of sources 
including, but not limited to: census data, information from the PHA's 
waiting list (both public housing and Section 8), statistics on recent 
public housing admissions and certificate and voucher use, data from 
local advocacy groups and local public and private service agencies 
familiar with the housing needs of non-elderly disabled families, and 
pertinent information from the Consolidated Plan (including the 
Analysis of Impediments to Fair Housing Choice) applicable to the PHA's 
jurisdiction. (See 24 CFR 91.205(d).)
    (D) Statement Regarding the Steps the PHA Will Take to 
Affirmatively Further Fair Housing. The areas to be addressed in the 
PHA's statement should include, but not necessarily be limited to:
    (1) Elimination of impediments to fair housing that were identified 
in the jurisdiction's Analysis of Impediments (AI) to Fair Housing 
Choice;
    (2) Remedy discrimination in housing for persons with disabilities 
regardless of race, color, religion, sex, familial status, national 
origin, or nature of disability; or
    (3) Promote fair housing rights and fair housing choice.
    (E) Program Summary. Provide a separate one paragraph statement 
describing how the vouchers being applied for will address the local 
housing needs of eligible disabled families in renting decent, safe, 
affordable housing. Describe, where applicable, how the vouchers will 
be used to expand existing housing choices, and whether the PHA intends 
to use the vouchers to establish or expand upon its existing 
partnerships with local government, nonprofit agencies, or private 
industry groups. Also address any related notable local program 
activities, best practices, or accomplishments.

VII. Corrections to Deficient Applications

    (A) Acceptable Applications. The General Section of the SuperNOFA 
provides the procedures for corrections to deficient applications.
    (B) Unacceptable Applications.
    (1) After the 14-calendar day technical deficiency correction 
period (as provided in the General Section), the Grants Management 
Center will disapprove all applications that the

[[Page 9981]]

Grants Management Center determines are not acceptable for processing. 
The notification of rejection letter will state the basis for the 
decision.
    (2) Applications that fall into any of the following categories 
will not be processed:
    (a) Applications that do not meet the threshold fair housing and 
civil rights compliance requirements of Section II(B) of the General 
Section of the SuperNOFA
    (b) The PHA has major program management findings in an Inspector 
General audit, HUD management review, or independent public accountant 
(IPA) audit for its voucher or certificate programs that are not closed 
or on which satisfactory progress in resolving the findings is not 
being made; or program compliance problems for its voucher or 
certificate programs on which satisfactory progress is not being made. 
The only exception to this category is if the PHA has been identified 
under the policy established in Section III(B)(2) of this announcement 
and the PHA makes application with a designated contract administrator. 
Major program management findings are those that would cast doubt on 
the capacity of the PHA to effectively administer any new Section 8 
voucher funding in accordance with applicable HUD regulatory and 
statutory requirements.
    (c) The PHA has failed to achieve a lease-up rate of 90 percent for 
its combined certificate and voucher units under contract for its 
fiscal year ending in 1998. Category (c) may be passed, however, if the 
PHA achieved a combined certificate and voucher budget authority 
utilization rate of 90 percent or greater for its fiscal year ending in 
1998. In the event the PHA is unable to meet either of these percentage 
requirements, the PHA may still pass category (c) if the PHA submits 
information to the Grants Management Center, as part of its 
application, demonstrating that it was able to either increase its 
combined certificate and voucher lease-up rate to 90 percent or greater 
for its fiscal year ending in 1999, or was able to increase combined 
certificate and voucher budget authority utilization to 90 percent or 
more for its fiscal year ending in 1999. PHAs that have been determined 
by HUD to have passed either the 90 percent lease-up, or 90 percent 
budget authority utilization requirement for their fiscal year ending 
in 1998 will be listed on the HUD Home Page site on the Internet's 
world wide web (http://www.hud.gov). A PHA not listed must either 
submit information in its application supportive of its 90 percent 
lease-up or 90 percent budget authority utilization performance for its 
fiscal year ending in 1999, or submit information as part of its 
application supportive of its contention that it should have been 
included among those PHAs HUD listed on the HUD Home Page as having 
achieved either a 90 percent lease-up rate or 90 percent budget 
authority utilization rate for fiscal years ending in 1998. Appendix A 
to this program section indicates the methodology and data sources used 
by HUD to calculate the lease-up and budget authority utilization 
percentage rates for PHAs with fiscal years ending in 1998. Any PHA 
wishing to submit information to the Grants Management Center in 
connection with its 1998 fiscal year or 1999 fiscal year for the 
purposes described immediately above (so as to be eligible under 
category (c) to submit an application) will be required to use the same 
methodology and data sources indicated in Appendix A.
    (d) The PHA is involved in litigation and HUD determines that the 
litigation may seriously impede the ability of the PHA to administer 
the vouchers.
    (e) An application that does not comply with the requirements of 24 
CFR 982.102 and this program section after the expiration of the 14-
calendar day technical deficiency correction period will be rejected 
from processing.
    (f) The application was submitted after the application due date.
    (g) The application was not submitted to the official place of 
receipt as indicated in the paragraph entitled ``Address for Submitting 
Applications'' at the beginning of this announcement.
    (h) The applicant has been debarred or otherwise disqualified from 
providing assistance under the program.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b) (11) of the HUD regulations, 
tenant-based rental activities under this program are categorically 
excluded from the requirements of the National Environmental Policy Act 
of 1969 (NEPA) and are not subject to environmental review under the 
related laws and authorities. This announcement provides funding for 
these activities under 24 CFR part 982, which does not contain 
environmental review provisions because of the categorical exclusion of 
these activities from environmental review. Accordingly, under 24 CFR 
50.19(c)(5), issuance of this announcement is also categorically 
excluded from environmental review under NEPA.

IX. Authority

    Authority for this program is found in the Departments of Veteran's 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, FY 2000 (Pub.L. 106-74, approved October 20, 1999). 
This FY 2000 Appropriations Act authorized appropriations for Section 8 
vouchers to assist non-elderly disabled families affected by the 
establishment of preferences in accordance with section 651 of the 
Housing and Community Development Act of 1992, or the restriction of 
occupancy to elderly families in accordance with section 658 of the 
Act. The FY 2000 Appropriations Act also allows the Secretary to 
transfer any unobligated funds for this purpose to assist non-elderly 
disabled families to the extent they are not needed under Sections 651 
and 658 for such families. Therefore, any funds remaining unobligated 
under this program section of this SuperNOFA will be used first to fund 
any approvable applications under the Rental Assistance for Non-Elderly 
Persons With Disabilities in Support of Designated Housing Plans 
program for which there are insufficient funds. Thereafter, any funds 
still remaining unobligated will be used to fund applications under the 
Mainstream Program in the SuperNOFA.

BILLING CODE 4210-32-P

[[Page 9982]]

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[[Page 9983]]


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  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9985]]


[GRAPHIC] [TIFF OMITTED] TN24FE00.424


  Federal Register / Vol. 65 , No. 37 / Thursday, February 24, 2000 / 
Notices  

[[Page 9987]]



FUNDING AVAILABILITY FOR RENTAL ASSISTANCE FOR NON-ELDERLY PERSONS 
WITH DISABILITIES IN SUPPORT OF DESIGNATED HOUSING PLANS

Program Overview

    Purpose of the Program. The purpose of the voucher funding being 
made available under the Section 8 Housing Choice Voucher Program 
through this announcement is to enable non-elderly families with 
disabilities to rent affordable private housing. The vouchers will 
assist public housing agencies (PHAs) in providing sufficient 
alternative resources to meet the housing needs of those non-elderly 
disabled families who would have been housed by the PHA if occupancy in 
a designated public housing project/building (or portion thereof) were 
not restricted to elderly households, and assist PHAs who wish to 
continue to designate their buildings as ``mixed elderly and disabled 
buildings'' but can demonstrate a need for alternative resources for 
non-elderly disabled families.
    Available Funds. Approximately $20 million in one-year budget 
authority for approximately 3,600 Section 8 vouchers.
    Eligible Applicants. Public housing agencies (PHAs). Indian Housing 
Authorities, Indian tribes and their tribally designated housing 
entities are not eligible to apply because the Native American Housing 
Assistance and Self-Determination Act of 1996 does not allow HUD to 
enter into new Section 8 annual contributions contracts (ACC) with IHAs 
after September 30, 1997. Further, IHAs would not otherwise have been 
eligible to apply under this announcement because the requirements of 
section 7 of the U.S. Housing Act of 1937 (42 U.S.C. 1437e) regarding 
designated housing plan are not applicable to IHAs.
    Application Deadline. June 20, 2000.
    Match: None.

Additional Information

    If you are interested in applying for funding under this program, 
please review carefully the General Section of this SuperNOFA and the 
following additional information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance

    Application Due Date. Submit your original and two copies of your 
completed application to HUD on or before 12:00 midnight, Eastern time, 
on June 20, 2000.
    See the General Section of this SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, overnight delivery, or hand carried).
     Address for Submitting Applications. Your completed 
application consists of an original and two copies. Submit the original 
application to Michael Diggs, Director, Grants Management Center, 
Department of Housing and Urban Development, 501 School Street, SW, 
Suite 800, Washington, DC 20024. Applications which are hand carried or 
sent via overnight delivery service should be delivered to this 
address. The Grants Management Center is the official place of receipt 
for all applications in response to this announcement of funding 
availability. Your application will be accepted at this address until 
6:00 pm, Eastern time, on the application deadline.
    After 6:00 pm on the application deadline date, applications will 
be accepted in the South Lobby of HUD Headquarters, 451 Seventh Street, 
SW, Washington, DC 20410, until 12:00 midnight Eastern time.
    Submit one copy of your application concurrently to the Office of 
Public Housing, Special Application Center, Room 2401, 77 West Jackson 
Boulevard, Chicago, IL 60604 (312-886-9754).
    Submit the second copy of your application to your local HUD Field 
Office HUB or local HUD Field Office Program Center. A listing of HUD 
Field Offices is attached to the General Section of this SuperNOFA.
    For Application Kits. An application kit is not necessary for 
submitting an application in response to this announcement. This 
announcement contains all the information necessary for the submission 
of your application for voucher funding under this announcement.
    For Further Information and Technical Assistance. You may contact 
George C. Hendrickson, Housing Program Specialist, Room 4216, Office of 
Public and Assisted Housing Delivery, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Washington, DC 20410; telephone 
(202) 708-1872, ext. 4064, or you may contact the Grants Management 
Center at (202) 358-0338. (These are not toll-free numbers.) Persons 
with hearing or speech impairments may access these numbers via TTY 
(text telephone) by calling the Federal Information Relay Service at 1-
800-877-8339 (this is a toll-free number).
    Prior to the application due date, George C. Hendrickson will be 
available to provide general guidance and technical assistance about 
this announcement.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at 
www.hud.gov.

II. Amount Allocated

    (A) Available Funding. Approximately $20 million in one-year budget 
authority is available for Section 8 rental vouchers for non-elderly 
disabled families in support of designated housing plans to designate 
public housing for occupancy by elderly families only, disabled 
families only, or elderly families and disabled families only. This 
funding is expected to provide assistance to approximately 3,600 non-
elderly disabled families.
    The FY 2000 HUD Appropriations Act allows the Secretary of HUD to 
transfer any unobligated funds for support of designated housing plans 
to assist non-elderly disabled families to the extent they are not 
needed to fund approvable applications related to designated housing 
plans during FY 2000. Accordingly, any funds remaining unobligated 
under this announcement will first be used to fund any approvable 
applications under HUD's announcement for Rental Assistance for Non-
Elderly Persons with Disabilities Related to Certain Types of Section 8 
Project-Based Developments and Section 202, Section 221(d)(3) and 
Section 236 Developments, for which there are insufficient funds. Any 
funds still remaining unobligated under this announcement for funding 
in support of designated housing plans shall be used to fund any 
approvable applications under HUD's announcement for Mainstream Housing 
Opportunities For Persons With Disabilities, for which there are 
insufficient funds.
    (B) Voucher Funding.
    (1) Maximum Voucher Request. A PHA may apply for only the number of 
units needed to house those non-elderly disabled families that 
otherwise would have been housed if not for the designation of a 
project/building (or portion thereof) for occupancy by the elderly 
only. The size of the units applied for must bear a direct relationship 
to the size of the units designated. PHAs are limited to applying for 
no more than a maximum of 200 units (vouchers).
    (2) Determination of Funding Amount for the PHA's Requested Number 
of Vouchers. HUD will determine the

[[Page 9988]]

amount of funding that a PHA will be awarded under this announcement 
based upon an actual annual per unit cost using the following three-
step process:
    (a) HUD will extract the total expenditures for all the PHA's 
Section 8 tenant-based assistance programs and the unit months leased 
information from the most recent approved year end statement (form HUD-
52681) that the PHA has filed with HUD. HUD will divide the total 
expenditures for all of the PHA's Section 8 tenant-based assistance 
programs by the unit months leased to derive an average monthly per 
unit cost.
    (b) HUD will multiply the monthly per unit cost by 12 (months) to 
obtain an annual per unit cost.
    (c) HUD will multiply the annual per unit cost derived, as provided 
in this announcement, by the Section 8 Housing Assistance Payments 
Program Contract Rent Annual Adjustment Factor (with the highest cost 
utility included) to generate an adjusted annual per unit cost.

    Note: Applicants who do not currently administer a Section 8 
certificate or voucher program shall have their voucher funding 
based upon the actual annual per unit costs of the PHA in their most 
immediate area administering a Section 8 certificate or voucher 
program, using the three step process described immediately above.

    (3) Preliminary Fee. A preliminary fee of up to $500 per unit for 
preliminary (start-up) expenses will be paid to PHAs that have not 
previously administered their own Section 8 tenant-based program that 
are selected for funding under this announcement. The preliminary fee 
will be provided to such PHAs only in their first year administering 
Section 8 vouchers.
    (4) Underfunding Corrections. If prior to the award of funding 
under this Designated Housing announcement, HUD determines that any 
awardees under the FY 1999 Designated Housing NOFA have been 
underfunded, HUD will increase funding to the amount that the awardee 
should have received.

III. Program Description, Eligible Applicants, and Eligible 
Participants

    (A) Program Description. This program provides Section 8 vouchers 
to assist non-elderly disabled families who would have been housed by a 
PHA if occupancy in the designated public housing project/building (or 
portion thereof) were not restricted to elderly households, and assist 
PHAs that wish to continue to designate their projects/buildings (or 
portions thereof) as ``mixed elderly and disabled buildings'' and can 
demonstrate a need for alternative housing resources for non-elderly 
disabled families that is consistent with the jurisdiction's 
Consolidated Plan and the low-income housing needs of the jurisdiction.
    (B) Eligible Applicants. A PHA established pursuant to State law 
may apply for funding under this announcement. A regional (multi-
county) or State PHA is eligible to apply for funding. Indian Housing 
Authorities (IHAs), Indian tribes and their tribally designated housing 
entities are not eligible to apply because the Native American Housing 
Assistance and Self-Determination Act of 1996 does not allow HUD to 
enter into new Section 8 annual contributions contracts (ACC) with IHAs 
after September 30, 1997. Further, IHAs would not otherwise have been 
eligible to apply under this announcement because the requirements of 
section 7 of the U.S. Housing Act of 1937 (42 U.S.C. 1437e) regarding 
designated housing plan are not applicable to IHAs.
    Some PHAs currently administering the Section 8 voucher and 
certificate programs have, at the time of publication of this 
SuperNOFA, major program management findings from Inspector General 
audits, HUD management reviews, or independent public accountant (IPA) 
audits that are open and unresolved or other significant program 
compliance problems. HUD will not accept applications for additional 
funding from these PHAs as contract administrators if, on the 
application due date, the findings are either not closed, or sufficient 
progress toward closing the findings has not been made to HUD's 
satisfaction.
    The PHA must also, to HUD's satisfaction, be making satisfactory 
progress in addressing any program compliance problems. If the PHA 
wants to apply for funding under this announcement, the PHA must submit 
an application that designates another housing agency, nonprofit 
agency, or contractor, that is acceptable to HUD. The PHA's application 
must include an agreement by the other housing agency, nonprofit 
agency, or contractor to administer the new funding increment on behalf 
of the PHA, and a statement that outlines the steps the PHA is taking 
to resolve the program findings and program compliance problems. 
Immediately after the publication of this SuperNOFA, the local HUD 
Field Office will notify, in writing, those PHAs that are not eligible 
to apply without such an agreement. Concurrently, the local HUD Field 
Office will provide a copy of each such written notification to the 
Grants Management Center. The PHA may appeal the decision in writing, 
if HUD has mistakenly classified the PHA as having outstanding 
management or compliance problems. Any appeal must be accompanied by 
conclusive evidence of HUD's error and must be received prior to the 
application deadline. The appeal should be submitted to the local HUD 
Field Office where a final determination shall be made. Concurrently, 
the local HUD Field Office shall provide the Grants Management Center 
with a copy of its written response to the appeal, along with a copy of 
the PHA's written appeal. Major program management findings are those 
that would cast doubt on the capacity of the PHA to effectively 
administer any new Section 8 voucher funding in accordance with 
applicable HUD regulatory and statutory requirements.
    (C) Eligible Participants. Only non-elderly disabled families that 
are income eligible under 24 CFR 982.201(b) and who live in public 
housing that has been designated for occupancy by the elderly, or non-
elderly disabled families who are on the PHA's public housing waiting 
list, may receive a voucher awarded in conjunction with an approved 
designated housing plan. Such families need not be listed on the PHA's 
Section 8 waiting list in order to be offered and receive a Section 8 
voucher. These families may be admitted to the Section 8 program as a 
special admission (24 CFR 982.203).

IV. Program Requirements and Definitions

    In addition to the civil rights compliance and nondiscrimination 
requirements listed in the General Section of this SuperNOFA, grantees 
must meet the following program requirements: (A) Affirmatively 
Furthering Fair Housing. Each successful applicant will have a duty to 
affirmatively further fair housing. Applicants will be required to 
identify the specific steps that they will take to:
    (1) Address the elimination of impediments to fair housing that 
were identified in the jurisdiction's Analysis of Impediments (AI) to 
Fair Housing Choice;
    (2) Remedy discrimination in housing; or
    (3) Promote fair housing rights and fair housing choice.
    Further applicants have a duty to carry out the specific activities 
cited in their responses under this announcement to address 
affirmatively furthering fair housing.
    (B) Certifications and Assurances. Each applicant is required to 
submit signed copies of Assurances and Certifications. The standard 
Assurances

[[Page 9989]]

and Certifications are on Form HUD-52515, Funding Application, which 
includes the Equal Opportunity Certification, Certification Regarding 
Lobbying, and Certification Regarding Drug-Free Workplace Requirements.
    (C) Voucher Assistance Requirements.
    (1) Section 8 regulations. PHAs must administer the Section 8 
vouchers received under this announcement in accordance with HUD 
regulations and requirements governing the Section 8 Housing Choice 
Voucher Program.
    (2) Section 8 admission requirements. Section 8 assistance must be 
provided to eligible applicants in conformity with regulations and 
requirements governing the Section 8 Housing Choice Voucher Program and 
the PHA's administrative plan.
    (3) Turnover. When a voucher under this announcement becomes 
available for reissue (e.g., the family initially selected for the 
program drops out of the program or is unsuccessful in the search for a 
unit), the rental assistance may be used only for another individual or 
family eligible for assistance under this announcement subject to 
appropriations for renewal funding, from the date the rental assistance 
is placed under an annual contributions contract (ACC).
    (D) PHA Responsibilities. In addition to PHA responsibilities under 
the Section 8 Housing Choice Voucher Program and HUD regulations 
concerning nondiscrimination based on disability (24 CFR 8.28) and to 
affirmatively further fair housing, PHAs that receive voucher funding 
shall:
    (1) Where requested by an individual, assist program participants 
to gain access to supportive services available within the community, 
but not require eligible applicants or participants to accept 
supportive services as a condition of participation or continued 
occupancy in the program.
    (2) Identify public and private funding sources to assist 
participants with disabilities in covering the costs of structural 
alterations and other accessibility features that are needed as 
accommodations for their disabilities.
    (3) Not deny persons who qualify for rental assistance under this 
program other housing opportunities, or otherwise restrict access to 
PHA programs to eligible applicants who choose not to participate.
    (4) Provide Section 8 search assistance.
    (5) In accordance with regulatory guidance, provide higher rent to 
owners necessary for the provision of accessible units and structural 
modifications for persons with disabilities.
    (6) Provide technical assistance to owners for making reasonable 
accommodations or making units accessible to persons with disabilities.
    (E) Definitions.
    (1) Designated Housing Plan. A HUD-approved designated housing plan 
required of PHAs seeking to designate a project/building (or portion 
thereof) for occupancy by elderly families only, disabled families 
only, or elderly and disabled families only. See section 10(a) of the 
Housing Opportunity Extension Act of 1996 (Pub. L. 104-120, approved 
March 28, 1996) as explained in Notice PIH 97-12 (HA), Requirements for 
Designation of Public Housing Projects. This Notice was extended by 
Notice PIH 99-21 (HA). Section 10(a) amended section 7 of the United 
States Housing Act of 1937 (42 U.S.C. 1437e).
    (2) Elderly Family. A family whose head of household, spouse, or 
sole member is 62 years or older.
    (3) Non-elderly Disabled Family. A family who is not elderly, and 
whose head, spouse, or sole member is a person with disabilities. The 
term ``non-elderly disabled family'' may include two or more such 
persons with disabilities living together, and one or more such persons 
with disabilities living with one or more persons who are determined 
essential to the care and well-being of the person or persons with 
disabilities (live-in aides).
    (4) Person with disabilities. A person who--
    (a) Has a disability as defined in section 223 of the Social 
Security Act (42 U.S.C. 423), or
    (b) Is determined to have a physical, mental or emotional 
impairment that:
    (i) Is expected to be of long-continued and indefinite duration;
    (ii) Substantially impedes his or her ability to live 
independently; and
    (iii) Is of such a nature that such ability could be improved by 
more suitable housing conditions, or
    (c) Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance and Bill of Rights Act (42 U.S.C. 
6001(5)).
    The term ``person with disabilities'' does not exclude persons who 
have the disease of acquired immunodeficiency syndrome (AIDS) or any 
conditions arising from the etiologic agent for acquired 
immunodeficiency syndrome (HIV).

    Note: While the above definition of a ``person with 
disabilities'' is to be used for purposes of determining a family's 
eligibility for a Section 8 voucher under this announcement, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must 
be used for purposes of meeting the requirements of Fair Housing 
laws, including providing reasonable accommodations.

    No individual shall be considered a person with disabilities for 
the purpose of determining eligibility solely on the basis of any drug 
or alcohol dependence.
    (5) Section 8 search assistance. Assistance to increase access by 
program participants to housing units in a variety of neighborhoods 
(including areas with low poverty concentrations) and to locate and 
obtain units suited to their needs.

V. Application Selection Process

    After the Grants Management Center has screened PHA applications 
and disapproved any applications found unacceptable for further 
processing, the Grants Management Center will review all acceptable 
applications (exclusive of the Designated Housing Plan portion of the 
application--which is reviewed by the Special Application Center) to 
ensure that they are technically adequate and responsive to the 
requirements of this announcement of funding availability.
    The Special Application Center will send to the Grants Management 
Center the following information on each designated housing plan 
submitted in conjunction with this announcement:
    (1) A copy of the letter to the PHA approving or disapproving its 
designated housing plan.
    (2) Special Application Center contact person and telephone number.
    HUD Headquarters will fund on a first-come, first-serve basis all 
approvable applications from PHAs that are recommended for funding by 
the Grants Management Center and that the Special Application Center 
advises has an approved designated housing plan, based upon the date 
and time the application is received in the Grants Management Center. 
As PHAs are selected, the cost of funding the applications will be 
subtracted from the funds available. In the event approvable 
applications are received for more than the approximately $20 million 
available under this announcement, funds will be transferred from the 
approximately $20 million available under the announcement for non-
elderly disabled families not receiving housing assistance in certain 
Section 8 project-based developments, or certain Section 202, Section 
221(d)(3) or Section 236 developments, to the extent funds are not 
needed for approvable applications under that announcement. 
Applications will be funded for the total number of units requested by 
the PHA and approved by the Grants Management Center in accordance with 
this funding

[[Page 9990]]

announcement for support of Designated Housing Plans. When remaining 
budget authority is insufficient to fund the last selected PHA 
application in full, however, HUD Headquarters will fund that 
application to the extent of the funding available, unless the PHA's 
application indicates that the PHA will only accept a higher number of 
units. In that event, the next selected application shall be one that 
has indicated a willingness to accept the lesser amount of funding for 
the units available.

VI. Application Submission Requirements

    (A) Form HUD-52515. All PHAs must complete and submit form HUD-
52515, Funding Application, for the Section 8 Housing Choice Voucher 
Program (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. The information entered in Section B of the form for 
bedroom size and number of requested units must bear a direct 
relationship to the bedroom size and number of units designated in the 
PHA's designated housing plan that will no longer be available for the 
future admission of non-elderly disabled families. Section C of the 
form should be left blank. A copy of Form HUD-52515 is included in the 
forms found in Appendix B to the General Section of the SuperNOFA. The 
form must be completed in its entirety, with the exception of Section 
C, signed and dated.
    (B) Letter of Intent and Narrative. The PHA must state in its cover 
letter to the application whether the PHA will accept a reduction in 
the number of vouchers, and the minimum number of vouchers that the PHA 
will accept, since the funding is limited and HUD may only have enough 
funds to approve a smaller amount than the number of vouchers 
requested. The maximum number of vouchers that a PHA may apply for 
under this announcement is limited to 200.
    (C) Approvable Designated Housing Plan. The application must 
include an approvable plan to designate housing in accordance with 
section 10(a) of the Housing Opportunities Extension Act of 1996 (Pub. 
L 104-120, approved March 28, 1996) as explained in Notice PIH 97-12 
(HA), Requirements for Designation of Public Housing Projects. This 
Notice was extended by Notice PIH 99-21 (HA).
    (D) Designated Housing Plan Previously Approved. Any PHA wishing to 
rely on a designated housing plan previously approved by HUD that did 
not require Section 8 vouchers or certificates for non-elderly disabled 
families or that now requires more Section 8 vouchers than previously 
justified, will require the PHA to submit the information required in 
paragraphs (A) and (B) above, a copy of the previously HUD-approved 
designated housing plan, and updated needs data supporting the need now 
for Section 8 vouchers not previously deemed necessary as an 
alternative housing resource. The updated needs data should indicate 
why the PHA does not have the appropriate resources to carry out the 
previously approved plan, identify the number of Section 8 vouchers 
needed for non-elderly disabled families, and address the housing needs 
in its consolidated plan.
    Conversely, any PHA wishing to rely on a designated housing plan 
previously approved by HUD, contingent upon the PHA's future submission 
of an application for Section 8 certificates or vouchers as an 
alternative housing resource for non-elderly disabled families, will 
need to only submit the HUD-approval letter for the designated housing 
plan in lieu of the plan itself (updated needs data also unnecessary).
    (E) Statement Regarding the Steps the PHA Will Take to 
Affirmatively Further Fair Housing. The areas to be addressed in the 
PHA's statement should include, but not necessarily be limited to:
    (1) Elimination of impediments to fair housing that were identified 
in the jurisdiction's Analysis of Impediments (AI) to Fair Housing 
Choice;
    (2) Remedy discrimination in housing for persons with disabilities 
regardless of race, color, religion, sex, familial status, national 
origin, or nature of disability; or
    (3) Promote fair housing rights and fair housing choice.
    (F) Program Summary. Provide a separate, one paragraph statement 
describing how the vouchers being applied for will address the local 
housing needs of eligible disabled families in renting decent, safe, 
and affordable housing. Describe, where applicable, how the vouchers 
will be used to expand existing housing choices, and whether the PHA 
intends to use the vouchers to establish or expand upon its existing 
partnerships with local government, nonprofit agencies, or private 
industry groups. Also address any related notable local program 
activities, best practices, or accomplishments.

VII. Corrections to Deficient Applications

    (A) Acceptable Applications. The General Section of the SuperNOFA 
provides the procedures for corrections to deficient applications.
    (B) Unacceptable Applications.
    (1) After the 14-calendar day technical deficiency correction 
period, the Grants Management Center will disapprove all PHA 
applications that the Grants Management Center determines are not 
acceptable for processing. The Grant Management Center's notification 
of rejection letter must state the basis for the decision.
    (2) Applications from PHAs for Section 8 rental assistance that 
fall into any of the following categories will not be processed:
    (a) Applications that do not meet the fair housing and civil rights 
compliance threshold requirements of Section II(B) of the General 
Section of the SuperNOFA.
    (b) The PHA has major program management findings in an Inspector 
General audit, HUD management review, or independent public accountant 
(IPA) audit for its voucher or certificate programs that are not closed 
or on which satisfactory progress in resolving the findings is not 
being made; or program compliance problems for its voucher or 
certificate programs on which satisfactory progress is not being made. 
The only exception to this category is if the PHA has been identified 
under the policy established in Section III(B) of this announcement and 
the PHA makes application with a designated contract administrator. 
Major program management findings are those that would cast doubt on 
the capacity of the PHA to effectively administer any new Section 8 
voucher funding in accordance with applicable HUD regulatory and 
statutory requirements.
    (c) The PHA has failed to achieve a lease-up rate of 90 percent for 
its combined certificate and voucher units under contract for its 
fiscal year ending in 1998. Category (c) may be passed, however, if the 
PHA achieved a combined certificate and voucher budget authority 
utilization rate of 90 percent or greater for its fiscal year ending in 
1998. In the event the PHA is unable to meet either of these percentage 
requirements, the PHA may still pass category (c) if the PHA submits 
information to the Grants Management Center, as part of its 
application, demonstrating that the PHA was able to either increase its 
combined certificate and voucher lease-up rate to 90 percent or greater 
for its fiscal year ending in 1999, or was able to increase combined 
certificate and voucher budget authority utilization to 90 percent or 
more for its fiscal year ending in 1999. PHAs that have been determined 
by HUD to have passed either the 90 percent lease-up, or

[[Page 9991]]

90 percent budget authority utilization requirement for their fiscal 
year ending in 1998 will be listed on the HUD Home Page site on the 
Internet's world wide web (http://www.hud.gov). A PHA not listed must 
either submit information in its application supportive of its 90 
percent lease-up or 90 percent budget authority utilization performance 
for its fiscal year ending in 1999, or submit information as part of 
its application supportive of its contention that it should have been 
included among those PHAs HUD listed on the HUD Home Page as having 
achieved either a 90 percent lease-up rate or 90 percent budget 
authority utilization rate for fiscal years ending in 1998. Appendix A 
to this program section indicates the methodology and data sources used 
by HUD to calculate the lease-up and budget authority utilization 
percentage rates for PHAs with fiscal years ending in 1998. Any PHA 
wishing to submit information to the Grants Management Center in 
connection with its 1998 fiscal year or 1999 fiscal year for the 
purposes described immediately above (so as to be eligible under 
category (c) to submit an application) will be required to use the same 
methodology and data sources indicated in Appendix A.
    (d) The PHA is involved in litigation and HUD determines that the 
litigation may seriously impede the ability of the PHA to administer 
the rental vouchers.
    (e) A PHA's application that does not comply with the requirements 
of 24 CFR 982.102 and the requirements of this announcement after the 
expiration of the 14-calendar day technical deficiency correction 
period will be rejected from processing.
    (f) The PHA's application was submitted after the application due 
date.
    (g) The application was not submitted to the official place of 
receipt as indicated in the paragraph entitled ``Address for Submitting 
Applications'' at the beginning of this announcement.
    (h) The applicant has been debarred or otherwise disqualified from 
providing assistance under the program.

VIII. Environmental Requirements

    In accordance with 24 CFR 50.19(b)(11) of the HUD regulations, 
tenant-based rental activities assisted under this program are 
categorically excluded from zthe requirements of the National 
Environmental Policy Act of 1969 (NEPA) and are not subject to 
environmental review under the related laws and authorities. This 
announcement provides funding for these activities under 24 CFR 982, 
which does not contain environmental review provisions because of the 
categorical exclusion of these activities from environmental review. 
Accordingly, under 24 CFR 50.19(c)(5, issuance of this announcement of 
funding availability is also categorically excluded from environmental 
review under NEPA.

IX. Authority

    Authority for the approximately $20 million in one-year budget 
authority for Section 8 rental vouchers (for non-elderly disabled 
families in support of designated housing plans to designate public 
housing for occupancy by elderly families only, disabled families only, 
or elderly families and disabled families only) is found in the 
Departments of Veteran Affairs and Housing and Urban Development, and 
Independent Agencies Appropriations Act, FY 2000 (Pub.L. 106-74, 
approved October 20, 1999).

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