[Federal Register Volume 66, Number 38 (Monday, February 26, 2001)]
[Notices]
[Pages 11638-12425]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-4310]



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Part II





Department of Housing and Urban Development





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Super Notice of Funding Availability (SuperNOFA) for HUD's Housing, 
Community Development and Empowerment Programs and Section 8 Housing 
Voucher Assistance for Fiscal Year 2001; Notice

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4630-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 2001

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 2001 Super Notice of Funding Availability 
(SuperNOFA) announces the availability of approximately $2.75 billion 
in HUD program funds covering 45 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. Please call to find out 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 2001 SuperNOFA 
process'' is available from the SuperNOFA Information Center and the 
HUD website at www.hud.gov/grants. 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/grants.
    For Application Kits and SuperNOFA User Guide. HUD is pleased to 
provide you with the FY 2001 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/grants.
    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/grants.
    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/grants.
    For Federal Grant Information. The Federal Financial Assistance 
Management Improvement Act of 1999 (Pub. L. 106-107) directs each 
Federal agency to develop and implement a plan that, among other 
things, streamlines and simplifies the application, administrative and 
reporting procedures for Federal financial assistance programs 
administered by the agency. This law also requires the Director of the 
Office of Management and Budget (OMB) to direct, coordinate, and assist 
Federal agencies in establishing: (1) a common application and 
reporting system; and (2) an interagency process for addressing ways to 
streamline and simplify Federal financial assistance application and 
administrative procedures and reporting requirements for program 
applicants.
    This law also requires OMB to consult with the grantee community as 
it works with the Federal agencies to develop and implement the course 
of action that would be undertaken by the Federal agencies to establish 
an electronic site for accessing grant information and applications. 
Over the last few months, OMB has been conducting outreach sessions 
informing you of the goals of this new law and seeking your input as 
the Federal agencies work together to achieve implementation.
    HUD has been an active member in the Federal agency working groups 
and has established a common website where you can find information 
about all the grant programs within HUD. You can access this site from 
our homepage at www.hud.gov/grants and checking on grant program 
inventory. This site will be linked with other Federal agencies as the 
grants common website develops. If you are interested in finding out 
more about the ``Federal Commons'' and the work being done by other 
agencies, please visit the Inter-Agency Electronic Grants Committee 
(IAEGC) website at www.fedcommons.gov.

INTRODUCTION TO THE FY 2001 SUPERNOFA

HUD'S FY 2001 SuperNOFA Process

Background

    This year marks the fourth year that HUD is issuing a SuperNOFA for 
almost all of its competitive grant programs, and additional programs 
have been added as noted below. 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

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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 2001

    The FY 2001 SuperNOFA includes more grant assistance funding than 
in previous years and therefore further increases the ability of 
applicants to consider and apply for funding under a wide variety of 
HUD programs. Funding availability announcements that are being added 
to the Fiscal Year 2001 SuperNOFA are the following:
     Assisted Living Conversion Program (ALCP) for Eligible 
Multifamily Projects
     Community Development Block Grants for Indian Tribes and 
Alaska Native Villages
     Early Doctoral Research Program
     Doctoral Research Program
     HUD Urban Scholars Fellowship Program (a post doctoral 
program)
     Family Self-Sufficiency (FSS) Program Coordinators Program
     Healthy Homes Demonstration and Education Program 
(replacing the Healthy Homes Initiative Program of Fiscal Year 2000)
     Healthy Homes Research Program (replacing the program for 
Research to Improve the Evaluation and Control of Residential Lead-
Based Paint)
     Indian Housing Drug Elimination Program
     Service Coordinators in Multifamily Housing
    With respect to the program NOFA for the Community Development 
Block Grants for Indian Tribes and Alaska Native Villages (ICDBG), a 
rule that amends the regulations for this program was published on 
January 17, 2001 (66 FR 4578) and takes effect on April 16, 2001.
    Funding availability announcements that were part of the Fiscal 
Year 2000 SuperNOFA but for which there will be no funding availability 
announcements in FY 2001 are the following:
     Public Housing Drug Elimination Technical Assistance for 
Safety and Security
     Outreach and Assistance Training Grants

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.
    As we did in last year's 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 
includes 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 2001 SuperNOFA; Funding Amount; 
Eligible Applicants and Eligible Activities

    (A) Authority. HUD's authority for making funding under this 
SuperNOFA is the Fiscal Year 2001 Department of Veterans Affairs and 
Housing and Urban Development and Independent Agencies Appropriations 
Act, 2001 (Pub.L. 106-377, approved October 27, 2000) (FY 2001 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. For the majority of funding that is part of this year's 
SuperNOFA, the 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. This year's SuperNOFA also 
includes funding for the Housing Choice Voucher Program that is 
available on a first come, first serve basis.
    (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) Restrictions on the Use of HUD Funds in Support of the Sale of 
Tobacco Products. Section 211 of the FY 2001 HUD Appropriations Act 
requires that funds appropriated to HUD may not be used to construct, 
operate, or otherwise benefit a facility or facilities with a 
designated portion of that facility which sells or intends to sell 
predominantly cigarettes or other tobacco products. The Act defines the 
predominant sale of cigarettes or other tobacco products to mean sales 
representing more than 35 percent of the annual total in-store, non-
fuel sales.
    (E) 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 and their instrumentalities, 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.

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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 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:
     Community Development Block Grant Program for Indian 
Tribes and Alaska Native Villages;
     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 Demonstration and Education Program;
     Healthy Homes Research Program;
     HOPE VI Public Housing Revitalization and Demolition;
     Indian Housing Drug Elimination Program;
     Public Housing Drug Elimination Program--New Approach 
Anti-Drug Program
     Resident Opportunities and Self-Sufficiency Program
     Economic Development Initiative (EDI);
     Brownfields Economic Development Initiative (BEDI);
     Self-Help Homeownership Opportunity Program (SHOP);
     Youthbuild Program;
     Continuum of Care Homeless Assistance Programs;
     Housing Opportunities for Persons with AIDS (HOPWA);
     Section 202 Supportive Housing for the Elderly Program;
     Assisted Living Conversion Program;
     Section 811 Supportive Housing for Persons with 
Disabilities Program;
    (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 acquisition, 
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 and Certifications, 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 EZ/EC Strategic Plan 
(HUD-2990);
     Certification of Consistency with the Consolidated Plan 
(HUD-2991) if applicable;
     Acknowledgment of Application Receipt (HUD-2993);
     Client Comments and Suggestions (HUD 2994)
    Copies of these standard forms follow this General Section of the 
SuperNOFA. Copies of forms that are particular to an

[[Page 11652]]

individual program, follow the funding information for that program.
    Also included in the Appendix B to the General Section is the 
Funding Application for the Section 8 Housing Choice Voucher Program 
(HUD 52515). Note that Forms SF-424A and SF-424C ask for information 
which is similar to the same information that is required by form HUD 
4123-Cost Summary which is listed as a required form under the ICDBG 
program section of this SuperNOFA and which is a required application 
for that program. Also note that there are assurances separate from SF-
424B and 424D for the ICDBG program which are specific to that program.
    (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 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 
2001 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 20503, telephone (202) 395-7332 (this is not a 
toll free number) or from the website at http://whitehouse.gov/wh/eop/omb/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.
    (K) Accessible Technology. The Rehabilitation Act Amendments of 
1998 apply to all electronic information technology (EIT) used by a 
grantee for transmitting, receiving, using, or storing information to 
carry out the responsibilities of any federal grant awarded. It 
includes, but is not limited to, computers (hardware, software, 
wordprocessing, email and web pages) facsimile machines, copiers and 
telephones. Recipients of HUD funds when developing, procuring, 
maintaining or using EIT must ensure that the EIT allows (1) employees 
with disabilities to have access to and use information and data that 
is comparable to the access and use of data by employees who do not 
have disabilities; and (2) members of the public with disabilities 
seeking information or service from a grantee must have access to and 
use of information and data and comparable to the access and use of 
data by members of the public who do not have disabilities. If these 
standards impose on a funding recipient, they may provide an 
alternative means to allow the individual to use the information and 
data. However, no grantee will be required to provide information 
services to a person with disabilities at any location other than the 
location at which the information services is generally provided.

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

[[Page 11653]]

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 areas. (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 individual 
funding announcement will indicate if the bonus points are available 
for that funding. The application kit contains a certification which 
must be completed for the applicant to be considered for EZ/EC bonus 
points. A list of EZs, ECs, EECs and Strategic Planning Communities is 
attached to this General Section of the SuperNOFA as Appendix A-2 and 
is also available from the SuperNOFA Information Center, through the 
HUD web site at http://www.hud.gov/grants.
---------------------------------------------------------------------------

    \1\ In December 1994, 72 urban areas and 33 rural communities 
were designated 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. The Taxpayers 
Relief Act of 1997 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 through the HUD web site on the Internet at http://www.hud.gov/grants.
    (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. The majority of programs in 
this SuperNOFA use the five rating factors described below. 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 all or 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

    As discussed in the Introduction Section of this SuperNOFA, part of 
the simplification of this funding process is to reduce the duplication 
of effort that has been required of applicants in the past. Before the 
SuperNOFA process, many of HUD's applicants were required to complete 
and submit similar applications for HUD funded programs. As the Program 
Chart above shows, the FY 2001 SuperNOFA provides, as did the previous 
SuperNOFAs, for consolidated applications for several of

[[Page 11654]]

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 rating 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 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.us/research/rvur/urban/urbanforest.html.
    (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) Encouraging Universal Design. Universal design is the design of 
products and environments to be usable by all people, to the greatest 
extent possible, without the need for adaptation or specialized design. 
The intent of universal design is to simplify life for everyone by 
making products, communications and the built environment more usable 
by as many people as possible at little or no extra cost. Universal 
design benefits people of all ages and abilities. In addition to any 
applicable required accessibility features under section 504 of the 
Rehabilitation Act of 1973 or the design and construction requirements 
of the Fair Housing Act, the Department encourages applicants to 
incorporate the principles of universal design when developing housing, 
community facilities, electronic communication mechanisms, or when 
communicating with community residents at public meetings or events.
    (F) 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:80/health/
safehome.html.
    (G) Participation in PATH. If you are applying for funds that may 
be utilized for construction or rehabilitation, HUD encourages 
participation in Partnership for Advancing Technology in Housing 
(PATH). PATH's goal is to achieve dramatic improvement in the quality 
of American housing by the year 2010. PATH encourages 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

[[Page 11655]]

FY 2001 budget of $10 million. PATH will provide technical support in 
design and cost analysis of advanced technologies to be incorporated in 
project construction.
    Applicants should see www.pathnet.org 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; 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.
    (H) 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.
    (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.
    (I) Bridging the Gap Initiative. Bridging the Gap is a HUD 
initiative aimed at expanding economic and skills building 
opportunities offered through registered apprenticeship programs in HUD 
assisted construction related and maintenance activities. 
Apprenticeship programs have a long history of providing structured, 
highly competent, safe and comprehensive occupational training which 
produces highly qualified journey level workers. Through this 
initiative, HUD seeks to encourage and promote the use of 
apprenticeship programs in programs sponsored with HUD funds and to 
ensure the beneficiaries of such apprenticeship programs are HUD's 
client community of public housing and low-and moderate-income 
residents of our nation's communities.

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 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

[[Page 11656]]

4.7 provide that HUD will publish a notice in the Federal Register 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 2001 SuperNOFA Process and Future HUD Funding 
Processes

    Each year, HUD strives to improve its SuperNOFA. The FY 2001 
SuperNOFA was revised based on comments received during the FY 2000 
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 this General Section and its appendices.

    Dated: February 15, 2001.
Mel Martinez,
Secretary.

                                    Appendix A-1.--List of Hud Field Offices
----------------------------------------------------------------------------------------------------------------
            Jurisdiction                        Office                       Address and phone numbers
----------------------------------------------------------------------------------------------------------------
NEW ENGLAND........................  Boston, MA.................  HUD--Boston Office, O'Neil Federal Building,
                                                                   10 Causeway Street, Rm. 375, Boston, MA 02222-
                                                                   1092, OFC PHONE (617) 565-5236
                                     Hartford, CT...............  HUD--Hartford Office, One Corporate Center,
                                                                   Hartford, CT 06103-3220, OFC PHONE (860) 240-
                                                                   4844
                                     Manchester, NH.............  HUD--Manchester Office, Norris Cotton Federal
                                                                   Bldg., 275 Chestnut Street, Manchester, NH
                                                                   03101-2487, OFC PHONE (603) 666-7510
                                     Providence, RI.............  HUD--Providence Office, 10 Weybosset Street,
                                                                   Sixth Floor, Providence, RI 02903-2808, OFC
                                                                   PHONE (401) 528-5352
                                     Bangor, ME.................  HUD--Bangor Office, 202 Harlow Street--Chase
                                                                   Bldg., Suite 101, Bangor, ME 04401-4925, OFC
                                                                   PHONE (207) 945-0468
                                     Burlington, VT.............  HUD--Burlington Office, Room 237--Federal
                                                                   Building, 11 Elmwood Avenue, PO Box 879,
                                                                   Burlington, VT 05401-0879, OFC PHONE (802)
                                                                   951-6290
NY/NEW JERSEY......................  New York, NY...............  HUD--New York Office, 26 Federal Plaza--Suite
                                                                   3541, New York, NY 10278-0068, OFC PHONE
                                                                   (212) 264-4377
                                     Buffalo, NY................  HUD--Buffalo Office, Lafayette Court, 5th
                                                                   Floor, 465 Main Street, Buffalo, NY 14203-
                                                                   1780, OFC PHONE (716) 551-5755
                                     Camden, NJ.................  HUD--Camden Office, 2nd Floor--Hudson Bldg.,
                                                                   800 Hudson Square, Camden, NJ 08102-1156, OFC
                                                                   PHONE (856) 757-5088
                                     Newark, NJ.................  HUD--Newark Office--13th Floor, One Newark
                                                                   Center, Newark, NJ 07102-5260, OFC PHONE
                                                                   (973) 622-7619
                                     Albany, NY.................  HUD--Albany Office, 52 Corporate Circle,
                                                                   Albany, NY 12203-5121, OFC PHONE (518) 464-
                                                                   4200
MID-ATLANTIC.......................  Philadelphia, PA...........  HUD Philadelphia Office, The Wanamaker
                                                                   Building, 100 Penn Square, East,
                                                                   Philadelphia, PA 19107-3380, OFC PHONE (215)
                                                                   656-0600
                                     Baltimore, MD..............  HUD Baltimore Office, 5th Floor, 10 South
                                                                   Howard Street, Baltimore, MD 21201-2505, OFC
                                                                   PHONE (410) 962-2520
                                     Pittsburgh, PA.............  HUD Pittsburgh Office, 339 Sixth Avenue--Sixth
                                                                   Floor, Pittsburgh, PA 15222-2515, OFC PHONE
                                                                   (412) 644-5945
                                     Washington, DC.............  (Office Temporarily covered), HUD Washington,
                                                                   DC Office, Suite 300, 820 First Street, NE.,
                                                                   Washington, DC 20002-4205, OFC PHONE (202)
                                                                   275-9200
                                     Richmond, VA...............  HUD Richmond Office, 3600 West Broad Street,
                                                                   Richmond, VA 23230-4920, OFC PHONE (804) 278-
                                                                   4500
                                     Charleston, WV.............  HUD--Charleston Office, 405 Capitol Street,
                                                                   Suite 708, Charleston, WV 25301-1795, OFC
                                                                   PHONE (304) 347-7036
                                     Wilmington, DE.............  HUD--Delaware State Office, One Rodney Square,
                                                                   920 King Street, Suite 404, Wilmington, DE
                                                                   19801, OFC PHONE (302) 573-6300
SOUTHEAST/CARRIBEAN................  Atlanta, GA................  HUD--Atlanta Office, 40 Marietta Street--Five
                                                                   Points Plaza, Atlanta, GA 30303-2806, OFC
                                                                   PHONE (404) 331-4111
                                     Birmingham, AL.............  HUD--Birmingham Office, Medical Forum
                                                                   Building, 950 22nd St., North, Suite 900,
                                                                   Birmingham, AL 35203-5301, OFC PHONE (205)
                                                                   731-2630
                                     Louisville, KY.............  HUD--Louisville Office, 601 West Broadway, PO
                                                                   Box 1044, Louisville, KY 40201-1044, OFC
                                                                   PHONE (502) 582-5251

[[Page 11657]]

 
                                     Jackson, MS................  HUD--Jackson Office, McCoy Federal Building,
                                                                   100 W. Capitol Street, Room 910, Jackson, MS
                                                                   39269-1096, OFC PHONE (601) 965-4700
                                     Memphis, TN................  HUD--Memphis Office, 200 Jefferson Avenue,
                                                                   Suite 1200, Memphis, TN 38103-2335, OFC PHONE
                                                                   (901) 544-3403
                                     Nashville, TN..............  HUD--Nashville Office, 235 Cumberland Bend
                                                                   Drive, Suite 200, Nashville, TN 37228-1803,
                                                                   OFC PHONE (615) 736-5213
                                     Jacksonville, FL...........  HUD--Jacksonville Office, 301 West Bay Street,
                                                                   Suite 2200, Jacksonville, FL 32202-5121, OFC
                                                                   PHONE (904) 232-2627
                                     Miami, FL..................  HUD--Florida State Office, 909 SE First
                                                                   Avenue, Miami, FL 33131, OFC PHONE (305) 536-
                                                                   5676
                                     Greensboro, NC.............  HUD--Greensboro Office, Koger Building, 2306
                                                                   West Meadowview Road, Greensboro, NC 27407-
                                                                   3707, OFC PHONE (336) 547-4001, 4002, 4003
                                     San Juan, PR...............  HUD--Caribbean Office, 171 Carlos E. Chardon
                                                                   Avenue, San Juan, PR 00918-0903, OFC PHONE
                                                                   (787) 766-5201
                                     Columbia, SC...............  HUD--Columbia Office, 1835 Assembly Street,
                                                                   Columbia, SC 29201-2430, OFC PHONE (803) 765-
                                                                   5592
                                     Knoxville, TN..............  HUD--Knoxville Office, 710 Locust Street, SW,
                                                                   Knoxville, TN 37902-2526, OFC PHONE (423) 545-
                                                                   4384
                                     Orlando, FL................  HUD--Orlando Office, 3751 Maguire Boulevard,
                                                                   Room 270, Orlando, FL 32803-3032, OFC PHONE
                                                                   (407) 648-6441
                                     Tampa, FL..................  HUD--Tampa Office, 500, Zack St., #402, Tampa,
                                                                   FL 33602-3945, OFC PHONE (813) 228-2431
MIDWEST............................  Chicago, IL................  HUD--Chicago Office, Ralph Metcalfe Federal
                                                                   Building, 77 West Jackson Boulevard, Chicago,
                                                                   IL 60604-3507, OFC PHONE (312) 353-5680
                                     Detroit, MI................  HUD--Detroit Office, 477 Michigan Avenue,
                                                                   Detroit, MI 48226-2592, OFC PHONE (313) 226-
                                                                   7900
                                     Indianapolis, IN...........  HUD--Indianapolis Office, 151 North Delaware
                                                                   Street, Suite 1200, Indianapolis, IN 46204-
                                                                   2526, OFC PHONE (317) 226-7034
                                     Grand Rapids, MI...........  HUD--Grand Rapids Office, Trade Center
                                                                   Building, 50 Louis Street, N.W., Grand
                                                                   Rapids, MI 49503-2648, OFC PHONE (616) 456-
                                                                   2125
                                     Minneapolis, MN............  HUD--Minneapolis Office, 220 Second Street,
                                                                   South, Minneapolis, MN 55401-2195, OFC PHONE
                                                                   (612) 370-3000
                                     Cincinnati, OH.............  HUD--Cincinnati Office, 525 Vine Street, Suite
                                                                   700, Cincinnati, OH 45202-3188, OFC PHONE
                                                                   (513) 684-2967
                                     Cleveland, OH..............  HUD--Cleveland Office, 1350 Euclid Avenue,
                                                                   Suite 500, Cleveland, OH 44115-1815, OFC
                                                                   PHONE (216) 522-4058
                                     Columbus, OH...............  (Office Temporarily Covered), HUD--Columbus
                                                                   Office, 200 North High Street, Columbus, OH
                                                                   43215-2499, OFC PHONE (614) 469-2540
                                     Milwaukee, WI..............  HUD--Milwaukee Office, 310 West Wisconsin
                                                                   Avenue, Room 1380, Milwaukee, WI 53203-2289,
                                                                   OFC PHONE (414) 297-3214
                                     Flint, MI..................  HUD--Flint Office, 1101 S. Saginaw Street,
                                                                   North Building, Flint, MI 48502-1953, OFC
                                                                   PHONE (810) 766-5082
                                     Springfield, IL............  HUD--Springfield Office, 320 West Washington,
                                                                   7th Floor, Springfield, IL 62707, OFC PHONE
                                                                   (217) 492-4120
SOUTHWEST..........................  Fort Worth, TX.............  HUD--Fort Worth Office, 801 Cherry Street, PO
                                                                   Box 2905, Ft. Worth, TX 76113-2905, OFC PHONE
                                                                   (817) 978-5965
                                     Dallas, TX.................  HUD--Dallas Office, 525 Griffin Street, Room
                                                                   860, Dallas, TX 75202-5007, OFC PHONE (214)
                                                                   767-8300
                                     Albuquerque, NM............  HUD--Albuquerque Office, 625 Silver Avenue SW,
                                                                   Suite 100, Albuquerque, NM 87102-3185, OFC
                                                                   PHONE (505) 346-6463
                                     Houston, TX................  HUD--Houston Office, 2211 Norfolk, #200,
                                                                   Houston, TX 77098-4096, OFC PHONE (713) 313-
                                                                   2274
                                     Lubbock, TX................  HUD--Lubbock Office, 1205 Texas Avenue, Rm.
                                                                   511, Lubbock, TX 79401-4093, OFC PHONE (806)
                                                                   472-7265
                                     San Antonio, TX............  HUD--San Antonio Office, 800 Dolorosa, San
                                                                   Antonio, TX 78207-4563, OFC PHONE (210) 475-
                                                                   6806
                                     Little Rock, AR............  HUD--Little Rock Office, 425 West Capitol
                                                                   Avenue #900, Little Rock, AR 72201-3488, OFC
                                                                   PHONE (501) 324-5401
                                     New Orleans, LA............  HUD--New Orleans Office, Hale Boggs Bldg.--501
                                                                   Magazine Street, 9th Floor, New Orleans, LA
                                                                   70130-3099, OFC PHONE (504) 589-7201
                                     Shreveport, LA.............  HUD--Shreveport Office, 401 Edwards Street,
                                                                   Rm. 1510, Shreveport, LA 71101-3289, OFC
                                                                   PHONE (318) 676-3440
                                     Oklahoma City, OK..........  HUD--Oklahoma City Office, 500 W. Main Street,
                                                                   Suite 400, Oklahoma City, OK 73102-2233, OFC
                                                                   PHONE (405) 553-7500
                                     Tulsa, OK..................  HUD Tulsa Office, 50 East 15th Street Tulsa,
                                                                   OK 74119-4030, OFC PHONE (918) 581-7496

[[Page 11658]]

 
GREAT PLAINS.......................  Kansas City, KS............  HUD--Kansas City Office, 400 State Avenue,
                                                                   Room 200, Kansas City, KS 66101-2406, OFC
                                                                   PHONE (913) 551-5462
                                     Omaha, NE..................  HUD--Omaha Office, 10909 Mill Valley Road,
                                                                   Suite 100, Omaha, NE 68154-3955, OFC PHONE
                                                                   (402) 492-3103
                                     St. Louis, MO..............  HUD--St. Louis Office, 1222 Spruce Street
                                                                   #3207, St. Louis, MO 63103-2836, OFC PHONE
                                                                   (314) 539-6560
                                     Des Moines, IA.............  HUD--Des Moines Office, 210 Walnut Street,
                                                                   Room 239, Des Moines, IA 50309-2155, OFC
                                                                   PHONE (515) 284-4573
ROCKY MOUNTAINS....................  Denver, CO.................  HUD--Denver Office, 633 17th Street, 14th
                                                                   Floor, Denver, CO 80202-3607, OFC PHONE (303)
                                                                   672-5440
                                     Salt Lake City, UT.........  HUD--Salt Lake City Office, 257 East, 200
                                                                   South, Rm. 550, Salt Lake City, UT 84111-
                                                                   2048, OFC PHONE (801) 524-6071
                                     Helena, MT.................  HUD--Helena Office, 7 West Sixth Avenue, Power
                                                                   Block Building, Helena, MT 59601, OFC PHONE
                                                                   (406) 449-5048
                                     Sioux Falls, SD............  HUD--Sioux Falls Office, 2400 West 49th
                                                                   Street, Rm. I-201, Sioux Falls, SD 57105-
                                                                   6558, OFC PHONE (605) 330-4223
                                     Fargo, ND..................  HUD--Fargo Office, 657 2nd Avenue North, Room
                                                                   366, Fargo, ND 58108, OFC PHONE (701) 239-
                                                                   5040
                                     Casper, WY.................  HUD--Wyoming Office, 150 East B Street, Room
                                                                   1010, Casper, WY 82601-1969, OFC PHONE (307)
                                                                   261-6250
PACIFIC/HAWAII.....................  San Francisco, CA..........  HUD--San Francisco Office, 450 Golden Gate
                                                                   Avenue, Box 36003, San Francisco, CA 94102-
                                                                   3448, OFC PHONE (415) 436-6532
                                     Honolulu, HI...............  HUD--Honolulu Office, 7 Waterfront Plaza, #500
                                                                   Ala Moana Blvd. #500, Honolulu, HI 96813-
                                                                   4918, OFC PHONE (808) 522-8175
                                     Los Angeles, CA............  HUD--Los Angeles Office, 611 W. Sixth Street,
                                                                   Suite 800, Los Angeles, CA 90017, OFC PHONE
                                                                   (213) 894-8007
                                     Sacramento, CA.............  HUD--Sacramento Office, 925 L Street,
                                                                   Sacramento, CA 95814, OFC PHONE (916) 498-
                                                                   5220
                                     Reno, NV...................  HUD--Reno Office, 3702 S. Virginia Street,
                                                                   Suite G-2, Reno, NV 89502-6581, OFC PHONE
                                                                   (775) 784-5383
                                     San Diego, CA..............  HUD--San Diego Office, Symphony Towers, 750 B
                                                                   Street, Suite 1600, San Diego, CA 92101-8131,
                                                                   OFC PHONE (619) 557-5310
                                     Las Vegas, NV..............  HUD--Las Vegas Office, 333 N. Rancho Drive-
                                                                   Atrium Bldg., Suite 700, Las Vegas, NV 89106-
                                                                   3714, OFC PHONE (702) 388-6208/6500
                                     Phoenix, AZ................  HUD--Phoenix Office, 400 North Fifth Street,
                                                                   Suite 1600, Phoenix, AZ 85004-2361, OFC PHONE
                                                                   (602) 379-4434
                                     Santa Ana, CA..............  HUD--Santa Ana Office, 1600 N. Broadway, Suite
                                                                   100, Santa Ana, CA 92706-3927, OFC PHONE
                                                                   (714) 796-5577
                                     Tucson, AZ.................  HUD--Tucson Office, 33 North Stone Avenue
                                                                   #700, Tucson, AZ 85701-1467, OFC PHONE (520)
                                                                   670-6000
                                     Fresno, CA.................  HUD--Fresno Office, 2135 Fresno Street, Suite
                                                                   100, Fresno, CA 93721-1718, OFC PHONE (559)
                                                                   487-5032
NORTHWEST/ALASKA...................  Seattle, WA................  HUD--Seattle Office, 909 First Avenue, Suite
                                                                   200, Seattle, WA 98104-1000, OFC PHONE (206)
                                                                   220-5101
                                     Portland, OR...............  HUD--Portland Office, 400 SW 6th Avenue #700,
                                                                   Portland, OR 97204-1632, OFC PHONE (503) 326-
                                                                   2561
                                     Anchorage, AK..............  HUD--Anchorage Office, 949 East 36th Avenue,
                                                                   Suite 401, Anchorage, AK 99508-4399, OFC
                                                                   PHONE (907) 271-4170
                                     Boise, ID..................  HUD--Boise Office, Suite 220, Plaza IV, 800
                                                                   Park Boulevard, Boise, Idaho 83712-7743, OFC
                                                                   PHONE (208) 334-1990
                                     Spokane, WA................  HUD--Spokane Office, US Courthouse Bldg., 920
                                                                   W. Riverside, Suite 588, Spokane, WA 99201-
                                                                   1010, OFC PHONE (509) 353-0682
----------------------------------------------------------------------------------------------------------------

Appendix A-2--List of EZs, ECs, Urban Enhanced Enterprise 
Communities, Strategic Planning Communities

AK, Anchorage

Ms. Linda Yarbrough, Municipality of Anchorage, Department of 
Community Planning and Development, P.O. Box 196650, Anchorage, AK 
99501, 907-343-4303 (Phone), 907-343-4220 (Fax)
Terrence Booth, Metlakatla Indian Enterprise Community, Metlakatla, 
AK 99926, 907-886-4441 (Phone), 907-886-7997 (Fax)

AL, Anniston

David Umling, Chambers County Enterprise Community, Anniston, AL 
36202, 256-237-6741 (Phone), 256-237-6763 (Fax)

AL, Birmingham

Mr. Keith Strother, City of Birmingham, 710 N. 20th St. City Hall, 
Third Floor, Birmingham, AL 35203, 205-254-2870 (Phone), 205-254-
7741 (Fax)

AL, Epes

John Zippert, Greene and Sumter Enterprise Community, Epes, AL 
35460, 205-652-9676 (Phone), 205-652-9678 (Fax)

AR, Blytheville

Sam Scruggs, Mississippi County Enterprise Community, Blytheville, 
AR 72316, 870-532-2348 (Phone), 870-532-2625 (Fax)

AR, Forrest City

Robert Cole, Eastern Arkansas Enterprise Community, Forrest City, AR 
72335, 870-630-2005 (Phone), 870-630-2035 (Fax)

AR, Little Rock

Mr. Henry L. McHenry, County of Pulaski, Enterprise Community 
Alliance, Inc., 3805 W. 12th St. Suite 205, Little Rock, AR

[[Page 11659]]

72204, 501-379-1543 (Phone), 501-379-1571 (Fax)

AZ, Douglas

Art Macias, Jr., Arizona Border Region Enterprise Community, 
Douglas, AZ 85607, 520-364-7501 (Phone), 520-364-7507 (Fax)

AZ, Nogales

Laura Ornelas, Arizona Border Region Enterprise Community, Nogales, 
AZ 85621, 520-287-6571 (Phone), 520-287-9159 (Fax)

AZ, Phoenix

Steve Capobres, Arizona Border Region Enterprise Community, Phoenix, 
AZ 85012-1920, 602-280-1365 (Phone), 602-280-1470 (Fax)
Ms. Jennifer Harper, City of Phoenix, Department of Neighborhood 
Services, 200 W. Washington St. Fourth Floor, Phoenix, AZ 85003-
1611, 602-262-4730 (Phone), 602-534-1555 (Fax)

AZ, San Luis

Frank Carrillo, Arizona Border Region Enterprise Community, San 
Luis, AZ 85349, 520-627-2027 (Phone), 520-627-3879 (Fax)

AZ, Window Rock

Anthony Perry, Four Corners Enterprise Communities (Navajo Nation, 
Window Rock, AZ 86515, 520 871-6504 (Phone), 520-871-7381 (Fax)

CA, El Centro

Ken Hollis, Imperial County Enterprise Community, El Centro, CA 
92243, 760-337-7814 (Phone), 760-337-8907 (Fax)

CA, Fresno

Becki Mendibles Central California Enterprise Community, Fresno, CA 
93727, 559-452-0881 (Phone), 559-452-8038 (Fax)

CA, Indio

John Thurman, Desert Communities Empowerment Zone, Indio, CA 92201, 
760-863-8225 (Phone), 760-863-7049 (Fax)

CA, Los Angeles

Ms. Alicia DeCastro, City of Los Angeles, Department of Community 
Development, 215 W. Sixth St., Third Floor, Los Angeles, CA 90014, 
213-485-1023 (Phone), 213-847-0890 (Fax)
Mr. Robert Perez, City of Los Angeles, Department of Community 
Development, 215 W. Sixth St., Third Floor, Los Angeles, CA 90014, 
213-485-8161 (Phone), 213-847-0890 (Fax)

CA, Oakland

Mr. Mahlon Harmon, One Stop Capital Shop, 519 17th St. Sixth Floor, 
Oakland, CA 94612-2032, 510-238-2353 (Phone), 510-238-7999 (Fax)

CA, San Diego,

Ms. Bonnie Contreras, City of San Diego, Division of Economic 
Development, 1200 Third Ave. Suite 1300, San Diego, CA 92101-3863, 
619-236-6846 (Phone), 619-533-6515 (Fax)

CA, San Francisco

Ms. Anna Yee, City of San Francisco, Enterprise Community Program, 
25 Van Ness Ave. Suite 700, San Francisco, CA 94102, 415-252-3130 
(Phone), 415-252-3110 (Fax)

CA, Santa Ana

Ms. Shawna Lahey, City of Santa Ana, Community Development Agency, 
P.O. Box 1988, Santa Ana, CA 92702, 714-647-5372 (Phone), 714-647-
6580 (Fax)

CA, Watsonville

Anna Espinoza, Watsonville/City of Santa Cruz Enterprise Community, 
Watsonville, CA 95076, 831-763-4033 (Phone), 831-761-0736 (Fax)

CO, Denver

Mr. Ernest Hughes, City and County of Denver, Community Planning and 
Development Agency, 216 16th St. Suite 1400, Denver, CO 80202, 720-
913-1547 (Phone), 720-913-1800 (Fax)

CT, Bridgeport

Ms. Janice B. Willis, City of Bridgeport, Office of Central Grants, 
999 Broad St. City Hall Annex Chase Bldg., Bridgeport, CT 06604, 
203-332-5662 (Phone), 203-332-3060 (Fax)

CT, New Haven

Ms. Diana E. Edmonds, City of New Haven, Office of Business 
Development, 200 Orange St. Fifth Floor, New Haven, CT 06510, 203-
946-7727 (Phone), 203-946-8049 (Fax)
Ms. Sherri Killins, Empower New Haven, Inc., 59 Elm St. Fourth 
Floor, Suite 410, New Haven, CT 06510, 203-776-2777 (Phone), 203-
776-0537 (Fax)

DC, Washington

Ms. Judy Brown, Enterprise Community Programs, Office of Economic 
Development EZ/EC Urban Task Force, 801 N. Capitol St., Sixth Floor, 
Washington, DC 20002, 202-442-7205 (Phone), 202-442-7090 (Fax)

DE, Wilmington

Ms. Edwina Bell-Mitchell, Wilmington Enterprise Community/New Castle 
County, 800 French St. Louis L. Redding Bldg., Ninth Floor, 
Wilmington, DE 19801, 302-571-4472 (Phone), 302-571-4326 (Fax)

FL, Marianna

Bill Stanton, Jackson County Enterprise Community, Marianna, FL 
32447, 850-526-4005 (Phone), 850-526-4008 (Fax)
Stan Whitehurst, Jackson County Enterprise Community, Marianna, FL 
32447, 850-526-7669 (Phone), 850-526-4008 (Fax)

FL, Miami

Mr. Bryan K. Finnie, Miami-Dade Empowerment Trust, Inc., 140 W. 
Flagler St., Suite 1107, Miami, FL 33130, 305-372-7620 (Phone), 305-
372-7629 (Fax)

FL, Naples

Barbara Cacchione, Empowerment Alliance of Southwest Florida EC, 
Naples, FL 34103, 941-649-5000 (Phone), 941-649-5337 (Fax)

FL, Tampa

Ms. Jeanette LaRussa-Fenton, City of Tampa, Department of Business 
and Community Services, 2105 N. Nebraska Ave. Ybor Service Center, 
Tampa, FL 33602-2529, 813-274-7966 (Phone), 813-274-7927 (Fax)

GA, Albany

Ms. Julie Duke, City of Albany, Office of the City Manager, P.O. Box 
447, Albany, GA 31702, 229-431-3234 (Phone), 229-431-3223 (Fax)

GA, Atlanta

Ms. Charisse Richardson, Atlanta Empowerment Zone Corp., 675 Ponce 
De Leon Ave., N.E. City Hall East, Second Floor, Atlanta, GA 30308, 
404-853-7610 (Phone), 404-853-7315 (Fax)

GA, Augusta

Hilda Alexander, CSRA Enterprise Community, Augusta, GA 30904, 706-
667-4179 (Phone), 706-737-1459 (Fax)

GA, Cordele

Robert Cooke, Southwest Georgia United Empowerment Zone, Cordele, GA 
31010, 912-273-9111 (Phone), 912-276-0450 (Fax)
Bambi Hayes, Southwest Georgia United Empowerment Zone, Cordele, GA 
31010, 912-273-9111 (Phone), 912-276-0450 (Fax)

HI, Kaunakakai

Stacy Crivello, Molokai Enterprise Community, Kaunakakai, HI 96748, 
808-553-5123 (Phone), 808-553-3735 (Fax)
Karen M. Holt, Molokai Enterprise Community, Kaunakakai, HI 96748, 
808-553-3244 (Phone), 808-553-3370 (Fax)

IA, Des Moines

Ms. Caroline Gathright, City of Des Moines, Division of Neighborhood 
Planning, 602 E. First St., Des Moines, IA 50309, 515-283-4151 
(Phone), 515-237-1713 (Fax)

IL, Chicago

Mr. Wallace Goode, City of Chicago, 20 N. Clark St., 28th Floor, 
Chicago, IL 60602-5086, 312-744-9623 (Phone), 312-744-9696 (Fax)

IL, E. St. Louis

Mr. Ralph Muhammed, East St. Louis Enterprise Community, 301 River 
Park Dr., Third Floor, E. St. Louis, IL 62201, 618-482-6642 (Phone), 
618-482-6788 (Fax)

IL, Springfield

Ms. Cleatia Bowen, City of Springfield, Office of Economic 
Development, 231 S. Sixth St., Springfield, IL 62701, 217-789-2377 
(Phone), 217-789-2380 (Fax)

IL, Ullin

Donna Raynalds, Southernmost Illinois Delta Empowerment Zone, Ullin, 
IL 62992, 618-634-9471 (Phone), 618-634-9452 (Fax)

[[Page 11660]]

IN, Austin

Donald Campbell, Town of Austin Enterprise Community, Austin, IN 
47102, 812-794-2877 (Phone), 812-794-2859 (Fax)
Charlotte Mathis, Town of Austin Enterprise Community, Austin, IN 
47102, 812-794-9446 (Phone), 812-794-8765 (Fax)

IN, East Chicago

Mr. John D. Artis, City of East Chicago, Department of Redevelopment 
and Housing Authority, P.O. Box 498, East Chicago, IN 46312-0498, 
219-397-9974 (Phone), 219-397-4249 (Fax)

IN, Gary

Ms. Venus Cobb, City of Gary, Empowerment Zone Office, 840 Broadway 
First Floor, Gary, IN 46404, 219-886-9047 (Phone), 219-886-9051 
(Fax)

IN, Hammond

Ms. Rocharda Moore-Harris, City of Hammond, Department of Planning, 
649 Conkey St., Hammond, IN 46324, 219-853-6371 (Phone), 219-853-
6334 (Fax)

IN, Indianapolis

Ms. Renia Colbert, City of Indianapolis, Division of Community 
Development and Financial Services, 200 E. Washington St., City 
County Bldg., Suite 1841, Indianapolis, IN 46204, 317-327-5869 
(Phone), 317-327-5908 (Fax)

KS, Leoti

Sharla Krenzel, Wichita County Enterprise Community, Leoti, KS 
67861, 316-375-2182 (Phone), 316-375-4350 (Fax)
Elmer Ridder, Wichita County Enterprise Community, Leoti, KS 67861, 
316-375-2731 (Phone), 316-375-4350 (Fax)

KY, Bowling Green

Lisa Ryan, City of Bowling Green Enterprise Community, Bowling 
Green, KY 42102-0430, 270-393-3658 (Phone), 502-393-3698 (Fax)

KY, London

Jerry Rickett, Kentucky Highlands Empowerment Zone, London, KY 
40743, 606-864-5175 (Phone), 606-864-5194 (Fax)

KY, Louisville

Mr. Walter Munday, City of Louisville, Empowerment Zone Community, 
200 S. Seventh St., Louisville, KY 40202, 502-574-2682 (Phone), 502-
574-4227 (Fax)

KY, Whitley City

Bruce Murphy, McCreary County Enterprise Community, Whitley City, KY 
42653, 606-376-2413 (Phone), 606-376-9499 (Fax)

LA, Ferriday

Chip Rogers, Macon Ridge Enterprise Community, Ferriday, LA 71334, 
318-757-3033 (Phone), 318-757-4212 (Fax)

LA, Monroe

Mr. Eric Loewe, Ouachita Enterprise Community, P.O. Box 4268, 
Monroe, LA 71211, 318-329-4031 (Phone), 318-329-4034 (Fax)

LA, New Orleans

Ms. Thelma H. French, City of New Orleans, Office of Federal and 
State Programs, 1300 Perdido St., Room 2E04, New Orleans, LA 70112, 
504-565-6445 (Phone), 504-565-6423 (Fax)

LA, Tallulah

Moses Jr. Williams, Northeast Louisiana Delta Enterprise Community, 
Tallulah, LA 71282, 318-574-0995 (Phone), 318-574-3132 (Fax)

MA, Lowell

Ms. Kathy Muldoon, City of Lowell, Department of Planning and 
Development, 50 Arcand Dr., City Hall, JFK Civic Center Bldg., 
Lowell, MA 01852, 978-446-7150 (Phone), 978-446-7014 (Fax)

MA, Roxbury

Mr. Reginald Nunnally, Boston Empowerment Zone, Boston Business 
Assistance Center, 20 Hampdon St., Roxbury, MA 02119, 617-445-3413 
(Phone), 617-445-5675 (Fax)

MA, Springfield

Mr. Miguel Rivas, City of Springfield, Department of Community 
Development, 36 Court St., City Hall, Room 313, Springfield, MA 
01103, 413-750-2240 (Phone), 413-787-6027 (Fax)

MD, Baltimore

Ms. Diane Bell, Empower Baltimore Management Corp., 34 Market Place, 
Suite 800, Baltimore, MD 21202, 410-783-4400 (Phone), 410-783-0526 
(Fax)

ME, Lewiston

Carole J. Ansheles, City of Lewiston Enterprise Community, Lewiston, 
ME 04240-7282, 207-777-5144 (Phone), 207-786-4412 (Fax)

MI, Detroit

Ms. Denise Gray, Detroit Empowerment Zone Development Corp., One 
Ford Place, Suite 1F, Detroit, MI 48202, 313-872-8050 (Phone), 313-
872-8002 (Fax)

MI, Flint

Ms. Nancy Jurkiewicz, City of Flint, Flint Area Enterprise 
Community, 805 Welch Blvd., Flint, MI 48504, 810-341-1499 (Phone), 
810-766-7351 (Fax)

MI, Harrison

Edward Kerr, Clare County Enterprise Community, Harrison, MI 48625-
0439, 517-539-7805 (Phone), 517-539-2791 (Fax)

MI, Muskegon

Ms. Cathy Brubaker-Clarke, City of Muskegon, Department of Community 
and Economic Development, P.O. Box 536, Muskegon, MI 49443-0536, 
231-724-6702 (Phone), 231-724-6790 (Fax)

MI, Scottville

Mary L. Trucks, Lake County Enterprise Community, Scottville, MI 
49454, 616-757-3785 (Phone), 616-757-9669 (Fax)

MN, Minneapolis

Ms. Kim W. Havey, Minneapolis Empowerment Zone, 350 S. Fifth St., 
City Hall, Room 200, Minneapolis, MN 55415, 612-673-5415 (Phone), 
612-673-3724 (Fax)

MN, St. Paul

Mr. Jeremy Lenz, City of St. Paul, Department of Planning and 
Economic Development, 25 W. Fourth St., 1200 City Hall Annex, St. 
Paul, MN 55102, 651-266-6603 (Phone), 651-228-3341 (Fax)

MO, East Prairie

Martha Ellen Black, City of East Prairie Enterprise Community, East 
Prairie, MO 63845, 573-649-3731 (Phone), 573-649-5028 (Fax)

MO, Kansas City

Ms. Marlene Nagel, Mid-American Regional Council (MARC), 600 
Broadway 300 Rivergate Center, Kansas City, MO 64105-1554, 816-474-
4240 (Phone), 816-421-7758 (Fax)

MO, St. Louis

Ms. A. Danine Lard, Greater St., Louis Regional Empowerment Zone 
Management, 1015 Locust St., Suite 1030, St. Louis, MO 63101, 314-
622-3400 (Phone), 314-436-7983 (Fax)

MS, Itta Bena

Arthur Peyton, Mid-Delta Empowerment Zone, Itta Bena, MS 38941, 662-
254-9957 (Phone), 662-254-9941 (Fax)

MS, Jackson

Mr. Roosevelt T. Sanders, Jackson Urban Enterprise Community 
Council, Inc., P.O. Box 10353, Jackson, MS 39289, 601-949-7879 
(Phone), 601-981-2407 (Fax)

MS, Sardis

Stuart Guernsey, North Delta Enterprise Community, Sardis, MS 38666, 
662-487-1968 (Phone), 662-487-0088 (Fax)

MT, Poplar

Mark Sansaver, Fort Peck Assiniboine and Sioux Tribe EC, Poplar, MT 
59255, 406-768-3155 (Phone), 406-768-3581 (Fax)

NC, Charlotte

Mr. Franklin McCrary, Jr., City of Charlotte, Department of 
Neighborhood Development, 600 E. Trade St., Charlotte, NC 28202, 
704-336-5577 (Phone), 704-336-2527 (Fax)

NC, Lumberton

Cynthia Johnson, Robeson County Enterprise Community, Lumberton, NC 
28358, 910-618-0722 (Phone), 910-618-1504 (Fax)

NC, Rocky Mount

Terri Anderson, Halifax/Edgecombe/Wilson Enterprise Community, Rocky 
Mount, NC 27802, 252-972-1609 (Phone), 252-972-1590 (Fax)

ND, Cando

Joanne Rodenbiker, Center of North America REAP Zone, Cando, ND 
58324, 701-968-3314 (Phone), 701-968-1747 (Fax)

[[Page 11661]]

ND, Dickenson

Shirley Brentrup, Southwest REAP Zone, Dickenson, ND 58601, 701-227-
1241 (Phone),

ND, Finley

Kim Sheffield, Griggs-Steele Empowerment Zone, Finley, ND 58230, 
701-524-2240 (Phone), 701-524-2241 (Fax)

NE, Omaha

Mr. Herb Patten, City of Omaha, Omaha Enterprise Community/
Enterprise Zone, 2421 N. 24th St., Blue Lion Centre, Omaha, NE 
68110-2282, 402-444-3514 (Phone), 402-444-3755 (Fax)

NH, Manchester

Mr. William J. Jabjiniak, City of Manchester, Department of Planning 
and Community Development, One City Hall Plaza, Manchester, NH 
03101, 603-624-6505 (Phone), (603-624-6529 (Fax)

NJ, Bridgeton

Mr. Gerard Velasquez, Cumberland Empowerment Zone Corp., 50 E. Broad 
St., Bridgeton, NJ 08302, 856-459-1700 (Phone), 856-459-4099 (Fax)

NJ, Camden

Mr. Richard H. Cumming, Jr., Camden Empowerment Zone Corp., 817 
Carpenter St., Hudson Square Complex, Camden, NJ 08102, 856-365-0300 
(Phone), 856-365-1058 (Fax)

NJ, Newark

Ms. Angela Corbo, City of Newark, Department of Administration, 920 
Broad St., City Hall, Room B-16, Newark, NJ 07102, 973-733-4331 
(Phone), 973-733-3769 (Fax)

NM, Albuquerque

Ms. Sylvia Fettes, City of Albuquerque, Department of Family and 
Community Services, P.O. Box 1293, Albuquerque, NM 87103, 505-768-
2932 (Phone), 505-768-3204 (Fax)

NM, Deming

Richard McInturff, City of Deming Enterprise Community, Deming, NM 
88031, 505-546-8848 (Phone), 505-546-6442 (Fax)
John Strand, City of Deming Enterprise Community, Deming, NM 88031, 
505-546-8848 (Phone), 505-546-6442 (Fax)

NM, Penasco

Ron Martinez, La Jicarita Enterprise Community, Penasco, NM 87553, 
800-458-7323 (Phone), 505-587-1687 (Fax)

NV, Las Vegas

Mr. Douglas Bell, County of Clark, Department of Community Resources 
Management, P.O. Box 551212, Las Vegas, NV 89106-1212, 702-455-5025 
(Phone), 702-455-5038 (Fax)

NY, Bronx

Ms. Maria Canales, Bronx Overall Economic Development Corp., 198 E. 
161st St., Suite 201, Bronx, NY 10451, 718-590-6201 (Phone), 718-
590-3499 (Fax)

NY, Buffalo

Ms. Paula Alcala Rosner, City of Buffalo, Federal Enterprise 
Community of Buffalo, Inc., 911 City Hall, Buffalo, NY 14202, 716-
851-5032 (Phone), 716-851-4388 (Fax)

NY, Ferndale

Rick Bishop, Sullivan-Wawarsing REAP Zone, Ferndale, NY 12734, 845-
295-2632 (Phone), 845-295-2633 (Fax)

NY, New York

Mr. Fernando Fernandez, Upper Manhattan Empowerment Zone Development 
Corp., Department of Community Affairs, 290 Lenox Ave. Third Floor, 
New York, NY 10027, 212-410-0030 (Phone), 212-410-9616 (Fax)
Mr. George Glatter, City of New York, Department of Business 
Services, 110 William St., Third Floor, New York, NY 10038, 212-513-
6442 (Phone), 212-618-8987 (Fax)
Mr. James Ilako, New York EZ Corp., 633 Third Ave. 32nd Floor, New 
York, NY 10017, 212-803-3235 (Phone), 212-803-3294 (Fax)
Mr. Marion Phillips, III, New York Empowerment Zone Corp., 633 Third 
Ave. 32nd Floor, New York, NY 10017, 212-803-3240 (Phone), 212-803-
3294 (Fax)
Ms. June Van Brackle, City of New York, Mayor's Office of the New 
York City EZ, 100 Gold St., Second Floor, New York, NY 10038, 212-
788-6777 (Phone), 212-788-2718 (Fax)

NY, Newburgh

Ms. Sharon Hyder, Kingston-Newburgh Enterprise Corp., 62 Grand St., 
Suite 211, Newburgh, NY 12550, 914-569-1680 (Phone), 914-569-1630 
(Fax)

NY, Owego

Michael Morse, Tioga County REAP Zone, Owego, NY 13827, 607-687-8254 
(Phone), 607-687-1435 (Fax)

NY, Rochester

Mr. Philip Banks, City of Rochester, Department of Economic 
Development, 30 Church St., Room 005A, Rochester, NY 14614, 716-428-
6965 (Phone), 716-428-6042 (Fax)

NY, Schenectady

Mr. Anthony Tozzi, City of Schenectady, Department of Development, 
Jay St., Schenectady, NY 12305, 518-382-5054 (Phone), 518-382-5275 
(Fax)

OH, Akron

Mr. Jerry Egan, City of Akron, Department of Planning and Urban 
Development, 166 S. High St., Akron, OH 44308-1628, 330-375-2090 
(Phone), 330-375-2387 (Fax)

OH, Cincinnati

Ms. Susan Paddock, City of Cincinnati, 801 Plum St., City Hall, Room 
104, Cincinnati, OH 45202, 513-352-4648 (Phone), 513-352-2458 (Fax)

OH, Cleveland

Ms. Valarie McCall, Cleveland Empowerment Zone, 601 Lakeside Ave. 
City Hall, Room 335, Cleveland, OH 44114, 216-664-2804 (Phone), 216-
420-8522 (Fax)

OH, Columbus

Mr. Jon C. Beard, Columbus Compact Corp., 1000 E. Main St., 
Columbus, OH 43205, 614-251-0926 (Phone), 614-251-2243 (Fax)

OH, Portsmouth

Bob Walton, Greater Portsmouth Enterprise Community, Portsmouth, OH 
45662, 740-354-7541 (Phone), 740-354-3933 (Fax)

OK, Ada

Chris Fields, Tri-County Indian Nations Enterprise Community, Ada, 
OK 74820, 580-310-2264 (Phone), 580-436-0236 (Fax)

OK, Hugo

Bob Yandell, Southeast Oklahoma EC, Hugo, OK 74743, 580-326-3351 
(Phone), 580-326-2305 (Fax)

OK, Oklahoma City

Mr. Carl D. Friend, City of Oklahoma City, Division of Community 
Development, 420 W. Main St., Suite 920, Oklahoma City, OK 73102, 
405-297-2574 (Phone), 405-297-3796 (Fax)

OR, Cave Junction

Tena Marrington, Illinois Valley Community Response Team, Cave 
Junction, OR 97523, 541-592-2838 (Phone), 541-592-4106 (Fax)

OR, Portland

Ms. Regena S. Warren, County of Multnomah, 421 S.W. Sixth Ave. Suite 
200, Portland, OR 97204, 503-988-3020 (Phone), 503-988-3710 (Fax)

OR, Wolf Creek

Louise Dix, Josephine County Enterprise Community, Wolf Creek, OR 
97497, 541-866-2600 (Phone), 541-866-2449 (Fax)

PA, Harrisburg

Ms. Terri Martini, City of Harrisburg, Department of Building and 
Housing Development, Ten N. Second St., MLK City Government Center, 
Suite 206, Harrisburg, PA 17101-1681, 717-255-6408 (Phone), 717-255-
6421 (Fax)

PA, Lock Haven

Maria Boileau, City of Lock Haven Enterprise Community, Lock Haven, 
PA 17745, 570-893-5907 (Phone), 570-893-5905 (Fax)

PA, Philadelphia

Ms. Eva Gladstein, City of Philadelphia, 1515 Arch St., I Pkwy. 
Ninth Floor, Philadelphia, PA 19103, 215-683-0462 (Phone), 215-683-
0493 (Fax)

PA, Pittsburgh

Ms. Joan Blaustein, City of Pittsburgh, Department of Planning, 200 
Ross St., Fourth Floor, Pittsburgh, PA 15219, 412-255-2206 (Phone), 
412-255-2838 (Fax)

PA, Uniontown

Joanne Hunt, Fayette Enterprise Community, Uniontown, PA 15401, 724-
437-7913 (Phone), 724-437-7315 (Fax)

[[Page 11662]]

RI, Providence

Ms. Kim Santos Rose, The Providence Plan, 56 Pine St., Suite 3B, 
Providence, RI 02903, 401-455-8880 (Phone), 401-331-6840 (Fax)

SC, Allendale

Manuel, Tammy ``Lynn'' Futch, Allendale County ALIVE Enterprise 
Community, Allendale, SC 29810, 803-584-3600 (Phone), 803-584-0700 
(Fax)
Henry Lefite, Allendale County ALIVE Enterprise Community, 
Allendale, SC 29810, 803-584-7117 (Phone), 803-584-0700 (Fax)

SC, Charleston

Ms. Geona Shaw Johnson, City of Charleston, Department of Housing 
and Community Development, 75 Calhoun St., Third Floor, Charleston, 
SC 29401, 843-973-7285 (Phone), 843-720-3836 (Fax)

SC, Columbia

Mr. Milton Smalls, Sumter/Columbia Empowerment Zone, Department of 
Community Service, 1225 Laurel St., Columbia, SC 29201, 803-733-8314 
(Phone), 803-733-8312 (Fax)

SC, Kingstree

John H. Whittleton, Williamsburg/Lake City Enterprise Community, 
Kingstree, SC 29558, 843-354-9070 (Phone), 843-354-3252 (Fax)

SC, Sumter

Mr. Talmadge Tobias, City of Sumter, P.O. Box 1449, Sumter, SC 
29151-1449, 803-436-2577 (Phone), 803-436-2615 (Fax)

SD, Kyle

Head Herb Wounded, Oglala Sioux-Pine Ridge Empowerment Zone, Kyle, 
SD 57752, 605-455-1570 (Phone), 605-455-1571 (Fax)

SD, Yale

Lori Hintz, Beadle & Spink Enterprise Community, Yale, SD 57752, 
605-599-2991 (Phone), 605-599-2992 (Fax)

TN, Huntsville

Leslie Winningham, Scott-McCreary Enterprise Community, Huntsville, 
TN 37756, 423-663-3280 (Phone), 423-663-3290 (Fax)

TN, Knoxville

Ms. Jeanette Kelleher, City of Knoxville, Department of Community 
Development, P.O. Box 1631, Knoxville, TN 37901, 865-215-2116 
(Phone), 865-215-2962 (Fax)
Ms. Sherry Kelley Marshall, Partnership for Neighborhood 
Improvement, P.O. Box 2464, Knoxville, TN 37901, 865-251-5300 
(Phone), 865-522-5085 (Fax)

TN, Memphis

Mr. Joseph C. Gibbs, City of Memphis, Business Development Center, 
555 Beale St., Memphis, TN 38103-3297, 901-526-9300 (Phone), 901-
525-2357 (Fax)
John Sicola, Fayette/Haywood Enterprise Community, Memphis, TN 
38103, 901-545-4610 (Phone), 901-545-3519 (Fax)

TN, Nashville

Mr. Paul Johnson, Metropolitan Development and Housing Agency, 
Department of Community Development, 701 S. Sixth St., Nashville, TN 
37206, 616-252-8543 (Phone), 615-252-8559 (Fax)

TN, Rutledge

Marvin Hammond, Clinch-Powell Enterprise Community, Rutledge, TN 
37861, 865-828-5927 (Phone), 865-828-5212 (Fax)
Lindy Turner, Clinch-Powell Enterprise Community, Rutledge, TN 
37861, 865-828-5927 (Phone), 865-828-5212 (Fax)

TX, Dallas

Mr. Mark G. Obeso, City of Dallas, Department of Housing, 1500 
Marilla St., Suite 6D N., Dallas, TX 75201, 214-670-3601 (Phone), 
214-670-0156 (Fax)

TX, El Paso

Ms. Cecilia Vazquez, El Paso Empowerment Zone, 201 S. Main St., 
Suite 1603, El Paso, TX 79901, 915-351-1680 (Phone), 915-351-1679 
(Fax)

TX, Houston

Ms. Judith Garrett Butler, City of Houston, Office of the Mayor, 
P.O. Box 1562, Houston, TX 77252-1562, 713-247-2666 (Phone), 713-
247-3985 (Fax)

TX, Mercedes

Yvonne ``Bonnie'' Gonzalez, Rio Grande Valley Empowerment Zone, 
Mercedes, TX 78570, 956-514-4000 (Phone), 956-514-4007 (Fax)

TX, San Antonio

Mr. Curley Spears, City of San Antonio, Department of Housing and 
Community Development, 419 S. Main St., Suite 200, San Antonio, TX 
78204, 210-207-6605 (Phone), 210-886-0006 (Fax)

TX, Uvalde

Tammye Carpinteyro, Futuro Enterprise Community, Uvalde, TX 78801, 
830-278-6817 (Phone), 830-278-6905 (Fax)

TX, Waco

Mr. George Johnson, Jr., City of Waco, 300 Austin Ave., Waco, TX 
76701-2570, 254-750-5640 (Phone), 254-750-5880 (Fax)

UT, Blanding

Larry Rogers, Four Corners Enterprise Community, Blanding, UT 84511, 
435-678-1468 (Phone), 435-678-1464 (Fax)

UT, Ogden

Ms. Karen Thurber, City of Ogden, Department of Neighborhood 
Development, 2484 Washington Blvd. Suite 211, Ogden, UT 84401, 801-
629-8943 (Phone), 801-629-8902 (Fax)

VA, Nassawadox

Arthur Carter, Accomack/Northampton Enterprise Community, 
Nassawadox, VA 23413, 757-442-4509 (Phone), 757-442-7530 (Fax)

VA, Norfolk

Mr. Landis Faulcon, Norfolk Works, Inc., Empowerment 2010, 201 
Granby St., Suite 100A, Norfolk, VA 23510, 757-624-8650 (Phone), 
757-622-4623 (Fax)

VT, Burlington

Ms. Margaret Bozik, City of Burlington, Office of Community and 
Economic Development, 149 Church St., City Hall, Room 32, 
Burlington, VT 05401, 802-865-7171 (Phone), 802-865-7024 (Fax)

WA, Colville

Martin E. Wold, Five Star Enterprise Community, Colville, WA 99114, 
509-684-4571 (Phone), 509-684-4788 (Fax)

WA, Seattle

Mr. Ben Wolters, City of Seattle, Office of Economic Development, 
600 Fourth Ave., Seattle Municipal Bldg., Room 205, Seattle, WA 
98104-1826, 206-684-8591 (Phone), 206-684-0379 (Fax)

WA, Sunnyside

Mike Gregory, Lower Yakima County Enterprise Community, Sunnyside, 
WA 98944, 509-839-6847 (Phone), 509-839-7462 (Fax)

WA, Tacoma

Dr. Shirl E. Gilbert, III, Tacoma Urban League, 2550 S. Yakima Ave., 
Tacoma, WA 98405, 253-383-2007 (Phone), 253-383-4818 (Fax)
Ms. Cynthia Spry, Tacoma/Pierce County Chamber of Commerce, P.O. Box 
1933, Tacoma, WA 98401-1933, 253-627-2175 (Phone), 253-597-7305 
(Fax)

WI, Lac du Flambeau

Karlene Zajicek, Northwoods NiiJii Enterprise Community, Lac du 
Flambeau, WI 54135, 715-588-3303 (Phone), 715-588-9408 (Fax)

WI, Milwaukee

Mr. Glen Mattison, City of Milwaukee, Community Block Grant 
Administration, 200 E. Wells St., City Hall, Room 606, Milwaukee, WI 
53202, 414-286-3760 (Phone), 414-286-5003 (Fax)

WV, Charleston

Ben Newhouse, Upper Kanawha Valley Enterprise Community, Charleston, 
WV 25301, 304-340-7060 (Phone), 304-343-3774 (Fax)

WV, Clay

Jerry Sizemore, Central Appalachia Enterprise Community, Clay, WV 
25043, 304-587-2034 (Phone), 304-587-2027 (Fax)

WV, Huntington

Ms. Cathy Burns, Huntington WV/Ironton OH Empowerment Zone Inc., 
P.O. Box 1659, Huntington, WV 25717, 304-696-5533 (Phone), 304-696-
4465 (Fax)

WV, Wilcoe

Dr. Clif Moore, McDowell County Enterprise Community, Wilcoe, WV 
24895, 304-448-2118 (Phone), 304-448-3287 (Fax)

[[Page 11663]]

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.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11697]]



FUNDING AVAILABILITY FOR COMMUNITY DEVELOPMENT TECHNICAL ASSISTANCE 
(CD-TA) PROGRAMS--CHDO, HOME, McKINNEY-VENTO 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 and to 
effectively use HOME program funds and other sources of funding to 
produce affordable housing; 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-Vento Act Homeless Assistance Programs Technical 
Assistance. To provide applicants, potential applicants, grantees, and 
project sponsors for McKinney-Vento 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 $21.18 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-Vento 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 22, 2001.
    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 22, 2001, 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/grants.
    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/grants

II. Amount Allocated

    (A) The amounts allocated for each CD-TA program are as follows:
CHDO TA funds:
    up to $7,600,000 Total
    $3,200,000 Single State
    $4,400,000 Multi-State
HOME TA funds:
    up to $8,000,000
McKinney-Vento Act Homeless Assistance Programs TA funds:
    up to $3,000,000
HOPWA TA funds:
    up to $2,580,000
    (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

[[Page 11698]]

HOME and McKinney-Vento 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 
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-Vento 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 $3.2 million will be awarded to 
new providers in HOME; $3 million in CHDO; and $1.2 million in 
McKinney-Vento 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 $21.18 million in technical 
assistance (TA) funds is available from four separate technical 
assistance programs: Community Housing Development Organization (CHDO) 
TA, HOME TA, McKinney-Vento 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

[[Page 11699]]

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 Section II(B) of the General Section of the SuperNOFA.
    (2) McKinney-Vento 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-Vento 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,

[[Page 11700]]

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.
    (3) McKinney-Vento Act Homeless Assistance Programs Technical 
Assistance. Funds are available to provide technical assistance to 
McKinney-Vento 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-Vento 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 goal 
for all 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.
    As a part of providing for the sound management of HOPWA programs 
and projects, HOPWA TA providers should demonstrate an outreach and 
assistance program to identified 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, youth, post-incarcerated populations and persons 
living in rural areas. 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, youth, post-
incarcerated populations, or other underserved groups as determined by 
your service 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 under 
Rating Factor 2, (1). 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.
    In an effort to meet this continuing need, the highest rated 
applicants will demonstrate an outreach and assistance program to an 
identified underserved population as detailed under Rating Factor 3, 
Soundness of Approach (2) and will support the National HOPWA Goal of 
Sound Management. Such assistance could include, linking HOPWA grantees 
and project sponsors to other community based organizations serving an 
underserved population but may have no or limited experience with 
providing housing services. Additionally, HOPWA TA providers could 
provide assistance to collaborations targeting as underserved 
population funded under the HOPWA competitive program.
    (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.

[[Page 11701]]

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-Vento 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-Vento 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 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

[[Page 11702]]

    (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 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

[[Page 11703]]

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-Vento 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-Vento 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-Vento 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. 
Additionally, HUD may also modify the service area of a selected 
application, if practicable.
    (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 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.

[[Page 11704]]

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 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), and (G) do not apply to HOPWA TA 
applicants). The standard forms can be found in Appendix B to the 
General 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. Additionally, HOPWA TA applicants are requested to 
submit a two-page executive summary outlining the key elements of the 
proposed TA activities.
    (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

[[Page 11705]]

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 the CD-
TA application kit 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-Vento 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 2001 HUD Appropriations Act.
    HOPWA Technical Assistance. The HOPWA Technical Assistance program 
is authorized under the FY 2001 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.

              Appendix A to CD-TA Program: ``Fair-Share'' Amounts Allocated to Each HUD CPD Office
----------------------------------------------------------------------------------------------------------------
                                                                                         McKinney-
                                                   CHDO TA                               vento act
              HUD CPD field office                  single      CHDO TA      HOME TA      homeless     HOPWA TA
                                                    state     multi-state                assistance
                                                                                             TA
----------------------------------------------------------------------------------------------------------------
Alabama State Office...........................      $48,000      $42,000      $90,000      $40,000  ...........
Alaska State Office............................       30,000       30,000       50,000       40,000  ...........
Arkansas State Office..........................       30,000       30,000       54,000       40,000  ...........
California State Office........................      256,000      224,000      480,000      242,000  ...........
Los Angeles Area Office........................      224,000      196,000      420,000      255,000  ...........
Caribbean Office...............................       57,600       50,400      108,000       40,000  ...........
Colorado State Office..........................       89,600       78,400      168,000       40,000  ...........
Connecticut State Office.......................       35,200       30,800       66,000       40,000  ...........
District of Columbia Office....................       30,000       30,000       54,000       83,000  ...........
Florida State Office...........................       38,400       33,600       72,000       70,000  ...........
Jacksonville Area Office.......................       76,800       67,200      144,000       49,000  ...........
Georgia State Office...........................       73,600       64,400      138,000       40,000  ...........
Hawaii State Office............................       30,000       30,000       50,000       40,000  ...........

[[Page 11706]]

 
Illinois State Office..........................      156,800      137,200      294,000      145,000  ...........
Indiana State Office...........................       57,600       50,400      108,000       40,000  ...........
Kansas/ Missouri State Office..................       64,000       56,000      120,000       40,000  ...........
St. Louis Area Office..........................       30,000       30,000       50,000       40,000  ...........
Kentucky State Office..........................       48,000       42,000       90,000       40,000  ...........
Louisiana State Office.........................       64,000       56,000      120,000       40,000  ...........
Maryland State Office..........................       38,400       33,600       72,000       40,000  ...........
Massachusetts State Office.....................      131,200      114,800      246,000      182,000  ...........
Michigan State Office..........................      118,400      103,600      222,000      138,000  ...........
Minnesota State Office.........................       41,600       36,400       78,000       52,000  ...........
Mississippi State Office.......................       32,000       30,000       60,000       40,000  ...........
Nebraska State Office..........................       44,800       39,200       84,000       40,000  ...........
New Jersey State Office........................       89,600       78,400      168,000       52,000  ...........
New Mexico State Office........................       30,000       30,000       50,000       40,000  ...........
New York State Office..........................      261,600      204,400      500,000      239,000  ...........
Buffalo Area Office............................       44,800       39,200      104,000       57,000  ...........
North Carolina State Office....................       67,200       58,800      126,000       40,000  ...........
Ohio State Office..............................      140,800      123,200      264,000      104,000  ...........
Oklahoma State Office..........................       35,200       30,800       66,000       40,000  ...........
Oregon State Office............................       54,400       47,600      102,000       40,000  ...........
Pennsylvania State Office......................      124,800      109,200      234,000      106,000  ...........
Pittsburgh Area Office.........................       54,400       47,600      102,000       57,000  ...........
South Carolina State Office....................       35,200       30,800       66,000       40,000  ...........
Tennessee Knoxville Area Office................       57,600       50,400      108,000       40,000  ...........
Texas State Office.............................      160,000      140,000      300,000       88,000  ...........
San Antonio Area Office........................       35,200       30,800       66,000       40,000  ...........
Virginia State Office..........................       51,200       44,800       96,000       40,000  ...........
Washington State Office........................       54,400       47,600      102,000       67,000  ...........
Wisconsin State Office.........................       57,600       50,400      108,000       54,000  ...........
National.......................................  ...........    1,600,000    2,000,000  ...........    2,580,000
                                                ----------------------------------------------------------------
    Total......................................    3,200,000    4,400,000    8,000,000    3,000,000    2,580,000
----------------------------------------------------------------------------------------------------------------

BILLING CODE 4210-32-P

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11707]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.041


[[Page 11708]]


      

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11709]]



FUNDING AVAILABILITY FOR THE COMMUNITY DEVELOPMENT BLOCK GRANT 
PROGRAM FOR INDIAN TRIBES AND ALASKA NATIVE VILLAGES

Program Overview

    Purpose of the Program. The purpose of the Community Development 
Block Grant Program for Indian Tribes and Alaska Native Villages 
(ICDBG) is the development of viable Indian and Alaska Native 
communities, including the creation of decent housing, suitable living 
environments, and economic opportunities primarily for persons with low 
and moderate incomes as defined in 24 CFR 1003.4.
    Available Funds. Approximately $71,284,661 is available for the 
ICDBG Program.
    Eligible Applicants. Eligible applicants are Indian tribes or 
tribal organizations on behalf of Indian tribes.
    Application Deadline. May 23, 2001.
    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 May 
23, 2001.
    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 the Appropriate Area ONAP. 
Submit original signed application and two copies to the appropriate 
Area Office of Native American Programs for your jurisdiction. A list 
of jurisdictions is given below. A hand carried application will be 
accepted at the specified HUD Area ONAP 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 Area ONAP with adequate time to submit the application 
before the 6:00 p.m. deadline by the application due date.

------------------------------------------------------------------------
     If you are applying from this        send your application to this
     geographic location then . . .                 Area ONAP:
------------------------------------------------------------------------
All States East of the Mississippi       Eastern/Woodlands Office of
 River, plus Iowa and Minnesota.          Native American Programs,
                                          Grants Management Division, 77
                                          West Jackson Blvd., Room 2400,
                                          Chicago, IL 60604-3507,
                                          Telephone: (312) 886-4532,
                                          Ext. 2815.
Louisiana, Kansas, Oklahoma, and Texas,  Southern Plains Office of
 except West Texas.                       Native American Programs,
                                          Grants Management Division,
                                          500 W. Main Street, Suite 400,
                                          Oklahoma City, OK 73102-3202,
                                          Telephone: (405) 553-7525.
Colorado, Montana, Nebraska, North       Northern Plains Office of
 Dakota, South Dakota, Utah, and          Native American Programs,
 Wyoming.                                 Grants Management Division,
                                          First Interstate Tower North,
                                          633 17th Street, Denver, CO
                                          80202-3607, Telephone: (303)
                                          672-5465.
Arizona, California, and Nevada........  Southwest Office of Native
                                          American Programs, Grants
                                          Management Division, Two
                                          Arizona Center, Suite 1650,
                                          400 N. Fifth Street, Phoenix,
                                          AZ 85004-2361, Telephone:
                                          (602) 379-3865.
New Mexico and West Texas..............  Southwest Office of Native
                                          American Programs, Grants
                                          Management Division,
                                          Albuquerque Plaza, 201 3rd
                                          Street N.W., Suite 1830,
                                          Albuquerque, NM 87102-3368,
                                          Telephone: (505) 346-6923.
Idaho, Oregon, Washington..............  Northwest Office of Native
                                          American Programs, Grants
                                          Management Division, Federal
                                          Office Building, 909 First
                                          Avenue, Suite 300, Seattle, WA
                                          98104-1000, Telephone: (206)
                                          220-5271.
Alaska.................................  Alaska Office of Native
                                          American Programs, Grants
                                          Management Division, 949 E.
                                          36th Avenue, Suite 401,
                                          Anchorage, AK 99508-4399,
                                          (907) 271-4603.
------------------------------------------------------------------------

    In order to expedite the review of your application and to ensure 
that your application is given a thorough and complete review of all 
responses to each of the components of the selection criteria, HUD 
strongly requests that you use separate tabs for each selection 
criterion and sub-criterion. In order to be rated, make sure the 
response is beneath the appropriate heading. Keep the responses in the 
same order as the NOFA. Limit your narrative explanations to 200 words 
or less and provide the necessary data such as a market analysis, a pro 
forma, housing survey data, etc., that support the response. Include 
all relevant material to a response under the same tab. Do not assume 
the reviewer will search for the answer or information to support the 
answer elsewhere in the application. Do not include documentation that 
is not required by the selection criteria because irrelevant 
information will be disregarded during the review of your application. 
HUD asks that you do a preliminary rating for your project, providing a 
score according to the NOFA point system and submit your preliminary 
rating with your application. This will help to show you how your 
project might be scored by reviewers. Also, it will help to show you 
where the strengths and weaknesses of the application are located so 
that you may improve your application prior to its submission by the 
deadline date.
    For Application Kits. For an application kit and any supplemental 
material please call the SuperNOFA Information Center at 1-800-HUD-8929 
or the appropriate Area ONAP for your jurisdiction as listed above. 
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 ICDBG and provide your 
name, address (including zip code), and telephone number (including 
area code).
    For Further Information. You should direct general program 
questions to the Area ONAP serving your area or to Jackie Kruszek, 
Office of Native American Programs, Office of Public and Indian 
Housing, Department of Housing and Urban Development, 1999 Broadway, 
Suite 3390, Denver, C0 80202; telephone (800) 561-5913. 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.

[[Page 11710]]

    For Technical Assistance. Before the application deadline, we will 
be available to provide you with general guidance. We cannot, however, 
provide you with guidance on the actual contents of your application. 
If applicable, after selection but before award, we will be available 
to assist you in clarifying or confirming information that is required 
to address a pre-award requirement or condition.

II. Amount Allocated

    Approximately $70,843,800 is available for the ICDBG Program.
    General. Title I of the Housing and Community Development Act of 
1974 (the CDBG statute) requires grants for Indian tribes be awarded on 
a competitive basis in accordance with selection criteria contained in 
a regulation promulgated by the Secretary after notice and public 
comment. All grant funds awarded in accordance with this NOFA are 
subject to the requirements of 24 CFR part 1003. Applicants within an 
Area ONAP's geographic jurisdiction compete only against each other for 
that Area ONAP's allocation of funds.
    Allocations. The requirements for allocating funds to Area ONAPs 
responsible for program administration are found at 24 CFR 1003.101. 
Following these requirements, based on an appropriation of $ 
70,843,800, the allocations for FY 2001 are as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Eastern/Woodland........................................      $5,481,761
Southern Plains.........................................      12,972,631
Northern Plains.........................................      10,941,946
Southwest...............................................      29,848,823
Northwest...............................................       4,180,664
Alaska..................................................       5,858,836
    Total...............................................     $69,284,661
------------------------------------------------------------------------

    The total allocation includes $440,861 in unused funds from the 
amount reserved by the Assistant Secretary in Fiscal Year 2000 for 
Imminent Threat grants. As indicated below, $2,000,000 will be retained 
to fund Imminent Threat grants.
    Grant Ceilings. The authority to establish grant ceilings is found 
at 24 CFR 1003.100(b)(1). Grant ceilings are established for FY 2001 
funding at the following levels:

------------------------------------------------------------------------
             Area ONAP                     Population          Ceiling
------------------------------------------------------------------------
Eastern/Woodlands:                   ALL...................     $500,000
Southern Plains:                     ALL...................      750,000
Northern Plains:                     ALL...................      800,000
Southwest:                           50,001+...............    5,000,000
                                     10,501-50,000.........    2,500,000
                                     7,501-10,500..........    2,000,000
                                     6,001-7,500...........    1,000,000
                                     1,501-6,000...........      750,000
                                     0-1,500...............      550,000
Northwest:.........................  ALL...................      350,000
Alaska:............................  ALL...................      500,000
------------------------------------------------------------------------

    For the Southwest Area ONAP jurisdiction, the population used to 
determine ceiling amounts is the Native American population that 
resides on a reservation or rancheria. Please contact that office 
before submitting your application if you are unsure of the population 
level to use to determine the ceiling amount for your tribe or if you 
believe that the level used for previous years needs to be revised or 
corrected. The Southwest ONAP must accept any corrections or revisions 
before you submit your application.
    Imminent Threats. The criteria for grants to alleviate or remove 
imminent threats to health or safety that require an immediate solution 
are described at 24 CFR part 1003, subpart E. In order to satisfy these 
criteria, the problem to be addressed must be such that an emergency 
situation exists or would exist if the problem were not addressed. In 
addition, you may use funds provided under that subpart only to address 
imminent threats that are not of a recurring nature and that represent 
a unique and unusual circumstance that impacts an entire service area. 
In accordance with the provisions of 24 CFR part 1003, subpart E, we 
will retain $2,000,000 to meet the funding needs of imminent threat 
applications submitted to any of the Area ONAPs. The grant ceiling for 
imminent threat applications for FY 2001 is $350,000. We established 
this ceiling pursuant to the provisions of 24 CFR 1003.400(c).
    You do not have to submit a request for assistance under the 
imminent threat set-aside (24 CFR part 1003, subpart E) by the deadline 
established in this NOFA; the deadline applies only to applications 
submitted for assistance under 24 CFR part 1003, subpart D, Single 
purpose grants.
    If, in response to a request for assistance, an Area ONAP issues 
you a letter to proceed under the authority of 1003.401(a), then your 
application must be submitted to and approved by the Area ONAP before a 
grant agreement may be executed. This application must contain: 
Standard Form 424, Application for Federal Assistance; a brief 
description of the proposed project; Form HUD-4123, Cost Summary; Form 
HUD-4125, Implementation Schedule; Form HUD-2880, Applicant/Recipient 
Disclosure/Update Report; Form HUD-4126, Certifications; and, Form HUD-
50070, Certification for a Drug-Free Workplace.

III. Program Description; Eligible Applicants; and Eligible 
Activities

    Program Description. The purpose of the ICDBG Program is the 
development of viable Indian and Alaska Native communities, including 
the creation of decent housing, suitable living environments, and 
economic opportunities primarily for persons with low and moderate 
incomes.
    Eligible Applicants. To apply for funding you must be eligible as 
an Indian Tribe (or as a tribal organization) by the application 
submission date.
    Tribal organizations are permitted to submit applications under 24 
CFR 1003.5(b) on behalf of eligible tribes when one or more eligible 
tribe(s) authorize the organization to do so under concurring 
resolutions. As is stated in this regulatory section, the tribal 
organization must itself be eligible under title I of the Indian Self-
Determination and Education Assistance Act. A determination of such 
eligibility must be made by the Bureau of Indian Affairs or the Indian 
Health Service, as appropriate. This determination must be provided to 
the ONAPs by the application submission date.
    If a tribe or tribal organization claims that it is a successor to 
an eligible entity, the ONAPs must review the documentation to 
determine whether it is in fact the successor entity.
    Due to the unique structure of tribal entities eligible to submit 
ICDBG applications in Alaska, and as only one ICDBG application may be 
submitted for each area within the jurisdiction of an entity eligible 
under 24 CFR 1003.5, a tribal organization that submits an application 
for activities in the jurisdiction of one or more eligible tribes or 
villages must include a concurring resolution from each such tribe or 
village authorizing the submittal of the application. Each such 
resolution must also indicate that the tribe or village does not itself 
intend to submit an ICDBG application for that funding round. The 
hierarchy for funding priority continues to be the IRA Council, the 
Traditional Village Council, the ANCSA Village Corporation, and the 
ANCSA Regional Corporation.
    On March 13, 2000 (65 FR 13298), the Bureau of Indian Affairs 
published a Federal Register notice entitled ``Indian Entities 
Recognized and Eligible to Receive Services From the United States 
Bureau of Indian Affairs.'' This notice provides a listing of Indian 
Tribal Entities in Alaska found to be Indian

[[Page 11711]]

Tribes as the term is defined and used in 25 CFR part 83. Additionally, 
pursuant to title I of the Indian Self-Determination and Education 
Assistance Act, ANCSA Village Corporations and Regional Corporations 
are also considered tribes and therefore eligible applicants for the 
ICDBG program.
    Any questions regarding eligibility determinations and related 
documentation requirements for entities in Alaska should be referred to 
the Alaska Area ONAP prior to the application submission date. (See 24 
CFR 1003.5 for a complete description of eligible applicants.)

    Please note: when used in this NOFA the word ``tribe'' means an 
Indian tribe, band, group or nation, including Alaska Indians, 
Aleuts, Eskimos, Alaska Native Villages, ANCSA Village Corporations, 
and ANCSA Regional Corporations.

    Eligible Activities. Activities that are eligible for ICDBG funding 
are identified at 24 CFR part 1003, subpart C. Please note that 
although this subpart has not yet been revised to include the 
restrictions on activity eligibility which was added to section 105 of 
the CDBG statute by section 588 of the Quality Housing and Work 
Responsibility Act of 1998, these restrictions apply. Specifically, 
ICDBG funds may not be used to assist directly in the relocation of any 
industrial or commercial plant, facility, or operation, from one area 
to another, if the relocation is likely to result in a significant loss 
of employment in the labor market area from which the relocation 
occurs. The rating factors included under IV (K) specify many of the 
activities listed as eligible under part 1003, subpart C. Those listed 
include new housing construction, housing rehabilitation, land 
acquisition, homeownership assistance, public facilities and 
improvements, economic development, and micro-enterprise programs. 
However, the following eligible activities not clearly identified by 
the rating factors may be proposed and rated as described below. For a 
complete description of eligible activities, please refer to 24 CFR 
Part 1003 Subpart C.
    Acquisition of property. This activity can be proposed as Land to 
Support New Housing or as part of New Housing Construction, Community 
Facilities or Economic Development depending on the purpose of the land 
acquisition.
    Assistance to Institutions of Higher Learning. If such entities 
have the capacity, they can help the ICDBG grantees to implement 
eligible projects.
    Assistance to Community Based Development Organizations (CBDO's). 
Grantees may provide assistance to these organizations to undertake 
activities related to neighborhood revitalization, community economic 
development or energy conservation.
    Clearance, Demolition. These activities can be proposed as part of 
Housing Rehabilitation, New Housing Construction, Community Facilities 
or Land to Support New Housing.
    Code Enforcement. This activity can be proposed as Housing 
Rehabilitation. The activity must comply with the requirements at 24 
CFR 1003.202. HUD approval is required prior to demolition of any 
assisted housing.
    Comprehensive Planning. This activity is eligible, and can be 
proposed, as part of any otherwise eligible project to the extent 
allowed by the 20 percent cap on the grant for planning/administration.
    Energy Efficiency. Associated activities can be proposed under 
Housing Rehabilitation or Community Facilities depending upon the type 
of energy efficiency activity.
    Lead Based Paint Abatement and Evaluation. These activities can be 
proposed under Housing Rehabilitation.
    Non-Federal Share. ICDBG funds can be used as a match for any non-
ICDBG funding to the extent allowed by such funding and the activity is 
eligible under 24 CFR part 1003, Subpart C.
    Privately and Publicly Owned Commercial or Industrial Buildings 
(real property improvements). These activities can be proposed under 
Economic Development. Privately owned commercial rehabilitation is 
subject to the requirements at 24 CFR 1003.202.
    Privately Owned Utilities. Assistance to privately owned utilities 
can be proposed under Community Facilities.
    Removal of Architectural Barriers. This includes removing barriers 
that restrict mobility and access for elderly and severely disabled 
persons. This activity can be proposed under Housing Rehabilitation or 
Community Facilities depending upon the type of structure where the 
barrier will be removed.

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:
    Indian Preference. HUD has determined that the ICDBG program is 
subject to section 7(b) of the Indian Self-Determination and Education 
Assistance Act (25 U.S.C. 450e(b)). The provisions and requirements for 
implementing this section are in 24 CFR 1003.510.
    Anti-discrimination Provisions. Under the authority of section 
107(e)(2) of the CDBG statute, HUD waived the requirement that 
recipients comply with the anti-discrimination provisions in section 
109 of the CDBG statute with respect to race, color, and national 
origin. You must comply with the other prohibitions against 
discrimination in section 109 (HUD's regulations for section 109 are in 
24 CFR part 6) and with the Indian Civil Rights Act.
    Conflict of Interest. In addition to the conflict of interest 
requirements with respect to procurement transactions found in 24 CFR 
85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply 
to such activities as the provision of assistance by the recipient or 
sub-recipients to businesses, individuals, and other private entities 
under eligible activities that authorize such assistance.
    Economic Opportunities for Low and Very Low-Income Persons (Section 
3). Section 3 requirements apply to the ICDBG Program, but as stated in 
Sec. 135.3(c), the procedures and requirements of 24 CFR part 135 apply 
to the maximum extent consistent with, but not in derogation of, 
compliance with Indian Preference.
    Please note that the requirements in the General Section regarding 
applicability of affirmatively furthering fair housing do not apply. 
The requirement is inconsistent with section 106(a) of the Housing and 
Community Development Act of 1974, as amended, which specifically makes 
inapplicable to the ICDBG program the requirement of section 104(b)(2) 
that the grantee certify that it will affirmatively further fair 
housing.

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 100.
    (A) Screening for acceptance. ONAPs will screen applications for 
single purpose grants. The ONAPs will reject an application that fails 
this screening and will return the application unrated. The ONAPs will 
accept your application if it meets all the criteria listed below as 
items (1) through (6):
    (1) Your application is received or submitted in accordance with 
the requirements set forth under APPLICATION DUE DATE in this NOFA;
    (2) You are eligible;
    (3) The proposed activities are eligible;

[[Page 11712]]

    (4) Your application contains substantially all the components 
specified in VI of this notice;
    (5) Your application shows that at least 70% of the grant funds are 
to be used for activities that benefit low and moderate income persons, 
in accordance with the requirements of 24 CFR 1003.208; and
    (6) Your application is for an amount that does not exceed the 
grant ceilings that are established by the NOFA.
    (B) Threshold review. ONAPs will rate and rank each application 
that passes the screening process to ensure that each applicant and 
each proposed project meets the applicant threshold requirements set 
forth in 24 CFR 1003.301(a) and the project specific threshold 
requirements set forth in 1003.302.
    (C) Rating. The ONAPs will review and rate each project that meets 
the acceptance criteria and threshold requirements. The total points 
for all rating factors is 100. This is the maximum any project can 
receive. As indicated below, please note that to be considered for 
funding, a project must receive a minimum of 25 points under Rating 
Factor 1.
    (D) Public Service Projects. Because there is a statutory 15 
percent cap on the amount of grant funds that may be used for public 
services activities, you may not receive a single purpose grant solely 
to fund public services activities. Your application, however, may 
contain a public services component for up to 15 percent of the total 
grant. This component may be unrelated to the other project(s) included 
in your application. If your application does not receive full funding, 
we will reduce the public services allocation proportionately so that 
it comprises no more than 15 percent of the total grant award. In 
making such reductions, the feasibility of the proposed project will be 
taken into consideration. If a proportionate reduction of the public 
services allocation renders such a project infeasible, the project will 
not be funded.
    (E) Final Ranking. We will rank all projects against each other 
according to the point totals they receive, regardless of the type of 
project or component under which the points were awarded. We will 
select projects for funding based on this final ranking, to the extent 
that funds are available. We will determine individual grant amounts in 
a manner consistent with the considerations set forth in 24 CFR 
1003.100(b)(2). Specifically, ONAPs may approve a grant amount less 
than the amount requested. In doing so, ONAPs may take into account the 
size of the applicant, the level of demand, the scale of the activity 
proposed relative to need and operational capacity, the number of 
persons to be served, the amount of funds required to achieve project 
objectives, the reasonableness of the project costs, and the 
administrative capacity of the applicant to complete the activities in 
a timely manner.
    If the ONAPs determine that there are not enough funds available to 
fund a project as proposed by the applicant, they may decline to fund 
that project and may fund the next highest ranking project or projects 
for which adequate funds are available. The ONAPs may select, in rank 
order, additional projects for funding if one of the higher ranking 
projects is not funded or if additional funds become available.
    (F) Tiebreakers. When rating results in a tie among projects and 
insufficient resources remain to fund all tied projects, the ONAPs will 
approve projects that can be fully funded over those that cannot be 
fully funded. When that does not resolve the tie, the ONAPs will use 
the following factors in the order listed to resolve the tie:
    (1) The applicant that has not received an ICDBG over the longest 
period of time.
    (2) The applicant with the fewest active ICDBGs.
    (3) The project that would benefit the highest percentage of low 
and moderate income persons.
    (G) Pre-award requirements. If there are technical deficiencies in 
successful applications, you must satisfactorily address these 
deficiencies before we can make a grant award. Please see Section VIII 
of this NOFA for a definition of such a deficiency and a description of 
the process to address and correct the deficiency. You must correct all 
technical deficiencies within the timeframe established by HUD. If they 
are not corrected, we will not make the grant award and will reject 
your application.
    We also may require a successful applicant to provide supporting 
documentation concerning the management, maintenance, operation, or 
financing of proposed projects before a grant agreement can be 
executed. We will normally give you no less than thirty (30) calendar 
days to respond to these requirements. If you do not respond within the 
prescribed time period or you make an insufficient response, the ONAPs 
may determine that you have not met the requirements and may withdraw 
the grant offer. The ONAPs require you to submit supporting 
documentation if specific questions remain concerning the scope, 
magnitude, timing, or method of implementing the project; or you have 
not provided information verifying the commitment of other resources 
required to complete, operate, or maintain the proposed project. You 
may not substitute new projects for those originally proposed in your 
application. We will award, in accordance with the provisions of this 
NOFA, grant amounts that had been allocated for applicants unable to 
meet pre-award requirements.
    (H) Definitions.
    Adopt means to approve by formal tribal resolution.
    Assure means to comply with a specific NOFA requirement. As an 
applicant, you should state your compliance or your intent to comply in 
your application.
    Document means to supply supporting written information and/or data 
in the application that satisfies the NOFA requirement.
    Entity Other than Tribe. A distinction is made between the 
requirements for point award under Rating Factor 3 if a tribe or an 
entity other than the tribe will assume maintenance and related 
responsibilities for projects other than economic development and land 
acquisition for housing. Entities other than the tribe must have the 
following characteristics: must be legally distinct from the tribal 
government; their assets and liabilities cannot be considered to be 
assets and liabilities of the tribal government; claims against such 
entities cannot be made against the tribal government; and, must have 
governing boards, boards of directors, or groups or individuals similar 
in function and responsibility to such boards which are separate from 
the tribe's general council, tribal council, or business council, as 
applicable.
    Entities other than the tribe may be completely external to the 
tribe, e.g., a Federal agency, or may be an entity formed or chartered 
under provisions of tribal law, e.g., a tribally chartered non-profit 
or for-profit corporation, tribal utility authority, or tribal 
political subdivision.
    If the nature of the entity is such that it is apparent that it is 
not the tribe, e.g., it is a Federal or state department or agency, 
information establishing that it is an entity other than the tribe need 
not be provided. However, if it is not apparent that the entity has all 
of the characteristics stated above, it is the applicant's 
responsibility to provide information to HUD to establish that this is 
true. If potential applicants are unsure whether or not a specific 
entity has the necessary characteristics, a request for review should 
be submitted to the ONAPs prior to the submission of

[[Page 11713]]

the application for assistance. If an applicant waits to submit the 
information on entity characteristics with an application and HUD found 
the information to be inadequate or inconclusive, the award of points 
would be jeopardized.
    Homeownership Assistance Programs. Tribes may apply for assistance 
to provide direct homeownership assistance to low- and moderate-income 
households to: subsidize interest rates and mortgage principal amounts 
for low- and moderate-income homebuyers; finance the acquisition by 
low- and moderate-income homebuyers of housing that is occupied by the 
homebuyers; acquire guarantees for mortgage financing obtained by low- 
and moderate-income homebuyers from private lenders (except that ICDBG 
funds may not be used to guarantee such mortgage financing directly, 
and grantees may not provide such guarantees directly); provide up to 
50 percent of any downpayment required from a low- and moderate-income 
homebuyer; or, pay reasonable closing costs (normally associated with 
the purchase of a home) incurred by a low- or moderate-income 
homebuyer.
    Leverage means resources that you will use in conjunction with 
ICDBG funds to achieve the objectives of the project. Resources 
include, but are not limited to: tribal trust funds; loans from 
individuals or organizations; State or Federal loans or guarantees; 
other grants; and non-cash contributions and donated services. (See 
Rating Factor 4 of this NOFA for documentation requirements for point 
award for leveraged resources.)
    Microenterprise Programs. Tribes may apply for assistance to 
operate programs to fund the development, expansion and stabilization 
of microenterprises. Microenterprises are defined as commercial 
entities with five or fewer employees, including the owner. 
Microenterprise program activities may entail the following assistance 
to eligible businesses: providing credit, including, but not limited 
to, grants, loans, loan guarantees, and other forms of financial 
support for the establishment, stabilization, and expansion of 
microenterprises; providing technical assistance, advice, and business 
support services to owners of microenterprises and persons developing 
microenterprises; and, providing general support, including, but not 
limited to, peer support programs, counseling, child care, 
transportation, and other similar services to owners of 
microenterprises and persons developing microenterprises.
    Operations and Maintenance (O&M) for Community Facilities. While 
various items of cost will vary in importance and significance 
depending on the type of facility proposed, there are items of expense 
related to the operation of the physical plant which must be addressed 
in a maintenance and operation plan (tribe assumes responsibility) or 
letter of commitment (entity other than tribe will assume these 
responsibilities). These items include daily or other periodic 
maintenance activities; repairs such as replacing broken windows; 
capital improvements or replacement reserves for repairs such as 
replacing the roof; fire and liability insurance (may not be applicable 
to most types of infrastructure projects such as water and sewer 
lines); and, security (may not be applicable to many types of 
infrastructure projects such as roads).
    Please note that while it is possible that the service provider 
may, in its agreement with a tribe, commit itself to cover certain or 
all facility O&M costs, as defined, these O&M costs do not include the 
program service provision costs related to the delivery of services 
(social, health, recreational, educational or other) which may be 
provided in a facility.
    Project Cost means the total cost to implement the project. Project 
cost includes both ICDBG and non-ICDBG funds and resources.
    Section 8 standards means housing quality standards contained in 24 
CFR 982.401 (Section 8 Tenant-Based Assistance: Unified Rule for 
Tenant-Based Assistance Under the Section 8 Rental Certificate Program 
and the Section 8 Rental Voucher Program).
    Standard Housing/Standard Condition means housing that meets the 
housing quality standards (HQS) adopted by the applicant. The HQS 
adopted by the applicant must be at least as stringent as the Section 8 
standards unless the ONAPs approve less stringent standards based on a 
determination that local conditions make the use of Section 8 standards 
infeasible. You may submit, before the application due date, a request 
for the approval of standards less stringent than Section 8 standards. 
If you submit the request with your application, you should not assume 
automatic approval by the ONAPs. The adopted standards must provide for 
a safe house, in physically sound condition with all systems performing 
their intended design functions; a livable home environment and an 
energy efficient building and systems that incorporate energy 
conservation measures; and, an adequate space and privacy for all 
intended household members.
    (I) General threshold requirement. According to 24 CFR 1003.301(a), 
an applicant that has an outstanding ICDBG obligation to HUD that is in 
arrears, or one that has not agreed to a repayment schedule, will be 
disqualified from the competition.
    (J) Project specific threshold requirements. (1) Housing Projects 
(New Construction, Rehabilitation, Land Acquisition and Homeownership 
Assistance). For housing projects, you must provide an assurance that 
households that have been evicted from HUD-assisted housing within the 
past five years will not be assisted by the proposed project except in 
emergency situations. The ONAP Administrator will review each emergency 
situation proposed by an applicant on a case-by-case basis to determine 
whether an exception is warranted.
    You also must provide an assurance that the proposed housing 
category project is consistent with and, to the extent possible, 
identified in the Indian Housing Plan (IHP) (One-Year Financial 
Resources Narrative; Table 2, Financial Resources, Part I., Line 1E; 
and, Table 2, Financial Resources, Part II) submitted by you or on your 
behalf for the Indian Housing Block Grant Program under the Native 
American Housing Assistance and Self Determination Act of 1996 (25 
U.S.C. 4101 et seq.). If the IHP for the IHBG program year that 
coincides with the implementation of the ICDBG proposed project has not 
been submitted, you must provide an assurance that when submitted, the 
IHP will specifically reference the proposed housing category project.
    (2) Housing Rehabilitation Projects. For housing rehabilitation 
projects, you must adopt rehabilitation standards and rehabilitation 
policies before you submit an application. You must submit these 
standards and policies with the application. You must also provide an 
assurance that:
    (a) All households that receive grant assistance under a housing 
rehabilitation project will be of low and moderate income status.
    (b) Any house to be rehabilitated will be the permanent non-
seasonal residence of the occupants; the residents will live in the 
unit at least nine months per year.
    (c) Houses designated for eventual replacement will only receive 
repairs essential for the health and safety of the occupants.
    (d) Project funds will be used to rehabilitate HUD-assisted houses 
only when the tenant/homebuyer's payments are current or the tenant/
homebuyer is current in a repayment agreement. In emergency situations, 
the ONAP

[[Page 11714]]

Administrator may grant exceptions to this requirement on a case-by-
case basis.
    (e) Houses that have received comprehensive rehabilitation 
assistance from any ICDBG or other federal grant program within the 
past 8 years will not be assisted with ICDBG funds to make the same 
repairs if the repairs are needed as a result of abuse or neglect.
    (f) Although you do not have to provide an assurance, grant funds 
spent on rehabilitation per house must fall within the following limits 
for each Area ONAP jurisdiction:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
(i) Eastern/Woodlands........................................    $35,000
(ii) Southern Plains.........................................     20,000
(iii) Northern Plains........................................     35,000
(iv) Southwest...............................................     40,000
(v) Northwest................................................     40,000
(vi) Alaska..................................................     55,000
------------------------------------------------------------------------

    (3) Land Acquisition Projects. For land acquisition projects, your 
application must contain information and documentation, such as a 
preliminary plot plan or its equivalent, establishing that there is a 
reasonable ratio between the number of net usable acres to be acquired 
and the number of low and moderate income households with documented 
housing needs. A clear objective of the applicant must be to make the 
most effective and economic use of the land proposed for acquisition.
    Your application must clearly demonstrate and document housing 
assistance needs with a survey that identifies the households to be 
served, their size, income levels, and the condition of current housing 
or, if applicable, Table I, Statement of Needs from your Tribe's Indian 
Housing Plan (IHP). The survey and/or Table I from the IHP must be 
submitted with the application.
    Your application must include evidence of a commitment and an 
ability to construct at least 25 percent of the housing units to be 
built on the land proposed for acquisition. This evidence must consist 
of one (or more) of the following: a firm or conditional commitment to 
construct (or to finance the construction of) the units; documentation 
that an approvable application for the construction of these units has 
been submitted to a funding source or entity; or, documentation that 
these units are specifically identified in the Indian Housing Plan 
submitted on or on behalf of the applicant as an affordable housing 
resource with a commensurate commitment of Indian Housing Block Grant 
(IHBG) resources.
    (4) New Housing Construction. New housing construction can only be 
implemented through a Community Based Development Organization (CBDO). 
Eligible CBDOs are described in 24 CFR 1003.204(c). You must provide an 
assurance that you understand this requirement.
    You must include in the application, documentation supporting the 
following determinations: all households to be assisted under a new 
housing construction project must be of low or moderate income status; 
no other housing is available in the immediate reservation area that is 
suitable for the households to be assisted; no other funding sources 
including an Indian Housing Block Grant can meet the needs of the 
household(s) to be served; the house occupied by the household to be 
assisted is not in standard condition and rehabilitation is not 
economically feasible, the household is currently in an overcrowded 
house (sharing house with another household(s)), or the household to be 
assisted has no current residence.
    Before you submit an application for new housing construction 
projects, you must adopt construction standards and construction 
policies. You must identify the building code to be used when 
constructing the houses and must document that this code has been 
adopted. The building code may be a tribal building code or a 
nationally recognized model code. If it is a tribal code, it must 
regulate all of the areas and sub-areas identified in 24 CFR 
200.925(b). If the code is recognized nationally, it must be the latest 
edition of one of the codes incorporated by reference in 24 CFR 
200.925(c).
    You must provide an assurance that any house to be constructed will 
be the permanent non-seasonal residence of the household to be 
assisted. This household must live in the house at least nine months 
per year.
    (5) Homeownership Assistance Projects. No project specific 
thresholds.
    (6) Infrastructure. No project specific thresholds.
    (7) Buildings. If you propose a facility that would provide health 
care services funded by the Indian Health Service (IHS), you must 
assure that the facility meets all applicable IHS facility 
requirements. We recognize that tribes that are contracting services 
from the IHS may establish other facility standards. These tribes must 
assure that these standards at least compare to nationally accepted 
minimum standards.
    (8) Economic Development. Economic development assistance may be 
provided only when a financial analysis is provided that shows public 
benefit commensurate with the assistance to the business can reasonably 
be expected to result from the assisted project. The analysis should 
also establish that to the extent practicable, reasonable financial 
support will be committed from non-federal sources prior to 
disbursement of federal funds; any grant amount provided will not 
substantially reduce the amount of non-federal financial support for 
the activity; not more than a reasonable rate of return on investment 
is provided to the owner; and that grant funds used for the project 
will be disbursed on a pro-rata basis with amounts from other sources. 
In addition, it must be established that the project is financially 
feasible and has a reasonable chance of success.
    Microenterprise Projects. No project specific thresholds.
    (K) Factors for Award Used To Evaluate and Rate Applications. The 
factors for rating and ranking applications and the points for each 
factor are provided below. The maximum number of points for all rating 
factors is 100. This is the maximum any project can receive.

Rating Factor 1: Capacity of the Applicant (35 Points)

    This factor addresses the extent to which you have the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. If applicable, past performance 
in administering previous ICDBG will be taken into consideration. 
Please specifically address the existence or availability of these 
resources for the specific type of activity for which you are applying. 
You must receive a minimum of 25 points under this factor for your 
proposed activity to be eligible for funding. HUD will not rate any 
projects further that do not receive a minimum of 25 points under this 
factor.
    Your application must include documentation demonstrating that you 
possess or can obtain managerial, technical, and/or administrative 
capability necessary to carry out the proposed project. Your 
application must address who will administer the project and how you 
plan to handle the technical aspects of executing the project.
    Your application describes the experience and expertise of existing 
staff in the implementation of the specific activity for which you are 
applying and what responsibilities they will have in project 
implementation, as well as those aspects of project implementation that 
will be contracted to outside parties. (5 points)

Your application addresses overall project management. (5 Points)

[[Page 11715]]

Your application addresses financial management. (4 Points)
Your application addresses procurement and contract administration. (3 
Points)
Your application addresses environmental reviews. (3 Points)

    Your performance in administering ICDBG grants over the preceding 
12-month period on any open grant will be evaluated based on the 
following performance measures. If you do not have any open ICDBG 
grants, then you will receive 15 points under this sub-factor.
    You have had satisfactory progress in meeting the time frames 
established in the HUD-approved Implementation Schedule for the ICDBG 
Program. (3 Points)
    You have had timely submission of required reports including the 
Annual Status and Evaluation Report and Federal Cash Transaction Report 
for the ICDBG Program. (3 Points)
    You have submitted close-out documents to HUD in a timely manner. 
Close-out documents are required for the ICDBG program within 90 days 
of completion of project activities. (3 Points)
    You have submitted in a timely fashion annual audits in accordance 
with the ICDBG Program requirements. (3 Points)
    You have resolved in a timely fashion ICDBG monitoring findings and 
controlled audit findings or no findings in current reports. (3 Points)

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

    This factor addresses the extent to which there is a need for the 
proposed project to address a documented problem among the intended 
beneficiaries.
    Your application includes documentation demonstrating that the 
proposed project meets an essential community development need by 
fulfilling a function that is critical to the continued existence or 
orderly development of the community. (10 points)
    For public facilities and improvements and economic development 
projects, the proposed activities benefit the neediest segment of the 
population, as identified below. You must include information 
demonstrating that income data were collected in a statistically 
reliable and independently verifiable manner.
    85 percent or more of the beneficiaries are low or moderate income. 
(15 points)
    At least 75 percent but less than 85 percent of the beneficiaries 
are low or moderate income. (10 points)
    At least 55 percent but less than 75 percent of the beneficiaries 
are low or moderate income. (5 points)
    Less than 55 percent of the beneficiaries are low or moderate 
income. (0 points)
    For new housing, housing rehabilitation, land acquisition, and 
homeownership assistance projects, the proposed activities are limited 
to low or moderate income beneficiaries. To evaluate need, the 
applicant must demonstrate that the amount of the Indian Housing Block 
Grant (IHBG) most recently received by the tribe or its tribally 
designated housing entity (TDHE) is not sufficient to have a 
significant impact on identified housing needs of low or moderate 
income households.
    The Indian tribe's IHBG amount was $100,000 or less in IHBG funds. 
(15 points)
    The Indian tribe's IHBG amount was more than $100,000 but at most 
$300,000 in IHBG funds. (10 points)
    The Indian tribe's IHBG amount was more than $300,000 but at most 
$500,000 in IHBG funds. (5 points)
    The Indian tribe's IHBG amount was more than $500,000 in IHBG 
funds. (0 points)
    For programs which will assist in the development, expansion, or 
stabilization of microenterprises, the owner(s) of the microenterprise 
must be low or moderate income and the majority of the jobs created or 
retained will be for low or moderate income persons. To evaluate need, 
the nature of the jobs created or retained will be evaluated. The 
owners of the microenterprises are low and moderate income and:
    All employees are low or moderate income. (15 points)
    At least 75 percent but less than 100 percent of the employees are 
low or moderate income. (10 points)
    At least 55 percent but less than 75 percent of the employees are 
low or moderate income. (5 points)
    Less than 55 percent of the employees are low and moderate income. 
(0 points)

Rating Factor 3: Soundness of Approach (25 Points)

    This factor addresses the quality and cost effectiveness of your 
proposal, the degree to which your project provides other benefits to 
community members, and the commitment to sustain your proposed 
activities.
    (1) Your proposed project is a viable and cost effective approach 
to address the identified need. Appropriate information to include in 
the application to address this factor is a description of other 
options considered during project planning, an explanation of how the 
size, type, and location of the project, if applicable and appropriate, 
were determined, and a discussion of anticipated cost savings due to 
innovative program design and/or construction methods. (5 points)
    (2) Your proposed project will contribute to community objectives 
other than the direct objective of the project, such as job creation or 
retention, education and job training opportunities, economic self-
sufficiency, homeownership, and reduction of drug-related crime. (5 
points)
    (3) Your application demonstrates your commitment to sustain your 
proposed activities. This commitment must be demonstrated in the 
following project specific ways:
    (a) Public facilities and improvements. (i) If the tribe assumes 
operation and maintenance responsibilities for public facilities and 
improvements, a resolution that both adopts the operation and 
maintenance plan and commits necessary funds must be included in the 
application.
    The plan itself is included and addresses maintenance, repairs, 
insurance, replacement reserves and includes a cost breakdown for 
annual expenses; for community buildings only, the source of operating 
funds is identified for any recreation, social or other services to be 
provided by other entity/ies and letters of commitment from service 
providers are included which address both operating expenses and space 
needs. (15 points)
    A resolution adopting the operation and maintenance plan and 
committing funds is included; the plan is included and addresses most, 
but not all above items, but does include a satisfactory cost 
breakdown; for community buildings only, above service provider 
commitments (if applicable) as well as the source of operating funds 
are included. Information provided is sufficient to determine that the 
project will proceed effectively. (10 points)
    A resolution adopting the plan and committing funds, or a plan 
addressing most of the above items is included. Information provided is 
sufficient to determine that the project will proceed effectively. (5 
points)
    None of the above criteria are met. (0 points)
    (ii) If an entity other than the tribe commits to pay for operation 
and maintenance for public facilities and improvements, the application 
must contain a letter of commitment from the entity that assumes the 
operation and maintenance responsibilities.

[[Page 11716]]

    Your application contains a letter of commitment from the entity 
that identifies the maintenance responsibilities and, if applicable, 
responsibilities for operations the entity will assume, as well as its 
financial capacity to provide for these responsibilities; for community 
buildings only, the source of funds for program service provision is 
identified for any recreation, social or other services to be provided 
by other entities and letters of commitment from service providers are 
included which address both these funds and space needs. (15 points)
    Your application contains a letter of commitment identifying 
maintenance responsibilities and, if applicable, responsibilities for 
operations the entity will assume, but no information regarding the 
entity's financial capacity is included; for community buildings only, 
the source of funds for program service provision is identified for any 
applicable services to be provided and letters of commitment from 
applicable providers are included which address both these funds and 
space needs. (10 points)
    Your application identifies the maintenance provider and, if 
applicable, responsibilities for operations the entity will assume, but 
a letter of commitment is not provided; for community buildings only, 
letters of commitment to provide services are included but no 
information regarding the provision of these funds or space needs is 
provided. (5 points)
    None of the above criteria are met. (0 points)
    (b) New housing construction, housing rehabilitation, and 
homeownership assistance projects.
    The ongoing maintenance responsibilities are clearly identified for 
the tribe and/or the participants, as applicable. All participant 
maintenance responsibilities are included on a statement to be signed 
by the participant as a condition of receiving grant assistance and the 
statement to be used is included in the application. (15 points)
    Maintenance responsibilities are identified, but in insufficient 
detail, and the above statement to be signed by the participant is 
submitted. (10 points)
    Tribal maintenance responsibilities are identified but participant 
responsibilities are either not addressed or do not exist. (5 points)
    None of the above criteria are met. (0 points)
    (c) Economic development. You must include information or 
documentation which addresses or provides the following in the 
application: a description of the organizational system and capacity of 
the entity that will operate the business; the feasibility and market 
analysis of the proposed business activity and the financial viability 
of the project.
    Appropriate documents to include in the application to address 
these items include:
    (i) Articles of incorporation, by-laws, resumes of key management 
positions and board members.
    (ii) Business operating plan.
    (iii) Market study no more than two years old.
    (iv) Feasibility study indicating how the proposed business will 
capture a fair share of the market.
    (v) Detailed cost summary for the development of the project.
    (vi) Five year operating or cash flow financial projections.
    (vii) For the expansion of an existing business, copies of 
financial statements for the most recent three years (or the life of 
the business, if less than three years).
    All above documents applicable to the proposed project are included 
in your application and the chances for financial success are 
excellent. (15 points)
    All or most of the above documents applicable to the proposed 
project are included in your application and the chances for financial 
success are reasonable. (8 points)
    Neither of the above criteria are met. (0 points)
    (d) Micro enterprise assistance. You must include the following 
information or documentation in the application:
    (i) Program description: You must submit a description of the 
proposed microenterprise program, including the types of entities that 
will be eligible to apply for funds through the microenterprise 
program.
    (ii) Business plan. You must demonstrate that you will require each 
microenterprise applicant to submit a business plan. You must describe 
your process for reviewing and analyzing these plans.
    (iii) Underwriting. If a credit program is intended, you must 
indicate what your underwriting criteria will be. A thorough 
description of the process for how you will analyze the financial 
status of microenterprise applications is included.
    (iv) Loan terms. If a credit program is intended, you must indicate 
their range of loan terms (i.e. interest rate, maximum loan amount, 
duration, loan servicing provisions) and you must also indicate how you 
will determine the terms offered to individual microenterprise 
applicants.
    (v) Market. You must indicate how you will analyze the market for 
the proposed microenterprise businesses and ensure that each funded 
business has a well defined market strategy.
    All above documents applicable to the proposed project are included 
in the application and the chances for success are excellent. (15 
points)
    All or most of the above documents applicable to the proposed 
project are included in the application and the chances for success are 
reasonable. (8 points)
    Neither of the above criteria are met. (0 points)
    (e) Land Acquisition: Submissions should include the results of a 
preliminary investigation conducted by a qualified independent entity 
demonstrating that the proposed site has suitable soil conditions for 
housing and related infrastructure, available drinking water, access to 
utilities, vehicular access, drainage, nearby social and community 
services, and no known environmental problems.
    The submissions include all of the above mentioned items and all 
necessary infrastructure is in place. (15 points)
    The submissions demonstrate that the proposed site(s) is/are 
suitable for housing but that not all necessary infrastructure is in 
place. A detailed description of resources to be used and a detailed 
implementation schedule for development of all necessary infrastructure 
demonstrates that such infrastructure, as needed for proposed housing 
development, will be developed in time for such development, but no 
later than two years after site purchase. (8 points)
    Neither of the above criteria are met. (0 points)

Rating Factor 4: Leveraging Resources (10 Points)

    HUD believes that ICDBG funds can be used more effectively to 
benefit a larger number of Native American persons and communities if 
projects are developed that use tribal resources and resources from 
other entities in conjunction with ICDBG funds. To encourage this, we 
will award points based on the percentage of non-ICDBG resources 
provided relative to project costs as follows:

------------------------------------------------------------------------
             Non-ICDBG resources to project costs                Points
------------------------------------------------------------------------
Less than 5 percent...........................................        0
At least 5 percent but less than 10 percent...................        2
At least 10 percent but less than 15 percent..................        4

[[Page 11717]]

 
At least 15 percent but less than 20 percent..................        6
At least 20 percent but less than 25 percent..................        8
25 percent or more............................................       10
------------------------------------------------------------------------

    Contributions which could be considered as leveraged resources for 
point award include, but are not limited to: tribal trust funds; loans 
from individuals or organizations; State or Federal loans or 
guarantees; other grants; donated goods and services needed for the 
project; land needed for the project; and, direct administrative costs.
    Contributions that will not be considered include, but are not 
limited to: indirect administrative costs as identified in OMB Circular 
A-87, attachment A, section F; contributions of resources to pay for 
anticipated operations and maintenance costs of the proposed project; 
and, in the cases of expansions to existing facilities, the value of 
the existing facility.
    To be considered for point award, firm and projected commitments 
must be demonstrated at the time of application.
    To demonstrate the commitment of tribal resources, the application 
must contain a council resolution or legal equivalent that identifies 
and commits the tribal resources to the project, subject to approval of 
the ICDBG assistance and favorable outcome of any environmental review 
required under 24 CFR part 58 for the project.
    To demonstrate the commitment of public agency, foundation, or 
other private party resources, a letter of commitment, memorandum of 
understanding, and/or agreement to participate, including any 
conditions to which the contribution may be subject, must be submitted 
with the application. 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 method for valuation, and the 
purpose of that resource within the proposed project. The commitment 
must be signed by an official of the organization legally authorized to 
make commitments on behalf of the organization and must be conditional 
upon favorable outcome of any environmental review required under 24 
CFR part 58 for the project.
    HUD recognizes that in some cases, firm commitments of non-tribal 
resources may not be obtainable by your tribe by the application due 
date. For such projected resources, your application must include a 
statement from the contributing entity that describes why the firm 
commitment cannot be made at the current time and affirms that your 
tribe and the proposed project meets eligibility criteria for receiving 
the resource. In addition, a date by which the funding decisions will 
be made must be included. This date cannot be more than six months from 
the anticipated date of grant approval notification by HUD. Should HUD 
not receive notification of the firm commitment within 6 months of the 
date of grant approval, HUD will recapture the grant funds approved and 
will use them in accordance with the requirement of 24 CFR 1003.102.
    In addition to the above requirements, for all contributions of 
goods, services and land, you must demonstrate that the donated items 
are necessary to the actual development of the project and include 
comparable costs (or time estimates, if appropriate) that support the 
donation. Land valuation must be established using one of the following 
methods and the documentation must be contained in the application: a 
site specific appraisal no more than two years old; an appraisal of a 
nearby comparable site also no more than two years old; or a reasonable 
extrapolation of land value based on current area realtor value guides.

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

    This factor addresses the extent to which your project planning and 
proposed implementation reflect a coordinated, community-based process 
of identifying and addressing needs.
    Your application includes a tribal resolution stating that the 
proposed project is included in an adopted comprehensive community 
plan. In the case of new housing, housing rehabilitation, land 
acquisition projects, and homeownership assistance projects, the 
NAHASDA Indian Housing Plan may be considered a comprehensive community 
plan. The resolution must identify the title and approval date of the 
plan and indicate how project implementation will be coordinated with 
tribal and other efforts directed towards addressing the identified 
needs. (5 Points)
    Your application documents active participation in tribal planning 
efforts to coordinate your proposed project, but the project is not 
included in an adopted comprehensive community plan. (3 Points)
    Your application contains no documentation regarding the inclusion 
of the project in a comprehensive community plan or planning process. 
(0 Points)

VI. Application Submission Requirements

    (A) Demographic data. You may submit data that are unpublished and 
not generally available in order to meet the requirements of this 
section. You must certify that:
    (1) Generally available, published data are substantially 
inaccurate or incomplete;
    (2) Data provided have been collected systematically and are 
statistically reliable;
    (3) Data are, to the greatest extent feasible, independently 
verifiable; and
    (4) Data differentiate between reservation and BIA service area 
populations, when applicable.
    (B) Publication of Community Development Statement. You must 
prepare and publish or post the community development statement portion 
of your application according to the citizen participation requirements 
of 1003.604.
    (C) Application Submission. Your application must contain the items 
listed below. You must also include the forms, standard forms, 
certifications, and assurances listed in the General Section of the 
SuperNOFA that are applicable to this funding and can be found in 
Appendix B to the General Section of the SuperNOFA. Those forms listed 
in that Appendix which are not applicable to this funding are: SF 424 
A--Standard Form for Budget Information--Non-Construction Programs; SP 
424-B--Standard Form for Assurances--Non-Construction Programs; SP 424 
C--Standard Form for Budget Information--Construction Programs; and, SP 
424 D--Standard Form for Assurances--Construction Programs. In 
addition, if the application has been submitted by a tribal 
organization as defined in 24 CFR 1003.5(b), on behalf of an Indian 
tribe, you must submit concurring resolutions from the Indian tribe 
stating that the tribal organization is applying on the tribe's behalf. 
The other required items are as follows:
    (1) Community Development Statement that includes:
    (a) Components that address the relevant selection criteria;
    (b) A brief description or an updated description of community 
development needs;
    (c) A brief description of projects proposed to address needs, 
including scope, magnitude, and method of implementing the project;

[[Page 11718]]

    (d) A schedule for implementing the project (form HUD-4125, 
Implementation Schedule); and
    (e) Cost information for each separate project, including specific 
activity costs, administration, planning, technical assistance, and 
total HUD share (form HUD-4123, Cost Summary);
    (2) Certifications (form HUD 4126);
    (3) A map showing project location, if appropriate;
    (4) If the proposed project will result in displacement or 
temporary relocation, a statement that identifies:
    (a) The number of persons (families, individuals, businesses, and 
nonprofit organizations) occupying the property on the date of the 
submission of the application (or date of initial site control, if 
later);
    (b) The number to be displaced or temporarily relocated;
    (c) The estimated cost of relocation payments and other services;
    (d) The source of funds for relocation; and
    (e) The organization that will carry out the relocation activities;
    (5) If applicable, evidence of the disclosure required by 24 CFR 
1003.606(e) regarding conflict of interest.
    (6) If applicable, the demographic data certification described in 
Section IV(B) of the NOFA. The data accompanying the certification must 
identify the total number of persons benefiting from the project and 
the total number of low-and-moderate persons benefiting from the 
project. Supporting documentation should include a sample copy of a 
completed survey form and an explanation of the methods used to collect 
the data, and a listing of incomes by household.

VII. Clarifying Information

    After the application due date, the ONAPs may not, consistent with 
24 CFR part 4, subpart B, consider unsolicited information from you. 
The ONAPs may, however, but is under no obligation to, contact you to 
clarify an item in the application. You should note, however, that the 
ONAPs may not seek clarification of items or responses that improve the 
substantive quality of the applicant's response to any eligibility or 
selection criterion. The ONAPs will make any requests for clarifying 
information in writing and will specify the item, or items, that need 
clarification and a timeframe for response. Failure on your part to 
provide such requested information will result in the rejection of the 
application.

VIII. Correction of Technical Deficiencies

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications. Additionally, as indicated under 
Section V(G) above, only successful applicants will be required to 
address technical deficiencies and this must be done before we make a 
grant award. If you do not provide the information necessary to address 
the deficiency within the time allowed, we will not award you the grant 
and will reject your application. The ONAPs will notify you in writing 
and will describe the technical deficiency, what must be done to 
correct it, and the date by which you must submit this information. The 
ONAPs will notify you by facsimile or by return receipt requested. Your 
response must be submitted (postmarked) by no later than the date 
established by the ONAPs. The ONAPs must provide you at least 14 
calendar days to respond to the request.

IX. Error and Appeals

    Judgments made within the provisions of this NOFA and the program 
regulations (24 CFR part 1003) are not subject to claims of error. You 
may bring arithmetic errors in the rating and ranking of applications 
to the attention of the ONAPs within 30 days of being informed of your 
score. If an arithmetic error was made in the application review and 
rating process that, when corrected, would result in the award of 
sufficient points to warrant the funding of an otherwise approvable 
project, the ONAPs may fund that project in the next funding round 
without further competition.

X. Environmental Requirements

    As required by 24 CFR 1003.605, ICDBG grantees must perform 
environmental reviews of ICDBG activities in accordance with 24 CFR 
part 58. Grantees may not commit or expend any ICDBG or nonfederal 
funds on project activities (other than those listed in 24 CFR 58.34 or 
58.35(b)) until HUD has approved a Request for Release of Funds and 
environmental certification submitted by the grantee. The expenditure 
or commitment of ICDBG or nonfederal funds for such activities prior to 
this HUD approval may result in the denial of assistance for the 
project or activities under consideration.

XI. Authority

    Title I of the Housing and Community Development Act of 1974 (42 
U.S.C. 5301 et seq.) and the regulations in 24 CFR part 1003.

Appendix A

    The non-standard forms, which follow, are required for your 
ICDBG application.
BILLING CODE 4210-32-P

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[[Page 11727]]

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. June 1, 2001.
    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 June 1, 2001, 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 
$6.4 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 the program to encourage structural change, both within an 
institution of higher education and in the way the institution 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, 1997, or 1998; you must never have 
received a New Directions Grant; and you must have drawn down (i.e., 
requests for reimbursement have been processed), 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 1999 and 2000 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 11728]]

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 that 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 202-502-7676 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.
    (4) Funds for stipends or salaries for students (but the program 
cannot cover

[[Page 11729]]

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 of 
the SuperNOFA and if the following additional standards are met:

[[Page 11730]]

    (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. Unless otherwise noted, New Grant 
applications and New Directions Grant applications will receive the 
same number of points on a given factor.

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 tied 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 complementary research is underway,

[[Page 11731]]

you need to describe how the proposed research agenda would complement 
it.
    (b) There is a clear outreach agenda:
    (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, representative of the communities' diversity (including 
businesses, community groups, residents, and others) 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 receive.
    (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 or Teacher 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. The bases for rating an application for this 
selection factor will be different, depending on whether the 
application is for a New Grant or a New Directions Grant.
    In reviewing this subfactor for a New Grant, HUD will consider the 
extent to which:
    (a) COPC activities relate to your institution's urban mission; 
demonstrate support and involvement of the institution's executive 
leadership; are

[[Page 11732]]

linked by a formal organizational structure to other units related to 
outreach and community partnerships; are reflected in budget and 
planning documents; 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 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.
    In reviewing this subfactor for a New Directions Grant, HUD will 
consider the extent to which your New Directions project will sustain 
the institutional capacity and commitment of your institution to 
undertake outreach activities. HUD will be looking for increases in the 
number of faculty undertaking this kind of work, increases in the 
number of courses linked to outreach activities and the number of 
students taking these courses, formal changes in institutional policies 
related to support of outreach, and other measures of the impact of 
this work on your institution.
    (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. Matching funds 
must be provided unconditionally in order to be counted for this 
factor.
    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 subfactors (1) 
and (3). 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) 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) 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) 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

[[Page 11733]]

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 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) Narrative statement addressing the Factors for Award in Section 
V(B). (50 page limit, including letters of commitment, tables and maps, 
but not including letters of matching commitments, the match 
calculation worksheet, and budget forms). (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 
FY 2001 the statement of work and the budget are now a part of Factor 
3, Soundness of Approach.
    (1) The Statement of Work incorporates all activities to be funded 
in your application and details how your proposed work will be 
accomplished. Following an activity and tasks under each activity 
format, your Statement of Work must:
    (a) 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.
    (b) Indicate the sequence in which the tasks are to be performed, 
noting areas of work which must be performed simultaneously.
    (c) 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.
    (c) Identify whether you propose to work in a Community Development 
Block Grant (CDBG) entitlement area or not.
    (2) Your budget presentation should be consistent with your 
Statement of Work and include:
    (a) Budget Form--The budget form (Form HUD-30003) should be used to 
prepare the budget.
    (b) A narrative explanation of how you arrived at your cost 
estimates, for any line item over $5,000.
    (c) A statement of your compliance with the 20% limitation on 
``Planning and Administration'' Costs.
    (d) 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).
    (e) An explanation of your compliance with the matching 
requirements (Form).
    (3) Your narrative response should be numbered in accordance with 
each factor and subfactor.
    (G) 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);
    (H) Acknowledgment of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (I) 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,

[[Page 11734]]

1992) (HCD Act of 1992). Section 801(c) of the HCD Act of 1992 
authorized $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 2001 HUD Appropriations Act continued the program beyond 
the initial five-year demonstration by providing funding for Community 
Outreach Partnership Centers for FY 2001.

Appendix A

    The non-standard forms, which follow, are required for your COPC 
application.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11748]]


      

[[Page 11749]]

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. June 1, 2001.
    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 June 1, 2001, 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 June 1, 
2001.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, HUD will ask the HBCU to 
identify which application it wants evaluated. If the HBCU does not 
respond within the stipulated period (see Section V of the General 
Section of this SuperNOFA), all of the applications received from the 
HBCU will be disqualified. 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 
Economic Development, Community Planning and Development, Department of 
Housing and Urban Development, 451 Seventh St, SW, Washington, DC 
20410; telephone (202) 401-6367. (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 
$1.5 million 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. Previously unfunded HBCUs are listed in 
Appendix B of this HBCU Program section of the SuperNOFA.
    The remaining approximately $8.5 million of FY 2001 funds will be 
awarded to HBCUs that have received funding under such competitions. 
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.
    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 
$500,000.
    (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,

[[Page 11750]]

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) 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.
    (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 
and Readiness for Undergraduate Programs (GEAR UP). (For more 
information regarding GEAR UP, call 202-502-7676 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.
    (4) 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

[[Page 11751]]

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.
    (5) 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%.
    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 (Davis-Bacon) 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 the OMB 
Circulars at the White House website at http://whitehouse.gov/wh/eop/omb/html/circulars.
    (E) Nondiscrimination. In addition to the fair housing and other 
civil rights assurances described under Section II (B) of the SuperNOFA 
General Section, applicants for the HBCU Program must comply with 
Section 109 of the Housing and Community Development Act of 1974, as 
amended. Implementing regulations for Section 109 are found under 24 
CFR part 570, including, but not limited to, reporting and record-
keeping requirements under 24 CFR 570.506 and 570.507.

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 applicants, 
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

[[Page 11752]]

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 commitment 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 (25 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 25 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 (20 Points for previously funded applicants) 
For previously funded HBCUs, the extent to which you have been 
successful with past HUD/HBCU projects. For each open HUD HBCU grant, 
you must submit copies of the last two progress reports and a 
performance narrative as outlined in Appendix D. In applying the rating 
for this subfactor, HUD will consider your performance, including 
meeting established target dates and schedules, and amount of funds 
drawdown.

Rating Factor 2: Need/Extent of the Problem (5 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 (State or local government'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 and its E-MAPS (www.hud.gov/emaps), 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 (45 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:
    (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 your proposed work activity 
triggers federal relocation laws, 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 with your local Community Planning and Development (CPD) 
Office.
    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 or Teacher Next Door'' Initiatives;
    (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

[[Page 11753]]

(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 (5 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 the HBCU's monetary commitment to continuing 
to work in the target area or other similar areas and to its 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 local HUD's Office of 
Community Planning and Development.

Rating Factor 4: Leveraging Resources (20 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 leveraging is twenty (20). 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 (5 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 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) 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) 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) 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 follow the General Section of the

[[Page 11754]]

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.
    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) Standard Form SF-4240, Assurances for Construction Programs.
    (4) Form HUD-HUD-50070, Certification for a Drug-Free Workplace.
    (5) 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).
    (6) Form HUD-2880, Applicant/Recipient Disclosure Update Report.
    (7) 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).
    (8) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan; and
    (9) 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.

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 1991-2000
C  Historically Black Colleges and Universities Previously Funded By 
HUD During Fiscal Years 1991-2000
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, 600 Beacon Parkway West, Suite 300, 
Birmingham, AL 35209-3144, 205-290-7630 ext. 1027
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, 404-331-5001 ext. 2449
Ben Cook, 601 West Broadway, PO Box 1044, Louisville, KY, 40201-
1044, 502-582-6163 ext. 214
Gregory Hamilton, Hale Boggs Federal Building, 501 Magazine Street, 
9th Floor, New Orleans, LA 70130-3099, 504-589-7212 ext. 3047
Joseph O'Connor, City Crescent Building, 10 South Howard Street, 5th 
Floor, Baltimore, MD 21201-2505, 410-962-2520 ext. 3071
Raymond Perry, Acting, Patrick V. McNamara Federal Building, 477 
Michigan Avenue, Detroit, MI 48226-2592, 313-226-7908 ext. 8055
Emily Eberhardt, Doctor A. H. McCoy Federal Building, 100 West 
Capitol Street, Room 910, Jackson, MS 39269-1096, 601-965-4700 ext. 
3140
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 ext. 2136
Carmen R. Cabrera, New San Juan Office Building, 159 Carlos E. 
Chardon Avenue, San Juan, PR 00918-0903, 787-766-5576 ext. 2005
Lana Vacha, 200 North High Street, Columbus, OH 43215-2499, 614-469-
5737 ext. 8240
David Long, 500 West Main Street, Suite 400, Oklahoma City, OK 
73102, 405-553-7569
Joyce Gaskins, The Wanamaker Building, 100 Penn Square East, 
Philadelphia, PA 19107-3380, 215-656-0624 ext. 3201

[[Page 11755]]

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, 865-545-4391 ext. 121
Katie Worsham, 801 Cherry Street, Fort Worth, TX 76102, 817-978-5951
John T. Maldonado, Washington Square, 800 Dolorosa Street, San 
Antonio, TX 78207-4563, 210-475-6820 ext. 2293
Carlos Renteria, The 3600 Centre, 3600 West Broad Street, Richmond, 
VA 23230-4920, 804-278-4503 ext. 3229
Ronald J. Herbert, 820 First Street NE, Suite 450, Washington, DC 
20002-4205, 202-275-0994 ext. 3163
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 ext. 2223

Appendix B--Historically Black Colleges and Universities Previously 
Unfunded By HUD During Fiscal Years 1991-2000

Alabama

Concordia College
Fredd State Technical College
Selma University
Trenholm State Technical College

Arkansas

Delaware

Delaware State University

Florida

Florida Memorial College

Georgia

Morehouse School of Medicine
Paine College

Louisiana

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

Ohio

Wilberforce University

Pennsylvania

Cheyney University of Pennsylvania

South Carolina

Clinton Junior College
Denmark Technical College
Morris College

Tennessee

Knoxville College
Lane College

Texas

Jarvis Christian College
Southwestern Christian College

Virginia

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 1991-2000

Alabama

Alabama A&M University
Alabama State University
Bishop State Community College
Gadsden State Community College
J.F. Drake Technical College
Lawson State Community College
Miles College
Oakwood College
Stillman College
Talladega College
Tuskegee University

Arkansas

Arkansas Baptist College
Philander Smith College
Shorter College
University of Arkansas at Pine Bluff

District of Columbia

Howard University
University of the District of Columbia

Florida

Bethune-Cookman College
Edward Waters 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

Dillard
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

Barber-Scotia College
Bennett College
Elizabeth City State University
Fayetteville State University
Johnson C. Smith University
North Carolina A&T State University
North Carolina Central University
St. Augustine's College
Shaw University
Winston-Salem State University

Ohio

Central State University

Oklahoma

Langston University

Pennsylvania

Lincoln University

South Carolina

Allen University
Benedict College
Claflin College
South Carolina State University
Voorhees College

Tennessee

Fisk University
Lemoyne-Owen College
Meharry Medical College
Tennessee State University

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
Virginia Union University

West Virginia

West Virginia State University

Appendix D

    The non-standard forms, which follow, are required for your HBCU 
application.

BILLING CODE 4210-32-P

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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. June 1, 2001.
    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 June 1, 2001 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/grants.
    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 [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/grants.

II. Amount Allocated

    Approximately $6.5 million in FY 2001 funds is being made available 
under this SuperNOFA for HSIAC.
    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 (P.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 2000. If you received an HSIAC grant in FY 
1999, you may reapply as long as: (1) you propose an entirely new 
project for a different activity;
    (2) you propose a different project director; and (3) you have 
drawn down at least 75% of your previous grant by the application due 
date.
    (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

[[Page 11772]]

    (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 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 202-708-1537, extension 5918 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 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) 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 202-502-7676 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

[[Page 11773]]

institution (for both direct and indirect costs);

Federal, 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 (Davis-Bacon) 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.
    (5) Nondiscrimination. In addition to the fair housing and other 
civil rights assurances described under Section II (B) of the SuperNOFA 
General Section, you must comply with Section 109 of the Housing and 
Community Development Act of 1974, as amended. Implementing regulations 
for Section 109 are found under 24 CFR 570, including, but not limited 
to, reporting and record-keeping requirements under 24 CFR 570.506 and 
570.507.

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 and meet the other eligibility 
requirements under Section III(B) of this program NOFA;
    (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) This factor includes your 
statement of work and budget.
    (a) Specific Services and/or Activities (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 (particularly through an committee, 
representative of the target community, to guide the project); and

[[Page 11774]]

    (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) Work Plan Impact (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 involve your students and 
faculty, as part of their coursework in outreach and applied research 
activities. HUD's goal is to encourage you to fund activities similar 
to those eligible under the COPC program to be undertaken as a 
complement to those proposed in your HSIAC application. For more 
information about the COPC program, you can look at the University 
Partnerships Clearinghouse web site at http://www.oup.org/techassist/copc/techcopc.html.
    (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 or Teacher 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; 
demonstrate support and involvement of the institution's executive 
leadership; are linked by a formal organizational structure to other 
units related to outreach and community partnerships; are reflected in 
budget and planning documents; 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. If you have previously received an HSIAC 
grant, you must describe the progress your institution has made since 
you received the HSIAC grant in institutionalizing your project 
activities.
    (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.

[[Page 11775]]

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 
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 subfactors (1) 
and (3).
    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 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) 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 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) Narrative Statement Addressing the Factors for Award. (50 page 
limit, including tables, and maps, but not including any letters of 
commitment and budget forms) (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 FY 2001, 
the statement of work and the budget are now part of Factor 3, 
Soundness of Approach.
    (1) The Statement of Work incorporates all activities to be funded 
in your application and details how your proposed work will be 
accomplished. For each proposed activity, your Statement of Work must:
    (a) 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.
    (b) 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.
    (c) 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.
    (2) The budget presentation should be consistent with the Statement 
of Work and include:
    (a) 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.
    (b) 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

[[Page 11776]]

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.
    (c) A statement of compliance with the 20 percent limitation on 
``Planning and Administration'' costs.
    (3) Your narrative statement addressing the factors for award 
should address all factors for award. You should number the narrative 
in accordance with each factor and subfactor. (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 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.)
    (G) 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);
    (H) Acknowledgment of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (I) 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 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 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, 1999.

VIII. Authority

    This program was approved by the Congress under the section 107 of 
the CDBG appropriation for Fiscal Year 2001, as part of the FY 2001 HUD 
Appropriations Act. HSIAC is being implemented through this program 
section of the SuperNOFA and the policies governing its operation are 
contained herein.

Appendix A

    The non-standard forms, which follow, are required for your 
HSIAC application.
BILLING CODE 4210-32-P

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[[Page 11781]]

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 $3 million, plus $1.2 million in 
previously unexpended funds, 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. June 1, 2001.
    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 June 1, 2001, 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 [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 $3 million in FY 2001 funds and $1.2 million in 
previously unexpended funds is being made available under this 
SuperNOFA for AN/NHIAC. Of this amount, $2.1 million is being made 
available for Alaska Native institutions (ANIs) of higher education and 
$2.1 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 $400,000. The maximum amount which 
can be requested and awarded for a particular Native Hawaiian 
institution of higher education is $2 million with each application 
composed of no more than five separate projects, each in a different 
neighborhood. Each separate project can be for no more than $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 are 
an ANI and submit an application requesting more than $400,000 in HUD 
funds, it will be ruled ineligible. If you are an NHI and you submit an 
application for more than $2 million, it will be ruled ineligible. If 
you are an NHI and you submit an application in which you request more 
than $400,000 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

[[Page 11782]]

students. If you are a Native Hawaiian institution of higher education, 
in order to meet this definition at least 10 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 received a grant in FY 2000, you are 
not eligible to submit an application in FY 2001. If you are an NHI and 
received a grant in FY 2000, you are not permitted to submit an 
application for the same project in a different neighborhood, another 
project in the same neighborhood, or another project with the same 
project director as the project funded in FY 2000.
    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 $400,000 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 five separate projects, each in a different neighborhood, with each 
project requesting no more than $400,000. 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 loan 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 202-708-1537, extension 5918 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 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:

[[Page 11783]]

    (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 202-502-7676 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 (Davis-Bacon) 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.
    (5) Nondiscrimination. In addition to the fair housing and other 
civil rights assurances described under Section II (B) of the SuperNOFA 
General Section, you must comply with Section 109 of the Housing and 
Community Development Act of 1974, as amended. Implementing regulations 
for Section 109 are found under 24 CFR 570, including, but not limited 
to, reporting and record-keeping requirements under 24 CFR 570.506 and 
570.507.

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 and meet the other eligibility 
requirements in Section III(B) of this program NOFA;
    (2) If you are an ANI, you request a Federal grant of $400,000 or 
less over the two-year grant period; or
    (3) If you are an NHI, you request a Federal grant of $2 million or 
less over the two year grant period composed of no more than five 
separate projects, each in a different neighborhood, and each of no 
more than $400,000.
    (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;

[[Page 11784]]

    (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 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) Specific Services and/or Activities (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 (particularly through a committee, 
representative of the target community, to guide the 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) Work Plan Impact (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 involve your students and 
faculty, as part of their coursework in outreach and applied research 
activities. HUD's goal is to encourage you to fund activities similar 
to those eligible under the COPC program to be undertaken as a 
complement to those proposed in your AN/NHIAC application.
    (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 or Teacher 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; 
demonstrate support and involvement of the institution's executive 
leadership; are linked by a formal organizational structure to other 
units related to outreach and community partnerships; are reflected in 
budget and planning documents; are part of a climate that rewards 
faculty work on these kinds of activities through promotion and tenure; 
benefits students because they are part

[[Page 11785]]

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 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 
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 subfactors (1) 
and (3).
    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 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) 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 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.

[[Page 11786]]

    (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 three 
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) Narrative Statement Addressing the Factors for Award. (If you 
are an ANI, there is a 50 page limit including tables and maps, but not 
including any letters of commitment or budget forms.; If you are an 
NHI, there is a 50 page limit for each separate project, including 
tables and maps, but not including any letters of commitment or budget 
forms, with each project responding to all of the Narrative Statement 
Addressing the Factors for Award Requirements) (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 FY 2001, the statement of work and the budget are now 
part of Factor 3, Soundness of Approach.
    (1) The Statement of Work incorporates all activities to be funded 
in your application and details how your proposed work will be 
accomplished. For each proposed activity, your Statement of Work must:
    (a) 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.
    (b) 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.
    (c) 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.
    (2) The budget presentation should be consistent with the Statement 
of Work and include:
    (a) 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.
    (b) 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.
    (c) A statement of compliance with the 20 percent limitation on 
``Planning and Administration'' costs.
    (3) Your narrative statement addressing the factors for award 
should address all factors for award. You should number the narrative 
in accordance with each factor and subfactor. Please do not repeat 
material in the Statement of Work.
    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.
    (G) 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);
    (H) Acknowledgment of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.
    (I) 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

[[Page 11787]]

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 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.

VIII. Authority

    This program was approved by Congress under the section 107 of the 
CDBG appropriation for fiscal year 2001, as part of the FY 2001 HUD 
Appropriations Act. AN/NHIAC is being implemented through this program 
section of the SuperNOFA and the policies governing its operation are 
contained herein.

Appendix A

    The non-standard forms, which follow, are required for your AN/
NHIAC application.
BILLING CODE 4210-32-P

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[[Page 11793]]

FUNDING AVAILABILITY FOR THE FAIR HOUSING INITIATIVES PROGRAM 
(FHIP)

Program Overview

    Purpose of the Program. To increase compliance with the Fair 
Housing Act (the Act) and with substantially equivalent State and local 
fair housing laws.
    Available Funds. Approximately $16.5 million is allocated to three 
(3) Initiatives as follows:
    A. Private Enforcement Initiative (PEI) $10.5 million.
    B. Education and Outreach Initiative (EOI) $3.9 million.
    C. Fair Housing Organizations Initiative (FHOI) $2.1 million.
    Eligible Applicants. Eligibility requirements are described in 
detail under each of the funded Initiatives and Components, set forth 
below, and eligible applicants may include: Qualified Fair Housing 
Organizations (QFHOs); Fair Housing Enforcement Organizations (FHOs); 
public or private, for-profit or not-for-profit organizations or 
institutions, or other public or private entities that are working to 
prevent or eliminate discriminatory housing practices; State and local 
governments or their agencies; and Fair Housing Assistance Program 
(FHAP) agencies (as defined in Section IV of this program section).
    Application Deadline. May 2, 2001.
    Match: No matching funds are required for the Education and 
Outreach or Private Enforcement Initiatives. However, sponsored 
organizations under the Fair Housing Organizations Initiative (FHOI) 
must meet the requirements described in Section IV (D)(1)(a) below.

Additional Information

    If you are interested in applying for funding under the Fair 
Housing Initiatives Program (FHIP), please review carefully the General 
Section of this SuperNOFA, the FHIP Authorizing Statute (Sec. 561 of 
the Housing and Community Development Act of 1987, as amended) and the 
FHIP Regulations (24 CFR 125.103-501).

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

    Application Due Date. You must submit completed applications for 
all Initiatives and Components by 12 midnight, Eastern time, on or 
before May 2, 2001, 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 application consists of 
an original signed application form (SF 424) and all items listed in 
the Checklist (See Appendix B). Submit your completed application (one 
original and five copies) to: FHIP SuperNOFA 2001 [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 at the front top left corner 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. 
Applicants for more than one Initiative or Component must submit a 
separate signed original and five copies for each Initiative or 
Component.
    For Further Information and Technical Assistance. You may contact 
Myron P. Newry of the FHIP Division, at 202-708-0800 (this is not a 
toll-free number). Persons with hearing or speech impairments may 
contact the 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 
preparing applications. For more information about the date and time of 
this broadcast, you should consult the HUD web site http://www.hud.gov/grants.

II. Amounts Allocated

    In Fiscal Year 2001, $24.0 million was appropriated for the Fair 
Housing Initiatives Program. Approximately $16.5 million is being made 
available on a competitive basis to eligible organizations responding 
to this SuperNOFA. The remaining approximately $7.5 million has been 
designated for the National Housing Discrimination Audit 2001.
    The amount available for each Initiative or 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 $10.5 
million is allocated; award cap is $250,000; project duration is 12 
months.
    (B) Education and Outreach Initiative (EOI). Approximately $3.9 
million is allocated to the Regional/Local/Community-Based Program; 
award cap is $100,000; project duration is 12 months; applications will 
be submitted to the following Components:
    (1) EOI-General Component. Approximately $3.1 million is allocated.
    (2) EOI-Disability Component. Approximately $800,000 is allocated.
    (C) Fair Housing Organizations Initiative (FHOI). Approximately 
$2.1 million is allocated; project duration is three years. Award caps 
are as follows:
    Year 1: $350,000; no more than 15 percent of the award may be used 
by the sponsoring organization for its administrative costs,
    Year 2: $350,000; no more than 15 percent of the award may be used 
by the sponsoring organization for its administrative costs,
    Year 3: $350,000; no more than 15 percent of the award may be used 
by the sponsoring organization for its administrative costs.

III. Program Description; Eligible Applicants; Eligible Activities

    Changes to this year's NOFA. This year's FHIP NOFA is substantially 
different from previous years. The project duration for PEI and EOI 
awards is 12 months, and three years for FHOI. No FY 2001 funds have 
been allocated to the EOI-National Program. The instances where the 
Selecting Official may exercise discretionary authority to select 
applications out of rank order in each Initiative or Component have 
been revised as well: (a) the funding diversity provision has been 
eliminated; and (b) the geographic diversity provision, if applied, 
will be used to ensure that, to the extent possible, awards from each 
Initiative or Component will be distributed across more states. Changes 
also have been made in how the applications are rated. For example, up 
to five points will be awarded to applications where the applicant and 
proposed activities are located in areas not served by a State or local 
agency that participates in the Fair Housing Assistance Program (FHAP). 
In addition, under PEI and FHOI, points will be deducted if 
organizations that have received FHIP funding to conduct enforcement-
related activities have not complied with the program requirements 
regarding mandatory referrals and reimbursement of the federal 
government for compensation resulting from FHIP-funded enforcement 
activity.
    Other Changes. There is no Application Kit; however, a hard copy of 
the Housing Counseling and this Program NOFA and necessary forms will 
be available from the SuperNOFA Information Center at www.HUD.gov/grants. We believe the NOFA more

[[Page 11794]]

clearly describes the requirements for completing a successful 
application; all of the forms and certifications needed to complete 
your application are included in the General and FHIP Sections of the 
SuperNOFA. [Additional clarification is provided in Appendix A, Most 
Frequently Asked Questions]
    Bonus Points: The SuperNOFA provides for the award of up to two 
bonus points for eligible activities/projects that the applicant 
proposes be located in federally designated Empowerment Zones (EZs), 
Enterprise Communities (ECs), Urban Enhancement 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 ``EZ/ECs'' and residents of these 
federally designated areas as EZ/EC residents). This NOFA contains a 
certification which must be completed for the applicant to be 
considered for EZ/EC bonus points. A list of EZs, ECs, EECs and 
Strategic Planning Communities is available from the SuperNOFA 
Information Center, through the HUD web site at http://www.hud.gov/grants, and is included in the Appendix to the General Section of the 
SuperNOFA.
    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 the 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 to the U.S. District Court 
for the Northern District of Texas, Dallas, Division. (This Section is 
limited to applications submitted by the City of Dallas).
    Program Description. The Fair Housing Initiatives Program (FHIP) 
assists fair housing activities that increase compliance with the Fair 
Housing Act (the Act) and with the substantially equivalent fair 
housing laws administered by state and local government agencies (FHAP 
agencies). All activities funded under this NOFA must support the 
Department's goal to increase its enforcement actions. Applications 
selected for funding under EOI will support this goal by developing a 
complaint referral process that should result in referrals to HUD of 
credible, legitimate fair housing claims and other information 
regarding discriminatory housing practices. Applications selected for 
funding under PEI and FHOI must support this goal by complying with the 
Mandatory Referral requirement described in Section IV.
    Activities that are not eligible for funding. You are reminded to 
read carefully the eligibility requirements for each Initiative and 
Component. Although all applications selected for funding under this 
NOFA must contribute to HUD's enforcement goal, enforcement-related 
activities are not eligible for funding under EOI and there is a limit 
on the amount of education-related activities that can be funded in an 
enforcement grant (PEI or FHOI). No awardee may use FHIP funds to 
settle a claim, satisfy a judgment, or fulfill a court order in any 
defensive litigation.
    Underserved Populations. Immigrant populations (especially racial 
and ethnic minorities who are not English-speaking) are increasingly 
responsible for new household formations in the United States, and they 
often face formidable barriers because of discriminatory housing 
practices. Congress has 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 services be 
directed to these immigrant populations and to the specific types of 
discrimination they may encounter. All applicants are encouraged to 
address the fair housing needs of these populations as follows:
    EOI and PEI. In a tie-breaking situation, applications that list a 
specific example or examples of the outreach that will be conducted to 
advise immigrant and other underserved populations, as defined in 
Section IV, below, of the services offered by the project will be 
ranked higher than applications that do not. It is not sufficient to 
merely assert you will conduct outreach to these populations.
    FHOI. HUD has determined that rural areas and areas with immigrant 
populations (especially racial and ethnic minorities who are not 
English speaking) are underserved. HUD has targeted for funding 
priority those projects which serve rural and immigrant populations 
that contain large concentrations of persons protected under the Act 
where either no public or private fair housing enforcement organization 
exists or the jurisdiction is not sufficiently served by one or more 
public or private fair housing enforcement organizations. HUD expects 
to select one application that covers a rural area (see definition in 
Section IV (17) below) and one in an area with large concentrations of 
individuals who fall within one or more categories protected under the 
Act who are immigrants (especially racial and ethnic minorities who are 
not English speaking).
    (A) Private Enforcement Initiative (PEI). This Initiative assists 
private, tax-exempt 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. As 
a condition of funding, you will be required to refer to HUD all cases 
arising from FHIP-funded enforcement activities (see Mandatory 
Referrals, Section IV below).
    (1) Eligible Applicants. Eligible applicants are fair housing 
enforcement organizations (FHOs) with at least one year of experience 
in complaint intake, complaint investigation, testing for fair housing 
violations, and meritorious claims in the two years prior to the filing 
of this application (see, 24 CFR 125.401(b)(2) and qualified fair 
housing enforcement organizations (QFHOs) with at least two years of 
enforcement-related experience, as noted above, within the three years 
prior to filing this application, see 24 CFR 125.103. You must certify, 
in the Statement of Eligibility that you submit with this application, 
that your organization is an FHO or a QFHO and document in the 
Statement of Eligibility that your organization has the required one or 
two years of enforcement-related experience. If you fail to submit the 
completed Statement of Eligibility, your application will be declared 
ineligible. You are required also to submit with your application a 
copy of your Letter of Determination from the Internal Revenue Service 
(IRS) in support of your 501(c)(3) tax-exempt status. However, failure 
to provide this document with your application is a technical 
deficiency and you will have 14 days to provide the requested 
information (see Section V of the General Section of the SuperNOFA). If 
you do not provide the requested tax-exempt documentation within the 
prescribed timeframe, your application will be declared ineligible. You 
are not eligible if you are currently receiving PEI General Component 
funding

[[Page 11795]]

awarded to you under a previous NOFA, and, your grant agreement expires 
after June 30, 2002.
    Eligibility of Successor Organization. HUD recognizes that QFHOs 
and FHOs may merge with each other or other organizations. The merger 
of a QFHO or an FHO with a new organization, that has a separate 
Employer Identification Number (EIN), does not confer QFHO or FHO 
status upon the successor. To determine whether the successor 
organization meets the eligibility requirements for this Initiative, 
HUD will look at the enforcement-related experience of the successor 
organization (based upon the successor organization's EIN). The 
successor organization is not eligible to apply under this Initiative 
unless it establishes in the Statement of Eligibility that it is a 
private, tax-exempt organization with the requisite two years for a 
QFHO or one year experience for an FHO.
    (2) Eligible Activities include:
    (a) 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;
    (b) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (c) Mediation or other voluntary resolution of allegations of fair 
housing discrimination after a complaint has been filed; and
    (d) Costs and expenses of litigating fair housing cases, including 
expert witness fees.
    (B) Education and Outreach Initiative (EOI). This Initiative 
assists projects that inform and educate the public about the rights 
and obligations under the Act and substantially equivalent State and 
local fair housing laws. Under this Initiative, you must develop a 
complaint referral process so that activities funded under this 
Initiative will result in referrals to HUD of credible, legitimate fair 
housing claims and other information regarding possible discriminatory 
housing practices. HUD is not soliciting EOI National Program 
applications under this program NOFA. Applications are solicited for 
the EOI-Regional/Local/Community-Based Program only--where activities 
are conducted on a regional/local/community-based level. You may submit 
your application as a General Component or a Disability Component, 
depending upon its focus. These Components are explained below.
    (1) Eligible Applicants. Eligible applicants are QFHOs; FHOs (under 
this Initiative an FHO need not have engaged in enforcement-related 
activity for at least one year, see 24 CFR 125.103); public or private, 
for-profit or not-for-profit organizations or institutions and other 
public or private entities that are formulating or carrying out 
programs to prevent or eliminate discriminatory housing practices (this 
category includes entities that will be established as a result of 
receiving an award under this FHIP NOFA); State or local governments or 
their agencies; and agencies that participate in the Fair Housing 
Assistance Program (see the list of FHAP agencies at Appendix C). If 
you are a disability advocacy group or traditional civil rights 
organization, you are encouraged to apply under this Initiative.
    (2) Eligible Activities. The following are eligible activities for 
either Component: 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 Act. 
When conducting your outreach activities, we encourage the use of 
existing, locally or nationally available fair housing materials; 
except that you may modify those existing materials in languages other 
than English or Braille.
    Disability Component. Applications that have a special focus on the 
fair housing needs of persons with disabilities, so that persons with 
disabilities, housing providers and the general public better 
understand the rights and obligations under the Act and more fully 
appreciate the forms of housing discrimination that persons with 
disabilities may encounter, should submit their applications to the an 
EOI-Disability Component. Although the Component has a disability 
focus, the funded activities must provide education and outreach to all 
persons protected under the Act.
    General Component. Applications for all other fair housing 
education and outreach activities should be submitted to the EOI-
General Component.
    (C) Fair Housing Organizations Initiative (FHOI). This Initiative 
provides assistance to projects that build the capacity of 
organizations to become viable fair housing enforcement organizations 
that conduct fair housing enforcement activities in underserved areas 
(as defined in Section IV) with large concentrations of persons 
protected by the Act. This is accomplished with the assistance of a 
sponsoring organization. It is the sponsoring organization that submits 
the application under this Initiative. The sponsored organization whose 
enforcement capacity is enhanced by funding under this Initiative, will 
be allowed to participate in this Initiative for three years contingent 
upon annual performance reviews. Funds are allocated under this NOFA 
for three years, and may be distributed to the sponsored organization 
by the sponsoring organization. The sponsoring organization may receive 
administrative cost as described below. HUD has targeted for funding 
under this Initiative, projects that will provide fair housing 
enforcement services to rural areas or to areas with large 
concentrations of individuals who fall within one or more categories 
protected under the Act who are immigrants (especially racial and 
ethnic minorities who are not English speaking).
    (1) Eligible Applicants. Only the sponsoring organization is 
eligible to apply under this Initiative. The sponsoring organization 
must be a qualified fair housing enforcement organization (QFHO) with 
at least two years of experience in complaint intake, complaint 
investigation, testing for fair housing violations, and meritorious 
claims in the three years prior to the filing of this application, as 
defined at 24 CFR 125.103. You must certify in the Statement of 
Eligibility that you submit with this application that your 
organization is a QFHO. If you fail to submit the completed Statement 
of Eligibility, your application will be declared ineligible. You are 
also required to submit a copy of your IRS tax-exempt status with your 
application. However, failure to provide this document with your 
application is a technical deficiency, and you will have 14 days to 
provide the requested information (see Section V of the General Section 
of the SuperNOFA). If you do not provide the requested tax-exempt 
documentation within the prescribed timeframe, your application will be 
declared ineligible.
    Eligibility of Successor Organization. HUD recognizes that a QFHO 
may merge with one or more organizations. The merger of a QFHO into a 
new organization, that has a separate Employer Identification Number 
(EIN), does not confer QFHO status upon the successor organization. To 
determine whether the successor organization meets the eligibility 
requirements for this Initiative, HUD will consider the enforcement-
related experience of the successor organization (based upon the 
successor organization's EIN). The

[[Page 11796]]

successor organization is not eligible to apply under this Initiative 
unless it can establish that it is a private, tax-exempt organization 
with the requisite two years experience of a QFHO.
    (2) Eligible Activities. The proposed activities must build the 
enforcement capacity of the sponsored organization so that it can 
undertake all of the following activities by the conclusion of year 
three of the grant cycle:
    (a) 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;
    (b) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (c) Mediation or other voluntary resolution of allegations of fair 
housing discrimination after a complaint has been filed; and
    (D) Costs and expenses of litigating fair housing cases, including 
expert witness fees.
    (3) Administrative Costs for the Sponsoring Organization. The 
sponsoring organization may use no more than 15 percent of the annually 
awarded funds to cover its costs to administer the grant.

IV. Program Requirements

    (A) Requirements For All Initiatives. In addition to the Civil 
Rights Threshold requirements in Section II(B) of the General Section 
of this SuperNOFA, you must also meet the following requirements:
    (1) All FHIP-funded projects must address housing discrimination 
based upon race, color, religion, sex, disability, familial status, or 
national origin.
    (2) 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 levels of the 
performance measures that you plan to achieve. Your application also 
must contain a strategy for generating project products, with related 
timelines and milestones. If selected for funding, your final 
performance measures and products will be negotiated between you and 
HUD as part of your executed grant agreement.
    (3) Reports and Meetings on Performance Measures and Products. 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. In your final grant report, you must describe the status 
of performance measures in a spreadsheet format or other manner 
specified by the Department.
    (4) Single Award Limitation/Preference Must Be Stated. You may 
submit applications under all Initiatives and Components but you will 
receive only one grant with the exception that successful FHOI 
applicants may receive a grant award under one of the other 
Initiatives. If you submit more than one application for funding, you 
must clearly state your preference in two places in each application 
you submit: (i) The Transmittal Letter and (ii) the Cover Page. If you 
are selected for funding in more than one Initiative or Component, the 
Selecting Official may honor your preference if it is in the best 
interests 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.
    (5) Independence of Awards. HUD will review each application 
separately and without reference to other applications submitted by you 
or others. Although there is no limit 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 submitted by you or other applicants.
    (6) Project Starting Period. For planning purposes, assume a start 
date no later than September 30, 2001.
    (7) Page Limitation and Formatting Requirements. The narrative 
response for each of the five Factors for Award is limited to ten pages 
per factor (this page limit does not include attachments or documents, 
which also should be numbered, that are required under each factor). 
Narrative pages exceeding the ten-page limit, including unrequested 
items, such as brochures and news articles, will not be considered. The 
text must be double-spaced, and pages must be numbered consecutively 
(from the beginning of the Factor 1 narrative to the end of the Factor 
5 narrative). Please use Courier 12 as the typeface or font for your 
narrative responses. You should respond fully to each factor. Failure 
to provide narrative responses to all factors and omitting requested 
information will result in full points not being allocated under the 
Factors for Award, which may significantly affect your overall score.
    (8) Training Funds. All projects, except for FHOI, are 12-month 
projects. Your proposed budget must set-aside funds to participate in 
HUD-sponsored or approved training ($3,000 for EOI and PEI; and $6,000 
annually for FHOI). Requests to attend HUD-approved training must be 
submitted to the Governmental Technical Representative (GTR) for 
approval in advance of the requested training.
    (9) Payment Contingent on Completion. Payments are contingent on 
the satisfactory completion of your project activities and products as 
reflected in your grant or cooperative agreement.
    (10) 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).
    (11) 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.
    (12) Complaints Against Grantees. Complaints from the public 
against FHIP grantees should be forwarded to the Fair Housing and Equal 
Opportunity (FHEO) Hub Director in the region where the project is 
located (see Appendix C for list of FHEO Hub Directors). 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 to 
HUD of the funds received under the grant; or temporary or permanent 
denial of participation in the FHIP in accordance with 24 CFR part 24.
    (13) Avoiding Double Payments. If you are awarded funds under this 
SuperNOFA, you (and any subcontractor or consultant) may not charge or 
claim credit for the activities performed under this project to any 
other Federal project.
    (14) Ineligible Applications. Your application will be declared 
ineligible for any of the following reasons:
    (a) General Section Requirements and Procedures. If you do not meet 
the Civil Rights Threshold Requirements set forth in Section II (B) of 
the General Section of this SuperNOFA.
    (b) Debarment and Suspension. If you are presently debarred, 
suspended, proposed for debarment, declared

[[Page 11797]]

ineligible, or voluntarily excluded from covered transactions by any 
Federal debarment or agency.
    (c) Award Caps. If you request funding in excess of the maximum 
allowed under the Initiative or Component for which you are applying. 
Any amount over the award cap, even if less than one dollar, will be 
considered excessive. In addition, inconsistencies in the amount 
requested and/or miscalculations that result in amounts over the award 
caps will be considered excessive.
    (d) Research Activities. If your project is aimed solely and 
primarily at research, including but not limited to surveys or 
questionnaires.
    (e) Statement of Eligibility. Your application will be declared 
ineligible if you fail to submit the completed Statement of Eligibility 
with your application.
    (f) Ineligible PEI and FHOI Applicants. (i) If you are not a 
private, tax-exempt organization. You must submit a copy of the Letter 
of Determination from the Internal Revenue Service declaring your 
501(c)(3) tax-exempt status as a tax-exempt organization, with your 
application. This documentation should be readable and included as an 
attachment to your Statement of Eligibility. 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. (ii) If you do not conduct a broad-based and 
full-service enforcement project that addresses discrimination against 
all persons protected by the Fair Housing Act on the basis of race, 
color, religion, sex, disability, familial status, or national origin. 
(iii) If you are currently receiving PEI General Component funding 
awarded to you under a previous NOFA, and, your grant agreement expires 
after June 30, 2002.
    (15) Ineligible Activities.
    (a) Fair Housing and Free Speech. None of the amounts made 
available under this NOFA may be used to investigate or prosecute under 
the Act any activity engaged in by one or more persons, including the 
filing or maintaining of a non-frivolous legal action, that is 
protected by the First Amendment to the U.S. Constitution. This 
includes activities engaged in for the purpose of achieving or 
preventing action by a government official or entity.
    (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) Other Litigation. No recipient of assistance under this Program 
may use any funds provided by HUD to settle a claim, satisfy a 
judgment, or fulfill a court order in any defensive litigation.
    (16) Key Personnel. If your organization is selected for award, you 
must certify to HUD whether any key personnel have been convicted of a 
felony or crime involving fraud or perjury. In advising HUD, you must 
describe the type of conviction, the date entered and the penalty 
received and submit a copy of the report from the police or court 
documenting the conviction. Depending upon the facts, HUD may place 
special conditions upon the grant.
    (17) Definitions. The definitions that apply to this FHIP section 
of the SuperNOFA are as follows:
    Broad-based proposals are not limited to a single fair housing 
issue; instead, they cover multiple issues related to housing 
discrimination covered under the Act, such as: rental, sales and 
financing of housing. (See also Full Service Projects below).
    Disability advocacy groups mean organizations that traditionally 
have provided for the civil rights of persons with disabilities. This 
would include organizations such as Independent Living Centers, and 
cross-disability legal services groups. Organizations must be 
experienced in providing services to persons with a broad range of 
disabilities, including physical, cognitive, and psychiatric/mental 
disabilities. Organizations must demonstrate actual involvement of 
persons with disabilities throughout their activities, including on 
staff and board levels.
    Enforcement actions include investigations and charges issued under 
the 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 Act (42 U.S.C. 3631).
    Enforcement proposals are potential complaints under the Act that 
are timely, jurisdictional, and well-developed, that 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 mean State and 
local government agencies that administer laws substantially equivalent 
to the 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 the following enforcement-
related activities in your project application: interviewing potential 
victims of discrimination; analyzing housing-related issues; taking in 
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 mean 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(a) & (d).
    Rural Areas, according to 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 rural portions of extended cities in the United States as 
identified by the U.S. Census Bureau.
    (iv) Open country which is not part of or associated with an urban 
area. The United States Department of Agriculture (USDA) describes open 
country as a site separated by open space from any adjacent densely 
populated urban area. Open space includes undeveloped land, 
agricultural land, or sparsely settled areas, but does not include 
physical barriers (such as rivers or canals) public parks, commercial 
and industrial developments, small areas reserved for

[[Page 11798]]

recreational purposes, and open space set aside for future development.
    (v) Any place with a population not in excess of 20,000 and that is 
not located in a Metropolitan Statistical Area.''
    Traditional Civil Rights Organizations mean 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 Act or substantially 
equivalent State or local laws and that are engaged in programs to 
prevent or eliminate discriminatory housing practices.
    Underserved Areas mean jurisdictions that contain large 
concentrations of persons protected under the Act and where either no 
public or private fair housing enforcement organizations exist or the 
jurisdiction is not sufficiently served by one or more public or 
private enforcement fair housing organizations.
    Underserved Populations mean individuals who fall within one or 
more of the categories protected under the Act and who are also: (1) Of 
an immigrant population (especially racial and ethnic minorities who 
are not English-speaking), (2) in rural populations, (3) among the 
homeless, and (4) among persons with disabilities who 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) Additional Requirements For Private Enforcement Initiative 
(PEI) and Fair Housing Organizations Initiative (FHOI).
    (1) Mandatory Referrals. You must 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.
    (2) Outreach Expenses. The funds awarded for enforcement grants may 
be used for outreach and education activities (outreach activities) in 
order to promote awareness of your project's services, as follows: 
under FHOI, you may designate up to 10 percent of the requested funds 
for outreach activities; under PEI, you may designate up to 5 percent 
of the requested funds for outreach activities.
    (3) 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;
    (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.
    (4) Review and Approval of Testing Methodology. If your Statement 
of Work (SOW) proposes testing, other than rental testing, prior to 
your carrying out the testing activities, HUD reserves the right to 
require, as a product under the SOW, copies of the following documents 
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 materials to be provided to testers.
    The testing methodology and training materials that you submit to 
HUD for review and approval are for enforcement purposes and will 
remain confidential.
    (5) 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 your 
organization during the 12 month period following the test. This does 
not preclude providing training or technical assistance that is court 
ordered or contained in a negotiated settlement. HUD reserves the right 
to negotiate with awardees additional provisions addressing potential 
conflicts of interest.
    (b) You must reimburse the United States for FHIP-funded activities 
whenever you receive funds as the result of enforcement activities 
funded in whole or in part by the FHIP program, including testing. You 
must provide information about reimbursements and/or potential 
reimbursements in a report that you submit to HUD (see Reports below). 
To accomplish this, you must reimburse the United States for the FHIP-
funded activities in accordance with procedures set forth in your grant 
or cooperative agreement. This reimbursement requirement does not apply 
to compensation received as a result of a judgment in State or Federal 
court. For example:


FHIP grant $15,000 ($10,000 which is for testing: 20 tests @ $500 each).
  One test results in a $15,000 conciliation. Additional expenses paid
                       from non-FHIP funds: $100.
Amount of reimbursement to United States:                        $400.00
= $500 (Amt. of FHIP funds to conciliate)                     ..........
=============================================================
 


    (6) Reports. You must provide reports in a format (which may be 
computer-generated), at a frequency and with contents specified by HUD. 
At a minimum, the report must include the number and basis of claims/
complaints filed with HUD, a FHAP agency, or in Federal/State court and 
the number and terms of settlements or other outcomes achieved. In the 
event HUD does not prescribe a format or frequency, you will provide a 
narrative report within 90 days after all grant activities have ended. 
You do not have to produce the terms of settlements that a court or 
other tribunal orders be kept confidential. You will also be required 
to provide status reports on case referrals you have made to HUD or a 
FHAP agency. These reports are for enforcement purposes and will remain 
confidential.
    (7) Enforcement Log. You are required to record information about 
the funded project in a case tracking log (or Fair Housing Enforcement 
Log) in a format prescribed 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; the entity to which 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.
    (C) Additional Requirements For Education and Outreach Initiative. 
Complaint Referral Process: You must develop a process for referring 
complaints to HUD. HUD expects this complaint referral process will 
result in an increased number of referrals to HUD of credible, 
legitimate fair housing

[[Page 11799]]

claims and other information regarding discriminatory practices.
    (D) Additional Requirements For Fair Housing Organizations 
Initiative. Sponsored organization's viability and fair housing 
enforcement capacity. Over the duration of the grant, the sponsored 
organization must demonstrate its capacity to become a viable, fair 
housing enforcement organization that conducts fair housing-related 
enforcement activities and leverages non-FHIP resources. These are the 
performance measures that, if not met, may result in termination of the 
grant, and your description for achieving these measures will be 
considered when evaluating your application. We will look for this 
description in your response to Rating Factor 3: Soundness of Approach. 
Specifically:
    (a) Fair Housing-related enforcement activities. The sponsored 
organization must conduct all of these enforcement-related activities 
by the conclusion of year 3 of the grant: complaint intake, complaint 
investigation, testing for fair housing violations, and meritorious 
claims. Your application must identify which activities the sponsored 
organization will conduct at the end of the grant year 1, 2 and 3. Your 
performance measures will be based upon this description, and failure 
to meet them may result in termination of the grant.
    (b) Organizational resources. The sponsored organization must not 
rely exclusively on FHIP funding. At the conclusion of each grant year, 
the sponsored organization must show increasing support from sources 
other than what is awarded under this program. Specifically, at the 
conclusion of year 1, no less than 5% of the funds supporting the 
sponsored organization's fair housing enforcement-related activities 
must be funded from non-FHIP funds; at the conclusion of year 2, no 
less than 10% of the funds supporting the sponsored organization's fair 
housing enforcement-related activities must be from non-FHIP funds; and 
at the conclusion of year 3, no less than 20% of the funds supporting 
the sponsored organization's fair housing enforcement-related 
activities must be from non-FHIP funds. Your application must state how 
you will meet these requirements. Your performance measures will be 
based upon these requirements, and failure to meet them may result in 
termination of the grant.

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 Initiatives or Components:
    (1) Private Enforcement Initiative (PEI)
    (2) Education and Outreach Initiative (EOI)-Regional/Local/
Community-Based Program:
    a. General Component (EOI-GC)
    b. Disability Component (EOI-DC)
    (3) Fair Housing Organizations Initiative (FHOI)
    All eligible applications will be reviewed and points awarded based 
upon: (1) your narrative responses to the Factors for Award and (2) 
bonus points, if entitled. The maximum number of points to be awarded 
for the Factors for Award is 100. This SuperNOFA provides for the award 
of up to two bonus points for eligible activities/projects located in 
EZ/EC areas, if applicable. In addition, for applications submitted by 
the City of Dallas, Texas, HUD may add up to 2 more points to the score 
based on a special consideration from a court order as described in 
Section III of the General Section of this SuperNOFA). Applications 
with a score of seventy (70) points (bonus points are included in this 
score) or more will be considered of sufficient quality for funding. 
The Selecting Official will not select for award any application with a 
score below seventy (70) points. Generally, applications of sufficient 
quality for funding will be selected in rank order under each 
Initiative or Component. HUD reserves the right to select applicants 
out of rank order to achieve greater geographic distribution of awards 
under each Initiative or Component, as described in Section V (C) 
below. Selections under each Initiative or Component will continue to 
be made until either all allocated funds have been obligated or until 
no applications of sufficient quality remain.
    (B) Tie Breaking. PEI and EOI-General Component. When two or more 
applications have the same score, HUD will rank as higher the 
application that lists one or more examples of the outreach it will 
engage in to advise immigrant (especially racial and ethnic minorities 
who are not English-speaking) and other underserved populations, as 
defined in Section IV of this NOFA, of the services offered by the 
project. If applying this procedure does not break the tie, the 
application with the higher score under Rating Factor 3: Soundness of 
Approach will be ranked higher. If Rating Factor 3 does not break the 
tie, the application with the higher score under Rating Factor 1: 
Capacity of the Applicant and Relevant Organizational Experience will 
be ranked higher. If Rating Factor 1 does not break the tie, the 
application requesting the lower FHIP funding will be ranked higher.
    FHOI. When two or more applications have the same overall score, 
the application with the higher score under Rating Factor 3: Soundness 
of Approach will be ranked higher. If this does not break the tie, the 
application with the higher score under Rating Factor 1: Capacity of 
the Applicant and Relevant Organizational Experience will be ranked 
higher. If this does not break the tie, the application requesting the 
lower FHIP funding will be ranked higher.
    (C) Achieving Geographic Diversity of Awards. HUD reserves the 
right to select applications out of rank order to ensure that, to the 
extent possible, applications from more states for each Initiative or 
Component are selected for funding. If the Selecting Official exercises 
this discretion, it shall be applied to all qualified applications 
(applications of sufficient quality for funding `` applications that 
received a score of 70 or more points) in each Initiative or Component 
in which the Selecting Official applies geographic diversity. The 
geographic diversity provision will be applied as follows: when there 
are two or more applications of sufficient quality from the same state, 
the application(s) with the lower score(s) will be moved to the end of 
the qualified applicant queue. The applications moved to the end of the 
qualified applicant queue will retain their rank order.
    (D) Factors for Award Used to Evaluate and Rate All Applications. 
The factors for rating and ranking applications and the maximum points 
for each factor are provided below. Failure to provide the required 
information under the appropriate Factor will result in a lower score 
for that Factor--for example, information in the Project Abstract, 
although useful for developing a project synopsis, is not considered in 
the evaluation of applications.
    Please respond fully to each Factor for Award and, when directed, 
identify other sources in support of your response. The Factors for 
Award are set out as follows:
    In general. This section applies to all applicants. Your responses 
to this and the In Addition section below must not exceed 10 pages per 
factor.
    In addition. This section identifies issues to which you must 
respond, if required, by the particular Initiative or Component for 
which you are applying.
    Attachments. Where certain forms or documents are required for the 
Initiative or Component under which you are applying, these 
attachments, will not be

[[Page 11800]]

counted toward the 10-page limit on narrative responses for each 
factor.

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

    You must describe staff expertise and your organization's ability 
to complete the proposed activities within the grant period. You must 
also provide performance assessments conducted by your funding sources, 
including HUD, that have been done of your organization's performance 
of these activities. This performance assessment must be signed by or 
attached to a transmittal signed by the authorized representative of 
the funding source(s).
    In General. HUD recognizes that, in carrying out the proposed 
activities, you may have persons already on staff, plan to hire 
additional staff, or rely on subcontractors or consultants to perform 
specific tasks.
    (a) (10 Points) Number and expertise of staff (this includes 
subcontractors and consultants). You must show that you have 
sufficient, qualified staff who will be available to complete the 
proposed activities. Provide the following information for all staff 
assigned to or hired for this project, not just key personnel (those 
persons identified in attachments to Rating Factor 3: Soundness of 
Approach):
    (i) Identify, by name and/or title, all persons that will be 
assigned to the project. 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. 
Indicate the percentage of time that key personnel will devote to your 
project. To receive maximum points, your day-to-day program manager 
must devote a minimum of 75% of his/her time to the project. You may 
demonstrate capacity by thoroughly describing your prior experience in 
fair housing. You should indicate how this prior experience will be 
used in carrying out your proposed activities. Your application must 
clearly identify those persons that are on staff at the time this 
application is filed, and those persons who will be assigned at a later 
date; describe each person's duties and responsibilities and their 
expertise (including years of experience) to perform project tasks; 
indicate whether the staff person is assigned to work full-time or 
part-time (if part-time, indicate the percentage of time each person is 
assigned to the project).
    (ii) Attach resumes for all key personnel.
    (iii) Describe the qualifications to be considered in the selection 
of staff who will be assigned or hired at a later date, when you expect 
they will begin working on the project (for example, 30 days from the 
execution of the grant or cooperative agreement), and how project 
activities will be carried out until then.
    (iv) Describe the racial/ethnic diversity of project staff and the 
applicant's governing board. If there is no diversity, please explain.
    (b) (5 Points) Organizational experience. In responding to this 
subfactor, you must show that your organization has either: (i) 
conducted a past project or past projects identical or similar in scope 
and complexity to the project proposed in this application (whether 
FHIP-funded or not), or (ii) engaged in activities that, although not 
identical or similar, are readily transferable to the proposed project. 
Experience will be judged in terms of recent, relevant and successful 
experience of your staff to undertake eligible activities. In rating 
this factor, HUD will consider experience within the last 5 years to be 
recent, experience pertaining to the specific activities 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. If the applicant 
organization has not engaged in projects similar to the scope and 
activities proposed in the application, two (2) points will be 
deducted.
    In addition. If you are applying for funding under PEI or FHOI, 
provide the following information when responding to this subfactor:
    (i) Respond completely to all questions in the Statement of 
Eligibility. For PEI, you must clearly state whether you are a QFHO or 
an FHO. The requested information must establish that your organization 
has engaged in each of the enforcement-related activities, for at least 
one year (if you are an FHO) or two years (if you are a QFHO). For 
FHOI, you must be a QFHO.
    (ii) Describe the procedure you will use to ensure that testers 
comply with the requirements in Section IV (B) (4) of this program 
NOFA.
    (iii) If you propose to conduct testing other than rental or 
accessibility testing, document that, at a minimum, you have conducted 
successful rental or accessibility testing. Provide a general 
description of when and where the tests occurred, the entities tested, 
and the overall results of the tests, including complaints filed and 
the settlements or remedies secured.
    FHOI. Provide a statement of organizational capacity and experience 
of the sponsored organization.
    In general.
    (c) (5 Points) Performance on past project(s). You must describe 
your organization's past performance record in the projects you cite in 
the preceding sub-factor in support of your capacity and expertise to 
perform the project for which you are seeking funding under this NOFA. 
Include a description of the purpose of the past project and what was 
accomplished. Attach a copy of the funding entity's performance 
assessment/review of this project, whether FHIP-funded or not. If the 
past project was HUD-funded, include a copy of the most recent SF 269A, 
Financial Status Report.
--Indicate if complaints were filed with HUD or a FHAP agency, the 
number of complaints that were filed [unless you received a prior PEI 
or FHOI FHIP award (see (a)(i) below), this number will not be 
considered when evaluating this response] and provide a status report 
on the cases filed.
    In addition.
    (a) If you have received an FHOI or a PEI award under the FY 1998, 
1999 or 2000 FHIP NOFA, you must:
    (i) discuss your compliance with the mandatory referral requirement 
of all cases arising from FHIP-funded activities requirement, as 
described in those NOFAs. Three (3) points will be deducted for this 
subfactor if you have not complied with the requirement.
    (ii) discuss your compliance with the requirement to reimburse the 
Federal government for compensation received from FHIP-funded 
enforcement activities. If you have not reimbursed the Federal 
government for such compensation, explain why you have not. Also, state 
whether you reported to HUD any likely compensation that may result in 
such reimbursement. One (1) point will be deducted for this sub-factor 
if you have not complied with the requirement.
    Attachments. All applicants must submit: Statement of Eligibility; 
resumes of all key personnel; for those who have received funding for 
other projects, a copy of the most recent performance assessment from 
the funding source, if it was a HUD funded project, the most recent SF 
269. In addition, FHOI, and PEI applicants must submit the Internal 
Revenue Service's, Letter of Determination declaring your 501(c)(3) 
status as a tax exempt organization.

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

    (a) (15 Points) Documentation of Need. You must describe the fair

[[Page 11801]]

housing need, its urgency and how your project is responsive to that 
need. To justify the need for your project, you must describe the 
following:
    (1) The fair housing need, including:
    (a) Geographic area to be served;
    (b) Populations protected by the Act that will be served--your 
project must serve all persons protected by the Act; and
    (c) 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 
and submit data and studies that support this indication.
    (2) The urgency of the identified need. For example:
    (a) The consequences to persons protected by the Act if your 
application is not selected for funding;
    (b) Whether other fair housing public or private agencies or 
organizations provide the services identified in your application;
    (3) Other sources that support the need and urgency for this 
project. For example, use reports, statistics, and other data sources 
that are sound and reliable, including but not limited to, HUD or other 
Federal, state or local government reports analyses, relevant economic 
and/or demographic data, including those that show segregation, 
foundation reports and studies, news articles, and other information 
that relate to the identified need. Chapter V of the Fair Housing 
Planning Guide, Vol. 1 has other suggestions for supporting 
documentation. You may access the Guide from the HUD web at 
``www.hud.gov.'' 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 so indicate, and use other sound data 
sources to identify the level of need and the urgency in meeting the 
need. If your application addresses needs that are identified in the 
AI, you will receive more points than applicants that do not relate 
their program to the identified needs. 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.
    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. If the data 
presented does not specifically represent your target area, you should 
discuss why the target areas were proposed.
    (4) The link between the need and your proposed activities:
    (a) how the proposed activities augment or improve upon on-going 
efforts by public and private agencies, organizations and institutions 
in the target area, and/or why, in light of other on-going efforts, the 
additional funding you are requesting is necessary.
    In addition, with respect to (a) Documentation of Need, the 
following apply to specific FHIP Initiatives or Components:
    EOI-Disability Component. Your project must serve all persons 
protected by the Act. However, your project may, in addition, focus on 
the need to inform persons with disabilities, housing providers and the 
public about the rights and obligations under the Act so that these 
persons more fully appreciate the forms of housing discrimination that 
those with disabilities may encounter.
    PEI and EOI-General Component. If you intend to conduct outreach 
and inform immigrant (especially racial and ethnic minorities who are 
not English-speaking) and other underserved populations of the services 
being offered by the project, please identify the underserved 
population and list one or more examples of the outreach you will 
conduct.
    FHOI. HUD has targeted for funding under this Initiative, projects 
that will provide fair housing enforcement services to rural areas or 
to areas with large concentrations of individuals who fall within one 
or more categories protected under the Act who are immigrants 
(especially racial and ethnic minorities who are not English-speaking). 
Although HUD has targeted these areas, you are still required to 
justify the need for the sponsored organization by: (i) Demonstrating 
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 and 
submit data and studies that support your claim; and (ii) explain why 
the project area is underserved and why the proposed sponsored 
organization is needed.
    (b) (5 Points) Underserved Areas. Up to five points will be awarded 
when the applicant and project area are not served by a State or local 
FHAP agency. In instances where the applicant is located in an area not 
served by a FHAP agency but the project activities are conducted in 
various geographic areas, some that are not served by a State or local 
FHAP agency, points will be awarded as follows:
    5 points will be awarded if more than 80% of the activities are 
conducted in areas not served by a State or local FHAP agency.
    4 points will be awarded if more than 60% but less than 80% of the 
activities are conducted in areas not served by a State or local FHAP 
agency.
    3 points will be awarded if more than 40% but less than 60% of the 
activities are conducted in areas not served by a State or local FHAP 
agency.
    2 points will be awarded if more than 20% but less than 40% of the 
activities are conducted in areas not served by a State or local FHAP 
agency.
    1 point will be awarded if less than 20% of the activities are 
conducted in areas not served by a State or local FHAP agency.
    You must indicate whether (a) you are located in an area that is 
served by a State or local FHAP agency (see Appendix C for a list of 
FHAP agencies); (b) the activities you propose will be conducted in a 
project areas served by a State or local FHAP agency; and (c) explain 
why the project area is underserved and/or why the proposed 
organization or activity is needed.
    Attachments. None required.

Rating Factor 3: Soundness of Approach (40 Points)

    You must describe your project in detail, demonstrate how your 
project activities will support HUD goals, propose suggested 
performance measures/outcomes in support of these goals, and identify 
current baseline conditions and target levels of the performance 
measures that you plan to achieve. Also attach a Statement of Work 
(SOW) and budget. Your proposed activities must support HUD's goal to 
substantially increase the number of enforcement actions.
    (5 Points) Describe Project. Describe in broad terms the design and 
objectives of your project and your plan for accomplishing those 
objectives. Please discuss the following:
    (i) Project purpose.
    (ii) Persons to be served.
    (iii) Geographic area to be served.
    (iv) Proposed activities and who will conduct these activities, you 
or a subcontractor(s) or consultant(s).
    (v) The methodology you will use to carryout these activities and 
tasks.
    Information Requirements. Your application must include a 
description of the enforcement proposals to be referred to HUD to 
increase enforcement actions. Your description must explain the 
information you intend to collect and analyze, the type of complaints 
you anticipate referring to HUD for enforcement purposes, and describe 
the procedure you will implement for referring such complaints. If you

[[Page 11802]]

propose a testing program, you must explain how you plan to structure 
the 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. Describe the procedures you 
will put in place to ensure that referrals of all complaints are sent 
to HUD. Failure to provide this description will result in reduced 
points for this subfactor.
    In addition. If you apply under the:
    EOI. Enforcement-related activities are not eligible for funding. 
Describe how activities or final products can be used by other 
organizations and agencies.
    PEI/FHOI. You may conduct limited outreach activities (5% for PEI 
and 10% for FHOI), as described in Section IV (B) (2). This must be 
reflected clearly in your SOW and Budget. In general.
    (b) (5 Points) Describe Budget and Financial Controls. HUD will 
also assess the soundness of your approach by evaluating the quality, 
thoroughness, and reasonableness of the budget and financial controls 
of your organization, including information on your proposed program 
cost categories. As part of your response, you must prepare a budget 
that: (1) Is reasonable and cost-effective in achieving the goals 
identified in your proposed SOW; (2) relates tasks in the SOW to the 
proposed budget costs; (3) is cost-effective in achieving its 
anticipated results, as well as in achieving significant impact on fair 
housing; and (4) documents and justifies all cost categories in 
accordance with the cost categories indicated in the Budget Narrative 
Workplan that is discussed in more detail in (a) through (k) below:
    Management of project over grant period.
    Cost Effectiveness of Program. Discuss and provide supportive facts 
concerning the extent to which your proposed program is cost effective 
in achieving the anticipated results of the proposed activities. Also, 
indicate how the proposed project will achieve a significant impact on 
the community.
    Financial Management Capacity. Identify and provide documentation 
to support your organization's financial management system. In 
addition, provide documentation about your capabilities in handling 
financial resources and maintenance of an adequate accounting and 
internal control procedures.
    FHOI. Provide a statement of transfer of programmatic and 
management responsibilities from the sponsoring to sponsored 
organization by the end of grant year 3.
    (c) (5 Points) Describe Support of HUD Goals. In addition. If you 
are applying under the:
    EOI. Describe the elements of the complaint referral process you 
will develop as a task under this grant. Explain how the process will 
result in an increased number of referrals to HUD of credible, 
legitimate fair housing claims and other information regarding 
discriminatory practices.
    FHOI. Over the course of the grant, the sponsored organization must 
conduct fair housing-related enforcement activities and leverage non-
FHIP resources. These are the performance measures that, if not met, 
may result in termination of the grant, and your description for 
achieving these measures will be considered when evaluating your 
application. Specify:
    1. Fair Housing related enforcement activity. The sponsored 
organization must conduct all of these enforcement related activities 
by the conclusion of year 3 of the grant: complaint intake, complaint 
investigation, testing for fair housing violations, and meritorious 
claims. Your application must identify which activities the sponsored 
organization will conduct at the end of the grant year 1, 2 and 3. Your 
performance measures will be based upon this description, and failure 
to meet them may result in termination of the grant.
    2. Organizational resources. The sponsored organization must not 
rely exclusively on FHIP funding. Your application must show that at 
the conclusion of each grant year, the sponsored organization is 
leveraging non-FHIP resources. Specifically, at the conclusion of year 
1, no less than 5% of the funds supporting the sponsored organization's 
fair housing enforcement-related activities must be from non-FHIP 
funds; year 2, no less than 10% of the funds supporting the sponsored 
organization's fair housing enforcement related activities must be from 
non-FHIP funds.
    PEI/FHOI. Describe a procedure to ensure that referrals of all 
complaints are made as required by this NOFA. Your description should 
include safeguards to ensure that referred complaints are fully 
jurisdictional under the Act and supported by credible and legitimate 
evidence that the Act has been violated.
    (d) (5 Points) Proposed Performance Measures and Products. 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. The more descriptive and illustrative your plan is for 
documenting and providing this information, the greater the number of 
points you will receive. You should: identify current (baseline) 
conditions and set appropriate target levels and milestones with 
timelines for such performance measures and proposed products. FHIP 
funded projects must address housing discrimination based upon race, 
color, religion, sex, disability, familial status, or national origin.
    Attachments.
    (e) (10 Points) Proposed Statement of Work (SOW), and Financial 
Management and Audits Information. The Statement of Work and budget are 
attachments that will not count toward the 10-page limit on the 
narrative response to this factor. However, points will be assigned 
based on the quality and accuracy of the SOW and budget.
    Statement of Work--Submit a proposed SOW that comprehensively 
outlines in chronological order the administrative and program 
activities and tasks to be performed during the grant period. Your 
outline should identify all activities and tasks to be performed and by 
whom (i.e., you or a sub-contractor), and the products that will be 
provided to HUD and when. The tasks identified in the SOW should be 
related to the proposed budget costs reflected in the budget.
    (f) (10 Points) The Budget Form and the Budget Information--Non-
Construction Programs SF-424A, must show the total cost of the project 
and indicate other sources of funds that will be used for the project. 
While the costs are based only on estimates, the budget narrative work 
plan must include information such as quotes obtained from various 
vendors, or you may rely on historical data. Applicants must round all 
budget items to the nearest dollar.
    A written budget narrative must accompany the proposed budget. It 
must explain and attach back-up documentation for each cost category. 
Generally, estimated costs for high-cost items or subcontractors/
consultants should be supported by bids from at least three (3) 
sources. Where there are travel costs for subcontractors/consultants, 
you must show that local subcontractors/consultants are not available 
and that the combined travel costs (per diem rates should be consistent 
with Federal Travel Regulations) and rates and fees of the

[[Page 11803]]

out-of-town subcontractors/consultants do not exceed the rates and fees 
charged by local subcontractors and consultants.
    (a) Direct Labor--by position or individual, specify 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, identify the rate, the 
salary base on which the rate was computed, estimate the cost per 
position, and the total estimated fringe benefits cost;
    (c) Material Costs--indicate the item, unit costs per item, the 
number of items to be purchased, estimated cost per item, and the total 
estimated material costs;
    (d) Transportation Costs--where use of a local private vehicle is 
proposed, costs must indicate the proposed number of miles (travel 
costs should be consistent with Federal Travel Regulations), 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 destinations, the 
estimated costs, and the total estimated costs for any other 
transportation costs.
    (e) Per diem--you must identify per diem or subsistence costs per 
travel day, the number of travel days, and the estimated costs for per 
diem/subsistence which should total estimated transportation costs. You 
must use the Federal Travel Regulation for per diem rate for cities 
listed under ``Transportation Costs'' in your costs estimates.
    (f) Equipment charges--must identify the type of equipment, 
quantity, unit costs and total estimated equipment costs;
    (g) Consultant Costs--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--identify each proposed subcontract and 
amount (each proposed subcontract must 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 
the FHAP agencies and disability advocacy and/or traditional civil 
rights organizations that account for activities related to the 
subcontractor's role in the project.] Your application must include a 
separate detailed budget for each subcontract.
    (i) Other Direct Costs--listed by item, quantity, unit costs, total 
for each item listed, and total direct costs for the award; and
    (j) Indirect Costs--should identify your approved indirect cost 
rate base to which the rate applies and total indirect costs. If you do 
not have an accepted, Federally negotiated indirect cost rate, you may 
use direct cost for all of your program costs. Alternately, you may 
develop a proposed indirect cost rate in accordance with Office of 
Management and Budget (OMB) Circular A-122, Cost Principles and 
Procedures for Non-Profit Organizations, and provide supportive 
documentation on this calculation.
    (k) Audit Information--You must submit a certification from an 
Independent Public Accountant or your cognizant government auditor, 
stating that the financial management system you employ 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 must contain the name and telephone 
number of the Independent Auditor, cognizant Federal auditor, or other 
audit agency, as applicable.

Include All Tasks Shown On This Form

Statement of Work For __________

    The applicant, __________, agrees to undertake the following 
activities in accordance with its FY 2001 application for funding under 
the __________ Initiative__________Component (if applicable) for a__-
month project commencing__________, 2001 in the geographic area of 
__________. For FHOI, provide a timetable for transfer of activities/
responsibilities from the sponsoring to the sponsored organization.

    --

    --

    --

    --

    --


                                            Administrative Activities
----------------------------------------------------------------------------------------------------------------
           Activities                   Tasks                 Submitted by                  Submitted to
----------------------------------------------------------------------------------------------------------------
1..............................  ..................  .............................  GTR/GTM
2..............................  ..................  .............................  GTR/GTM
3..............................  ..................  .............................  GTR/GTM
4..............................  ..................  .............................  GTR/GTM
5..............................  ..................  .............................  GTR/GTM
6. Complete HUD-2880 Disclosure  Submit Disclosure   When changes occur...........  GTR/GTM
 Statements.                      Statement. If no
                                  changes occur,
                                  submit statement
                                  of no change with
                                  final report.
7. Complete SF-269A Financial    Submit SF-269A and  Quarterly....................  GTR/GTM
 Status Report and Written        Copy of Written
 Quarterly Status Reports on      Report.
 All Activities.
8. Voucher for Payment.........  Submit payment      Per Payment Schedule.........  GTR/GTM
                                  request to LOCCS.
9. Complete Listing of Current   Submit Listing for  45 Days and At end of Grant..  GTR/GTM
 or Pending Grants/Contracts/     Recipient and any
 Other Financial Agreeemnts.      contractors.
10. Prepare summary of First     Submit summary of   395 days.....................  GTR/GTM
 Year (24 month grants).          first year
                                  accomplishments.

[[Page 11804]]

 
11. Prepare and Submit Draft of  Submit Draft of     One month before end of grant  GTR/GTM
 Final Report.                    Report. Report      term..
                                  Summary should
                                  include
                                  objectives,
                                  accomplishments
                                  and results.
                                  Complaint and
                                  testing
                                  activities should
                                  summarize data on
                                  complaints
                                  received and
                                  tests conducted
                                  by basis and
                                  issue and
                                  outcomes
                                  including Number
                                  of credible,
                                  legitimate
                                  Complaints Filed
                                  with HUD, State
                                  or local Fair
                                  Housing Agency,
                                  Department of
                                  Justice or
                                  Private
                                  Litigator; and
                                  Types of Relief/
                                  Results..
12. Complete Final Report and    Submit a copy of    Within 90 days after end of    GTR/GTM
 Provide Copies of All Final      the Final Report    grant term..
 Products Not Previously          and All Final
 Submitted.                       Products not
                                  previously
                                  submitted to GTR
                                  and GTM..
13. Submit 2 copies of Final     Activities and      Within 90 days after end of    GTR/GTM
 Report and all Final Program     database entry      grant term..
 Products produced under the      sheet(s) to HUD..
 Grant (with diskette, where     Copy of HUD
 feasible) to HUD..               database entry
                                  sheet(s) or
                                  detailed
                                  description of
                                  items submitted
                                  to GTR and GTM.
----------------------------------------------------------------------------------------------------------------


                                                  Key Personnel
                                          Title                    Name
----------------------------------------------------------------------------------------------------------------
           Activities                   Tasks                 Submitted by                  Submitted to
----------------------------------------------------------------------------------------------------------------
1. Contact HUD and/or other      List of materials   90 days......................  GTR/GTM. Submit one copy of
 information sources to obtain    requested.                                         all final products to HUD
 any appropriate materials
 prior to development of new
 materials.
2. Review/refine referral        Copy of Referral    45 days......................  GTR/GTM
 process to refer potential       Process. All
 victims to HUD, DOJ, a state     audit-based
 or local agency, or a private    enforcement
 attorney.                        actions should be
                                  referred to HUD.
3. Intake and process            Submit copy of      Quarterly....................  GTR/GTM
 complaints, including testing    Enforcement Log
 and referral. Complete           and a Report on
 Enforcement Log which details    number of
 complaints received; dates;      enforcement
 the protected basis of these     proposals
 complaints; the issue, test      referred to HUD.
 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 resolution/
 type of relief sought and
 received. (PEI and FHOI
 PROJECTS ONLY).
4. Non-rental Testing            Submit testing      60 days......................  GTR/GTM
 methodology and tester           methodology and
 training must be received/       tester training
 approved by HUD.                 to HUD for review
                                  and approval.
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
                                                                                    GTR/GTM
----------------------------------------------------------------------------------------------------------------

    If you have a Federally negotiated indirect rate, you should use 
that rate as the appropriate base in this section. In all other 
instances, you should include your current overhead rate, if any, which 
has been tailored to your organization's operating budget. The rate and 
base used here is illustrative only.

                                        Budget Narrative Workplan Format
                  Name of Organization: ____________________    Budget Period: ________ months
----------------------------------------------------------------------------------------------------------------
                                   Estimated                         Estimated
    Position or individual           hours        Rate per  hour       cost        Federal  cost   In-kind  cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $

[[Page 11805]]

 
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Total direct labor........                      $                             $               $
----------------------------------------------------------------------------------------------------------------
        Fringe benefits               Rate             Base          Estimated        Federal         In-kind
                                                                  cost            cost            cost
----------------------------------------------------------------------------------------------------------------
F.I.C.A.......................                   $                $               $               $
Unemployment Insurance \1\....                   $                $               $               $
Health Insurance \2\..........                   $                $               $               $
Workers Compensation \1\......                   $                $               $               $
                               ---------------------------------------------------------------------------------
    Total fringe benefits.....                      $                             $               $
----------------------------------------------------------------------------------------------------------------
           Materials                Quality            Unit          Estimated        Federal         In-kind
                                                 cost             cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Total materials...........                      $                             $*              $
----------------------------------------------------------------------------------------------------------------
         Local travel             Mileage/fare      Rate/mile        Estimated        Federal         In-kind
                                                                  cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Subtotal local travel.....                      $                             $               $
----------------------------------------------------------------------------------------------------------------
* Materials/Equipment prices must be supported by vouchers/cash register receipts of same or similar item or
  lease quotes from vendor at time of budget negotiation.
\1\ Rates may vary by State.
\2\ Rates may vary by organization.


----------------------------------------------------------------------------------------------------------------
                                   Number of                         Estimated
    Air travel destination         travelers      Roundtrip fare       cost        Federal  cost   In-kind  cost
----------------------------------------------------------------------------------------------------------------
                                $                $                $               $               $
                               ---------------------------------------------------------------------------------
    Subtotal air travel.......                      $                             $               $
----------------------------------------------------------------------------------------------------------------
      Other travel items            Quantity           Unit          Estimated        Federal         In-kind
                                                 cost             cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Subtotal other travel.....                      $                             $               $
----------------------------------------------------------------------------------------------------------------
     Per diem subsistence          Number of     Number of days/     Estimated        Federal         In-kind
                                    travelers      rate per day   cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
Per diem subsistence..........                      $                             $               $
    Total travel..............                      $                             $*              $
----------------------------------------------------------------------------------------------------------------
           Equipment                Quantity           Unit          Estimated        Federal         In-kind
                                                 cost             cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Total equipment costs.....                      $                             $**             $
----------------------------------------------------------------------------------------------------------------

[[Page 11806]]

 
          Consultants                 Days         Rate per day      Estimated        Federal         In-kind
                                                                  cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                                                 $                $               $               $
                               ---------------------------------------------------------------------------------
    Total consultants.........                      $                             $***            $
----------------------------------------------------------------------------------------------------------------
 * All travel must be grant related and rates cannot exceed the Federal rate.
 ** Lease/purchase of equipment must be supported by three quotes at time of budget negotiation.
 *** Daily rate cannot exceed $406 per day unless waiver is obtained from Grant Officer.


----------------------------------------------------------------------------------------------------------------
                                                                     Estimated
         Subcontracts             Rate/service       Quantity          cost        Federal  cost   In-kind  cost
----------------------------------------------------------------------------------------------------------------
                                ...............  ...............  $               $               $
                               ---------------------------------------------------------------------------------
    Total subcontracts........                      $                             $*              $
----------------------------------------------------------------------------------------------------------------
         Other direct               Quantity           Unit          Estimated        Federal         In-kind
                                                 cost             cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                ...............  $                $               $               $
                                ...............  $                $               $               $
                                ...............  $                $               $               $
                                ...............  $                $               $               $
                               ---------------------------------------------------------------------------------
    Total other direct........                      $                             $               $
----------------------------------------------------------------------------------------------------------------
           Indirect                   Rate             Base          Estimated        Federal         In-kind
                                                                  cost            cost            cost
----------------------------------------------------------------------------------------------------------------
                                **               ...............  $               $               $
                               ---------------------------------------------------------------------------------
    Total indirect............                      $                             $               $
----------------------------------------------------------------------------------------------------------------
                                              Total estimated cost                 Total federal   Total in-kind
                                                                                        cost            cost
                               ---------------------------------------------------------------------------------
    Total costs...............                      $                             $               $
    Amount to enter on Form                         $                             $               $
     424 funding matrix.
----------------------------------------------------------------------------------------------------------------
* When individual subcontract fees exceed 10% of your grant amount, an itemized budget is required.
** If you have a Federally negotiated indirect rate, you should use that rate as the appropriate base in this
  section. In all other instances, you should include your current overhead rate, if any, which has been
  tailored to your organization's operating budget. The rate and base used here is illustrative only.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure additional community 
resources to support your project. Points will be awarded on the basis 
of the percentage of non-FHIP resources you have identified and how 
firm the commitment is for those resources.
    (10 Points) Firm Commitment of Leveraging. HUD encourages you to 
secure resources from sources other than what is requested from this 
program. Community resources may include funding or in-kind 
contributions, such as work space or services or equipment, allocated 
to the purpose(s) of your proposal. Resources may be provided by 
governmental entities (including other HUD programs), public or private 
non-profit organizations, for-profit private organizations, or other 
entities willing to work with you. In order to secure points you must 
establish leveraging of community resources by providing letters of 
firm commitment from the organizations and/or individuals who will 
support your project. Each letter of firm commitment must: (i) Identify 
the organization and/or individual committing resources to the project, 
(ii) identify the sources and amounts of the leveraged resources (the 
total FHIP and non-FHIP amounts must match those in your proposed 
budget submitted under Factor 3), and (iii) describe how these 
resources will be used as part of your SOW. The letter must be signed 
by the individual or organization official legally able to make 
commitments for the organization. If the resources are in-kind or 
donated goods, the commitment letter must indicate the dollar value of 
those resources. No points will be awarded for general letters of 
support endorsing the project from organizations and/or individuals 
(including elected officials) in your community. The commitment is firm 
if the offerer conditions it on the making of an award under this 
program NOFA.
    If your project will not be supported by non-FHIP resources, then 
you will not receive any points under this factor. Points will be 
assigned based on the following scale:
    Two points will be awarded if your project will be supported by 
non-FHIP funds, but those funds are less than 5%

[[Page 11807]]

of the project's total costs are from non-FHIP funds.
    Four points will be awarded if more than 5%, but less than 10% of 
the project's total costs are from non-FHIP funds.
    Six points will be awarded if more than 10% but less than 20% of 
the project's total costs are from non-FHIP funds.
    Eight points will be awarded if more than 20% but less than 30% of 
the project's total costs are from non-FHIP funds.
    Ten points will be awarded if more than 30% of the project's total 
costs are from non-FHIP funds.

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:
    (a) (5 points) How your proposed activities are linked to and 
coordinated with activities of other organizations in the target 
community. This includes a discussion of how FHIP-funded activities 
will augment and improve on-going efforts by public and private 
agencies, organizations, and institutions in the target area. Describe 
in your proposal how your project activities will be coordinated with 
organizations in your project area, and linked with:
    (i) Other proposed or on-going HUD-funded program activities;
    (ii) 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 programs; and
    (iii) Other activities undertaken to address barriers to housing 
choice identified in the Consolidated Plan's Analysis of Impediments to 
Fair Housing Choice.
    In addition, describe how you will participate in, and/or promote 
participation in the project area's Consolidated Planning process.
    (b) (5 points) Outreach activities to promote awareness of project 
activities. This includes (i) a discussion of how your methods or 
approaches will ensure that project activities and materials are made 
available to local groups and organizations, (ii) identification of 
such groups and organizations in your project area, and (iii) an 
explanation of how your project will promote coordination with various 
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 proposal.
    (F) Applicant Notification and Award Procedures.
    (1) Notification. No information will be available to you during 
the period of HUD evaluation, which begins on the closing date of this 
program NOFA and lasts approximately 90 days thereafter, except to 
advise you, in writing or by telephone, if HUD determines that 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. HUD will also advise applicants who 
were not selected of the scores they received. HUD will not release the 
names of applicants or their scores to third parties. Selections do not 
become final until final negotiations with HUD are successfully 
concluded.
    (2) Negotiations. 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 at Section III of the General Section of the 
SuperNOFA. The selection is conditional and does not become final until 
the negotiations between the applicant and the Department are 
successfully concluded and the grant or cooperative agreement is 
executed. HUD will negotiate only with the person identified in the 
application as the Director of the organization or if specifically 
identified in the application, the Project Director. HUD will not 
negotiate with any third party (i.e, a subcontractor, etc.)
    (3) Funding Instrument. HUD expects to award a cost reimbursable or 
fixed-price cooperative or grant agreement to each applicant selected 
for award. Upon completion of negotiations, HUD reserves the right to 
use the funding instrument it determines is most appropriate.
    (4) Adjustments to Grant Amounts. As provided in Section III 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;
    (c) Insufficient amounts remain to fund the full amount requested 
in the application, and HUD determines that partial funding is a viable 
option;
    (d) The past record of key personnel warrants special conditions, 
or
    (e) The Selecting Official determines it is in the best interests 
of the Program.
    (5) Performance Sanctions. A grantee or subcontractor failing to 
comply with 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

    In addition to the forms, certifications and assurances required of 
applicants to all HUD programs, which can be found at Section II of the 
General Section of the SuperNOFA, you must submit with each FHIP 
application, the forms, certifications and assurances described below 
and found at Appendix B.
    In general.
    When applying under any Initiative or Component you must submit the 
following:
    (A) Transmittal Letter. Your transmittal letter must identify: (1) 
The dollar amount requested, (2) the specific FHIP Initiative, or in 
the case of EOI, the specific Component (General or Disability), for 
which you are applying, and (3) your preference for selection, if you 
are applying to more than one Initiative or Component.
    (B) Narrative Statement. Respond completely to each of the five 
Factors for Award. Failure to provide the required information in the 
appropriate Factor will result in a lower score for that Factor--for 
example, information in the Project Abstract, although useful for 
developing a project synopsis, will not be considered when evaluating 
applications. The narrative responses must not exceed 10 pages per 
factor (required attachments are not counted); text must be double-
spaced and pages numbered consecutively (starting with Factor 1 through 
the end of Factor 5). Please use Courier 12 as the typeface or font for 
your narrative responses.
    Listed below are requirements by Factor:

[[Page 11808]]

    Award Factor 1: Capacity of Applicant and Relevant Organizational 
Experience--Statement of Eligibility; Performance Assessments/
Evaluation of Past Projects, and if HUD funded, the SF 269a, PEI and 
FHOI Applicants:
    (1) Testing Experience. You must document your prior testing 
experience (see Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience), and
    (2) Letter of Determination from IRS of your 501(c)(3) tax-exempt 
status.
    Award Factor 2: Need/Distress/Extent of the Problem.
    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, and explain why the project area 
is underserved and why the proposed organization is needed.
    Award Factor 3: Soundness of Approach--Statement of Work, Budget 
Form(s), Budget Narrative. You must submit a certification from an 
Independent Public Accountant or your cognizant government auditor on 
your financial management and audit information. In addition, you must 
describe the information you intend to collect and analyze, the type of 
complaints you anticipate referring to HUD for enforcement purposes, 
and describe the procedure you will implement for referring such 
complaints.
    In addition:
    Depending upon the Initiative or Component for which you are 
seeking funding, you must respond to the following points in your 
narrative responses:
    (C) EOI Applicants:
    (1) You must describe the elements you will use to develop the 
process for referring fair housing complaints to HUD.
    (D) FHOI Applicants
    (1) The sponsored organization must conduct all of these 
enforcement-related activities by the conclusion of year 3 of the 
grant: complaint intake, complaint investigation, testing for fair 
housing violations, and meritorious claims. The application must 
specify which activities will be conducted in year 1, year 2, and year 
3. Even though HUD has targeted for award projects that assist rural 
and immigrant populations, you must explain why the proposed fair 
housing enforcement organization is needed.
    (2) Performance Measures. You must address the following:
    (a) The sponsored organization's capacity to become a viable, fair 
housing enforcement organization that conducts fair housing related 
enforcement activities and leverages non-FHIP resources.
    (b) That the sponsored organization will meet the required 
performance measures for sponsored organizations and how these measures 
will be achieved.
    Award Factor 4: Leveraging Resources--Letter(s) of Firm Commitment.
    Award Factor 5: Comprehensiveness and Coordination--No Attachments 
Required.

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)(3), (4), (9), (12), and (13) 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, 
as amended, (42 U.S.C. 3616) established the Fair Housing Initiatives 
Program (FHIP)) and the implementing regulations are found at 24 CFR 
part 125.

Appendix A--Frequently Asked Questions

    Q. In previous years, FHIP applicants were not required to 
submit the Certification of Consistency with the Consolidated Plan, 
is the Certification required this year?
    A. Yes.
    Q. Where can I find a copy of the Application Kit?
    A. There will be no Application Kit for the FY2001 FHIP 
SuperNOFA. The NOFA more clearly describes the requirements for 
completing a successful application and all forms and certifications 
needed to complete the application are included in the General and 
FHIP Sections of the SuperNOFA.
    Q. What are the maximum number of narrative pages that can be 
submitted for each Rating Factor?
    A. The maximum number is 10 pages per factor. This does not 
include any attachments that may be required under each factor (for 
example, the proposed statement of work and budget required under 
Factor 3: Soundness of Approach). The narrative pages must be double 
spaced and you are encouraged to use Courier 12 font or typeface.
    Q. The FHIP SuperNOFA refers to QFHOs and FHOs. What is the 
difference between them?
    A. These terms are defined in the FHIP regulations. Both 
organizations must be organized as private, tax-exempt, charitable 
organizations, that have engaged in enforcement-related activities. 
The amount of enforcement-related experience is an eligibiliity 
requirement for PEI, least one year for and FHOI, at least two 
years. (See 24 CFR 125.103, for a QFHO; and 24 CFR 125.401(b)(2) for 
an FHO.)
    Applicants to PEI and FHOI are required to complete the 
Statement of Eligibility--where they self-identify as a QFHO or an 
FHO and provide information, including dates of your enforcement-
related activities. The information you provide should enable HUD to 
determine if your organization meets at least one or two year 
enforcement-related experience requirement. Your application will be 
declared ineligible, if you fail to submit the completed Statement 
of Eligibility with your application.
    Q. May an applicant subcontract out a percentage of its 
activities to subcontactors or consultants, if it is selected for an 
FHIP award?
    A. Yes. However, when the fees to a particular subcontractor or 
consultant exceed 10% of the grant amount, an itemized budget is 
required.
    Q. Is an organization ``engaged in testing for fair housing 
violations'' if it hires a subcontractor or consultant to conduct 
its testing program?
    A. Yes, so long as the applicant analyzes the test results.
    Q. Does the SuperNOFA identify what makes an application 
ineligible?
    A. Yes. See the eligibility requirements for each Initiative and 
Section IV(B)(14) and (15) of the FHIP SuperNOFA.
    Q. Are there major differences between this year's SuperNOFA and 
last year's?
    A. Yes, those differences are explained in Section III of the 
FHIP NOFA. The differences are: (1) Fewer components; (2) Uniform 
Project Duration and Award Caps; (3) Redesign of FHOI; (4) Changes 
to Rating system; (5) Changes to Selection Process; (6) No 
Applicaiton Kit; and (7) No EOI-National Program NOFA.
    Q. At what point may an FHOI ``sponsored organization'' apply 
under any FHIP Initiative?
    A. A sponsored organization is eligible after three (3) years to 
apply for funds under EOI and, depending upon its record of 
conducting enforcement-related activities, may be eligible to apply 
for funds under PEI.
    Q. What are award caps?
    A. An award cap is the maximum amount that will be awarded under 
the Initiative for which you are applying. If you request an amount 
over this maximum amount, your application will be declared 
ineligible.
    Q. Where do you send completed applications?
    A. All completed applications must be received by the FHIP 
Office in Washington, DC. These applications should be mailed to the 
address stated in the SuperNOFA under the Section Address for 
Submitting Applications.
    Q. What is the best method of knowing that the appropriate 
person has received my application? Should I follow up with a call?

[[Page 11809]]

    A. Include with your completed application a complete copy of 
the Acknowledgment of Application Receipt. Be sure to include your 
correct mailing address and the person to whom the Acknowledgment 
should be sent. HUD will not acknowledge the receipt of applications 
over the telephone.
    Q. What is the website address?
    A. Http//www.hud.gov/grants.
    Q. What is the due date?
    A. The due date is outlined in the SuperNOFA under Section I, 
Application Due Date.
    Q. If I have a technical question, can I call HUD?
    A. Yes, technical questions should be directed to Myron P. Newry 
of the [FHIP/FHAP Support Division, at (202) 708-0800 (this is not a 
toll-free number).] Persons with hearing or speech impairments may 
call 1-800-290-1617 (this is a toll-free number).
    Q. What is meant by geographic diversity?
    A. In order to ensure a wider distribution of FHIP funding, the 
Assistant Secretary may apply the geographic diversity procedure to 
select qualified applicants out of rank order. It applies only when 
more than one qualified organization is in the same State, i.e., 
when more than one qualified organization is in the same State, the 
selecting official may select the highest ranked among them and the 
other(s) is moved to the bottom of the qualified applicant queue. If 
sufficient funds remain, it is possible that applications moved to 
the end of the queue may be selected for award.

Appendices B and C

    Forms that must be filed with all FHIP applications, in addition 
to the forms found at Section III of the General Section of the 
SuperNOFA and the list of HUD offices and FHAP agencies are in 
Appendices B and C that follow:
BILLING CODE 4210-32-P

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BILLING CODE 4210-32-C

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11842]]


      

[[Page 11843]]

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 $17.55 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 3, 2001.
    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, 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 to the Homeownership 
Center designated below, and the HOC must receive, a completed 
application on or before 6:00 pm, local time, May 3, 2001.
    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 3, 2001, 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 2001 Housing Counseling Grant Application.'' A list 
of the HUD Homeownership Centers, including their field office and 
State jurisdictions, and the Program Support Division Directors appears 
below.

------------------------------------------------------------------------
    Homeownership center          Field office             States
------------------------------------------------------------------------
  U.S. Department of HUD--
       Detroit Office
 
Mr. John Niebieszczanski,     Albany, Baltimore,    Connecticut,
 Patrick V. McNamara           Bangor, Boston,       Delaware, District
 Building, SF Program          Buffalo,              of Columbia, Maine,
 Support Branch 4, 477         Burlington, Camden,   Maryland,
 Michigan Ave. Rm. 1600,       Charleston,           Massachusetts,
 Detroit, MI 48226. For        Cincinnati,           Michigan, New
 technical questions           Cleveland,            Hampshire, New
 Contact: Robert Wright        Columbus, Detroit,    Jersey, New York,
 (215) 656-0527 x3406.         Flint, Grand          Ohio, Pennsylvania,
                               Rapids, Hartford,     Rhode Island,
                               Manchester, New       Vermont, Virginia,
                               York, Newark,         West Virginia.
                               Philadelphia,
                               Pittsburgh,
                               Providence,
                               Richmond,
                               Washington, DC,
                               Wilmington.
 
Atlanta Homeownership Center
 
Ms. Gayle Knowlson, 40        Atlanta, Birmingham,  Alabama, Puerto
 Marietta Street, 8th Floor,   Caribbean, Chicago    Rico, Florida,
 Atlanta, GA 30303-2806.       and Springfield,      Georgia, Illinois,
 Contact: Fellece Sawyer-      Columbia, Coral       Indiana, Kentucky,
 Coleman (404) 331-5001,       Gables, Greensboro,   Mississippi, North
 x2675.                        Indianapolis,         Carolina, South
                               Jackson,              Carolina,
                               Jacksonville,         Tennessee.
                               Knoxville,
                               Louisville,
                               Memphis, Nashville,
                               Orlando, Tampa.
 
 Denver Homeownership Center
Ms. Dawn Davis, Wells Fargo   Albuquerque, Denver   Arkansas, Colorado,
 Building, 633 17th Street,    (Casper, Fargo,       Iowa, Kansas,
 Denver, CO 80202-3607.        Sioux Falls),         Louisiana,
 Contact: Irma Devich (303)    Dallas, Des Moines,   Minnesota,
 672-5216 x1980.               Denver, Fort Worth,   Missouri, Montana,
                               Helena, Houston,      Nebraska, New
                               Kansas City, Little   Mexico, North
                               Rock, Lubbock,        Dakota, Oklahoma,
                               Milwaukee,            South Dakota,
                               Minneapolis, New      Texas, Utah,
                               Orleans, Oklahoma     Wisconsin, Wyoming.
                               City, Omaha, Salt
                               Lake City, San
                               Antonio,
                               Shreveport, St.
                               Louis, Tulsa.
   Santa Ana Homeownership
           Center
Mr. Jerrold Mayer, 1600 N.    Anchorage, Boise,     Alaska, Arizona,
 Broadway, Suite 100, Santa    Fresno, Honolulu,     California, Hawaii,
 Ana, CA 92706-3927.           Las Vegas, Los        Oregon, Idaho,
 Contact: Rhonda J. Rivera,    Angeles, Phoenix,     Nevada, Washington.
 Chief 1-888-827-5605 (714)    Portland, Reno
 796-1200 x3210.               Sacramento, San
                               Diego, San
                               Francisco, Santa
                               Ana, Seattle,
                               Spokane, Tucson.
------------------------------------------------------------------------

    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 2001 Intermediary Application.:
    Application Kits. Application kits will not be used this year.
    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 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 informational broadcast via 
satellite for potential applicants to learn more about

[[Page 11844]]

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.
    New data collection and performance measurement system. To improve 
HUD's ability to measure performance and target resources to the most 
effective housing counseling programs, HUD is undertaking an effort to 
modify both the Housing Counseling Handbook and the associated 9902 
form, our primary data collection instrument. HUD plans to gather 
quantitative information (to supplement the qualitative and anecdotal 
information already collected) to measure the performance of each 
housing counseling program. To ensure that our modifications to the 
data collection instrument are most effective, however, we would like 
to hear from you, the potential grantees. If you would like to offer 
any suggestions or recommendations on how best to measure and assess 
the impact and outcomes of housing counseling services, please send 
your comments to Director, Program Support Division, Office of Single 
Family Housing, HUD Headquarters, Room 9166, 451 Seventh Street, SW, 
Washington, DC, 20410.

II. Amount Allocated

    Under this SuperNOFA, approximately $17.55 million of the $20 
million appropriated is made available for eligible applicants. An 
allocation of up to $1.8 million of the $20 million total in program 
funding has been set aside for Housing Counseling support which may 
include continuation of the Housing Counseling Clearinghouse, tuition 
assistance for housing counselors, and/or other HUD counseling 
initiatives and activities. An allocation of up to $500,000 of the $20 
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). An allocation up to $150,000 is 
available to assist HUD's Office of Public and Indian Housing with 
housing counseling support in the Native American Programs.
    Local housing counseling agencies, State housing finance agencies, 
and national, regional and multi-state intermediaries may apply for and 
receive a grant only under one of the three categories described below. 
Affiliates and branches of State housing finance agencies or national, 
regional and multi-state intermediaries that 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, 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.

III. Applicant Categories

    The amount of funds available for allocation are set forth below in 
three competing categories. Applicants must submit an application under 
the specific category for which they are eligible to apply for a grant.
    (A) Category 1--Local Housing Counseling Agencies (LHCA). 
Approximately $6.6 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 2001, 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.
    There will be no suballocations for field office jurisdictions this 
year. Allocations for use in local agency programs by HUD Homeownership 
Centers are as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Philadelphia HOC...........................................    1,861,698
Atlanta HOC................................................    1,924,468
Denver HOC.................................................    1,469,281
Santa Ana..................................................    1,344,553
------------------------------------------------------------------------

    (B) Category 2--National, Regional, and Multi-State Intermediaries. 
Approximately $9.95 million is being set aside to fund HUD-approved 
national, regional and multi-state intermediaries that apply for 
funding under this SuperNOFA. Awards for HUD-approved housing 
counseling intermediaries may not exceed $1.2 million, except for 
regional intermediaries, whose awards may not exceed $250,000.
    A national, regional or multi-state intermediary may provide a 
subgrant to an affiliate, but not to an affiliate that applies directly 
to HUD, a State housing finance agency, or another intermediary in 
Category 2.
    (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 award amount that a State housing finance 
agency, or its affiliates, may receive, but HUD will take into 
consideration prior usage of grant funds as stated in Factor 1. 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.

[[Page 11845]]

IV. Funding Policies

    (A) 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 or refusal to accept an award, 
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 allocation category.
    (B) Funding Levels. The Factors for Award will be used to evaluate 
your application for funding. If you are a successful applicant, HUD 
may require 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.
    (C) Funding Methodology. As described below, in Section VII(B) of 
this program section of the SuperNOFA, the Factors for Award will be 
used to evaluate your application and a maximum of 100 points may be 
awarded for each application. Only applicants who receive at least 50 
points out of the 100 will be considered eligible for funding. All 
eligible applicants will then be funded in proportion to the score they 
receive, or as negotiated.
    This year's formula will work as follows: every agency that 
receives a score of 50 points will receive a base award of $2500, then 
will receive additional funds for every point above that 50 point 
cutoff. The total number of agencies with scores above 50 will be 
multiplied by $2500 and that amount will be subtracted from the total 
available to the HOC. Then, the remaining balance will be divided by 
the total number of points each agency scores that are above the 50 
point cutoff. The division will result in a dollar value for each 
point. The number of points that each agency scores above the 50 point 
base will be multiplied by that dollar value. The result of that 
multiplication will be added to the $2500 base for the total award 
amount. For example, an agency with a score of 85 would receive $2500 
plus the dollar value for each point times 35 (35 being the number of 
points above the 50 point cutoff). $66,128
    (D) Award Instrument. All Housing Counseling Program awards shall 
be made on a cost reimbursement basis in accordance with the 
requirements in OMB Circular A-87, Cost Principles for State and Local 
Governments and Indian Tribal Governments; or OMB Circular A-122, Cost 
Principles for Non-Profit Organizations, as applicable to your 
organization; and the administrative requirements established in OMB 
Circular A-102, which was implemented by 24 CFR part 85 (Administrative 
Requirements for Grants and Cooperative Agreements to State and Local 
Governments and Indian Tribal Governments); OMB Circular A-110, which 
was implemented by 24 CFR part 84 (Grants and Agreements with 
Institutions of Higher Education, Hospitals and Other Non-Profit 
Organizations); and OMB Circular A-133 which was implemented by 24 CFR 
parts 84 and 85. If you receive an award you are also required to 
ensure that any sub-recipients also comply with the requirements in 
these circulars.
    After selection, but prior to award of funds, you will be required 
to submit to ensure to HUD's satisfaction that your financial 
accounting system meets the federal requirements for fund control and 
accountability as required by these OMB Circulars. You must also submit 
documentation establishing your organization's indirect cost rate. Such 
documentation may consist of a certification from, or your most recent 
audit by, the cognizant Federal agency or an Independent Public 
Accountant. If your organization does not have an established indirect 
cost rate, you will be required to develop and submit an indirect cost 
proposal to HUD or the cognizant Federal Agency as applicable, for 
determination of an indirect cost rate which will govern your award. 
Funds will not be awarded until the determination of the Indirect cost 
rate.
    Your submission should include the name and telephone number of the 
Independent Auditor or the cognizant Federal Auditor. HUD cannot award 
funds to an organization unless its financial management system meets 
Federal requirements for funds control and accountability.

V. 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 
equity in their homes 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 that are eligible to submit applications:
    (1) HUD-approved Housing Counseling Intermediaries. If you are a 
housing counseling intermediary, you are responsible for distributing 
grant funds to affiliated local housing counseling agencies. In FY 
2001, you must list all of your affiliates and the cities and states in 
which you and your affiliates maintain offices, then identify which 
affiliates will receive funding through this grant award. 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, you must be HUD-approved as of the date of this 
SuperNOFA. You must identify all of your affiliates in your application 
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.
    HUD will permit you wide discretion in implementing your housing 
counseling programs with your affiliates, but your application must

[[Page 11846]]

clearly define your management responsibilities, the service delivery 
responsibilities of your affiliates and appropriate time frames for 
reporting results to HUD.
    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 that 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 local housing counseling agency, HUD will fund your 
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. In addition, 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 2001 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 serve 
as an intermediary distributing counseling funding to local housing 
counseling organizations that operate in your State or territory. 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 an intermediary, you must list all of 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 2000 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. The amount you request should reflect 
anticipated operating needs for housing counseling activities, based on 
past experience. For State Housing Finance Agencies who participated in 
the program in FY 1998 or FY 1999, the request should reflect your past 
usage of HUD housing counseling grant funds. 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 allocation 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 and keep a written record 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 that offer potential purchasers 
general information on the homebuying process. These types of programs 
include HUD's Homebuyer Education and Learning Program (HELP), where 
HUD's educational materials are used in sessions consisting of 
approximately eight to twelve (8-12) hours of training. HUD staff at 
each HUD Homeownership Center will be available to provide you with the 
HELP materials.
    (2) Pre-purchase Homeownership Counseling, which focuses more 
specifically on the client's needs and circumstances. This type of 
counseling covers 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 other loss mitigation tools available.
    (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 into 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
    (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.)
    Your potential clients may 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 address a housing 
need. You may elect to offer this

[[Page 11847]]

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.
    (10) Mobility Counseling, to help families and individuals who are 
seeking new rental housing opportunities understand the wide range of 
housing options available.

VI. 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 
and subrecipients 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 and subrecipients 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 and your subrecipients must undertake 
your responsibilities in accordance with the following principles:
    (1) You will not discriminate on behalf of or 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.

VII. Application Selection Process

    (A) General. Your application will be evaluated competitively, and 
ranked against all other applicants that applied in the same funding 
category. National, regional, and multi-State applications will be 
rated and ranked in HUD Headquarters, and initially 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 initially selected for funding in rank order. However, after the 
initial selection, the actual amount funded will be based on successful 
completion of negotiations.
    (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 100. Your response to the following rating factors should 
provide HUD with detailed information regarding the housing counseling 
work of your organization. Please be specific, providing relevant 
examples and complete descriptions of your services.

Rating Factor 1: Capacity, Experience, and Effective Use of 
Resources (35 Points)

    This factor addresses the scope and effective use of your 
organizational resources in successfully implementing your proposed 
activities and complying with the OMB Circulars set forth in this 
Notice. 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 and relevant 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) (25 points) Your past performance, specifically your ability to 
attain measurable progress in the implementation of your most recent 
activities where your performance has been assessed and the costs 
associated with that performance.
    HUD will consider your performance as measured by your expenditures 
of previous year's grant awards and demonstrated progress in achieving 
the purpose of the activities associated with those grant dollars. HUD 
will also consider any documented evidence, such as form HUD-9902, of 
your ability under past awards to comply with grant award provisions. 
Any organization that used less than 90 percent of its grant award in 
FY 99 will receive no points under this subsection.
    The extent to which your services are reasonable and cost-effective 
in meeting the needs identified in Factor 2 and in complying with OMB 
Circular A-122, by: relating your service tasks to your proposed budget 
costs providing cost estimates for salary levels, staff assignments, 
number of staff hours, and all other budget items to show they are 
reasonable, allowable, and appropriate for the proposed activities; and 
documenting and justifying all costs.

Rating Factor 2: Need/Extent of the Problem (10 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

[[Page 11848]]

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.
    HUD will also consider your involvement in addressing barriers to 
equal homeownership or rental housing opportunities, including:
    (a) 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:
    (i) 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.
    (ii) 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.
    (iii) 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 3: Scope of Housing Counseling Services (35 Points)

    This factor addresses the quality and effectiveness of your 
proposed housing counseling plan (work plan), which 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:
    (1) The scope of housing counseling services and/or activities that 
you will provide, how these services/activities will be delivered, 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 and meet the needs of persons traditionally underserved in 
the community as identified in Rating Factor 2. In addition, you should 
identify the immediate benefits to be achieved, indicators by which 
these benefits will be measured, and the costs associated with 
providing your services, to prove cost-effectiveness.
    (2) The number of clients served by your organization and the 
complexity of the services offered. The rater will consider the variety 
and complexity of the housing counseling services you provide, taking 
into account the level of work involved in meeting the needs of your 
clients. For example, if you offer comprehensive default counseling, 
you should explicitly describe the comprehensive nature of the 
counseling activities, such as stating that it takes approximately 16 
hours of one-on-one sessions to help one family. Or, if your offer 
homebuyer education workshops, explain that you can serve 10 families 
at a time, completing a full course in 12 hours total. Again, you 
should identify the benefits associated with your services, citing 
relevant past experience as evidence of your potential achievement, and 
identifying indicators by which these benefits can be measured. The 
rater will be assessing the level of effort required to provide your 
services and the costs associated with that effort.
    Intermediaries, including state Housing Finance Agencies, must 
provide details on the activities of the intermediary organization 
(e.g. training affiliates or coordinating partnerships with lenders) 
and the activities of the affiliates or branches, explicitly stating 
the types of services offered and the time and resources associated 
with providing those services.

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 provide 
housing counseling services. 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 housing counseling 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

[[Page 11849]]

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.

    Note: HUD housing counseling funding is not intended to fully 
fund either an organization's housing counseling program, nor that 
of 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 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 towards 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 2000 application that you ``will take 
specific steps,'' describe what steps you have taken.

VIII. 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 VII.(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. The narrative responses must include the 
quantitative, as well as qualitative, information requested in the 
rating factors.
    (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 (and, if applicable, your 
affiliate organizations) 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) Intermediary. If you are an intermediary, you must provide and 
certify to the number of states in which you maintain offices, 
including the national office and all affiliate or branch offices.
    (10) 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 that covers both your network organization and your 
affiliated agencies. In FY 2001, you must list all of your affiliates 
and the cities and states in which you and your affiliates maintain 
offices, then identify which affiliates will receive funding through 
this grant award. Your application must include:
    (1) A description of your affiliated agencies. For each affiliated 
agency, list the following information:
    (a) Organization name;
    (b) Address (city, state, and zip code);
    (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, mobility counseling, 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.

[[Page 11850]]

VIII. Corrections to Deficient Applications

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

IX. 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.

X. 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.

Appendix A

    The non-standard forms, which follow, are required for your 
Housing Counseling Program application.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11854]]


      

[[Page 11855]]

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, 2001.
    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, 2001, 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 Healthy Homes and 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 Healthy Homes and 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 
Healthy Homes and 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. 
Approximately 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 primary

[[Page 11856]]

government or agency as ``the applicant.'' You may submit only one 
application. In the 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 or other formal arrangements with Community-Based 
Organizations. If selected for funding, local and State applicants must 
enter into contractual relationships or other formal arrangements 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. Your program approval date in the Federal 
Register notice published by the EPA will be used.
    (6) If you were funded under the FY 2000 Lead-Based Paint Hazard 
Control Funding competition in the FY 2000 SuperNOFA issued February 
24, 2000 (65 FR 9539), 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, coordination, and training 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), and which became effective on 
September 15, 2000. These activities are intended to allow the creation 
of a workforce properly trained in lead-safe work practices and which 
is available to conduct interim controls on HUD assisted housing 
covered by these regulations. 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.

[[Page 11857]]

    (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.
    (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) Lead-Safe Work Practice Training Activities. The budget 
proposed must include a minimum of two (2) percent of the total Federal 
amount to promote the creation of a workforce properly trained in lead-
safe work practices and which is available to conduct interim controls 
on HUD assisted housing units being treated under the provisions of the 
HUD Lead Safe Housing Regulation (Sections 1012 and 1013 of Title X of 
the Housing and Community Development Act of 1992), 24 CFR Part 35(in 
particular, paragraphs 35.1330 (a) (4) (iii)-(v), published September 
15, 1999 (64 FR 50201 et eq.).
    (4) Applied Research Activities. You may identify a maximum of five 
(5%) percent of the total grant request for applied research 
activities.
    (5) 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/offices/lead).
    (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,

[[Page 11858]]

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 or other 
volatile hazardous chemicals in a poorly ventilated space; 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 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. Testing must be 
conducted according to the HUD Guidelines and the EPA lead hazard 
standards rule at 40 CFR part 745, subparts D and L. 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 and the EPA lead hazards standards rule 
at 40 CFR part 745, subparts D and L. You are required to meet the 
post-hazard control dust-wipe test clearance thresholds at 40 CFR 
745.227(e)(8)(viii). 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 
publications Preventing Lead Poisoning in Young Children (1991), and 
Screening Young Children for Lead Poisoning: Guidance for State and 
Local Public Health Officials (1997).
    (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 and the relative cost of these methods.
    (P) Section 3 Employment Opportunities. Please 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 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.
    (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

[[Page 11859]]

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 document and justify all budget 
categories and costs (Part B of Standard Form 424A).
    (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;
    (d) Other data relevant to the target area or jurisdiction that may 
document an unmet need. These data may include the number of lead 
poisoned children where the identified lead-based paint hazards have 
not been remediated, the number of lead-based paint health and/or 
housing code violations, or the number of pre-1978 housing units 
anticipated to undergo rehabilitation in the next 12 months; 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

[[Page 11860]]

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.

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 
training, 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-

[[Page 11861]]

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; 
evaluation; hazard control; and clearance.
    (v) Describe how you will integrate proposed lead hazard control 
activities with rehabilitation activities, including the training 
needed to create a workforce properly trained in lead-safe work 
practices for units being treated under other HUD programs.
    (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, and others in lead-safe 
practices. Describe how you will integrate such practices into lead 
hazard control activities including interim control work conducted on 
HUD assisted housing units being treated under the provisions of the 
HUD Lead-Safe Housing Regulation.
    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) and private resources 
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. 
Leveraging arrangements with investor-owners may have the benefits of 
increasing the efficiency of public lead hazard expenditures and 
creating a financial stake for investor owners in the quality of lead 
hazard control work. In advance of the actual agreements with investor-
owners, however, it may be difficult to predict the precise amount of 
contributions they will generate. Contractual or other formal 
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.
    (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 being 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.

[[Page 11862]]

    (4) For meeting the required match, 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 current and future 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 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, Centers 
for Disease Control and Prevention (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 providing technical assistance and 
training to 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, task forces, 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(s) 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) Describe 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), or your plan for the integration and coordination 
of lead hazard control activities into those activities in the future.
    (b) Describe plans to incorporate lead-based paint maintenance, 
essential maintenance practices, and hazard control standards with the 
applicable housing codes and health regulations, including training of 
workers to conduct such activities.
    (c) Describe plans to generate and use public subsidies or other 
resources (such as revolving loan funds) to finance future lead hazard 
control activities.
    (d) Describe 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) Evidence 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) Detail 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) Describe plans to adopt 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) Describe efforts to coordinate and cooperate with other 
organizations which will lead to a reduction in lead risks to community 
residents. This could include such activities as free training to 
create a workforce properly trained in lead safe work practices, 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.

[[Page 11863]]

    (2) Application Checklist. Your application must contain the items 
listed in this Section VI(A)(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 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. A 
minimum of 2% of the total Federal amount must be dedicated to 
activities to create a workforce properly trained in lead-safe work 
practices. 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) Contracts, 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).

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).
BILLING CODE 4210-32-P

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[[Page 11875]]

FUNDING AVAILABILITY FOR HEALTHY HOMES RESEARCH PROGRAM OVERVIEW

    Purpose of the Program. To fund research to improve methods for 
detecting and controlling residential environmental health and safety 
(EHS) hazards. 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.
    Available Funds. Approximately $1.5 million.
    Eligible Applicants. Academic and not-for-profit institutions 
located in the U.S., State and local governments, and Federally-
recognized Indian tribes are eligible to apply. For-profit firms also 
are eligible; however, they are not allowed to earn a fee.
    Application Deadline. May 17, 2001.
    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, 2001, 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 Healthy Homes and 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 Healthy Homes and Lead Hazard 
Control, Suite 3206, 490 L'Enfant Plaza, SW, Washington, DC 20024. Hand 
carried applications will be accepted at this address (490 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 Healthy Homes 
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: 
Ms. Ellen Taylor, Office of Healthy Homes and 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 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 2001. 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. In the FY 2001 Budget, HUD 
received a third 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/offices/lead.
    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 this Healthy Homes 
Research program section of the SuperNOFA briefly describes the 
housing-associated health and injury hazards HUD considers key targets 
for intervention. Appendix B to this Healthy Homes Research program 
section of the SuperNOFA lists the references that serve as the basis 
for the information provided in this Healthy Homes Research 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. 
HUD recognizes that there are many key scientific and implementation 
questions related to this Initiative, some of which were articulated in 
the HHI Preliminary Plan. With this NOFA, HUD hopes to advance the 
recognition and control of residential environmental health and safety 
hazards and more closely examine the link between housing and health.
    (B) Eligible Applicants. Academic and not-for-profit institutions 
located in the U.S., State and local governments and Federally-
recognized Indian tribes 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

[[Page 11876]]

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 evaluation and control 
of environmental health and safety hazards in the home. Through the 
Healthy Homes Initiative, HUD is assessing and promoting new risk 
reduction techniques and research on the control of key hazards 
described in Appendix A. 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 education 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.
    A table of examples of current Healthy Homes and lead-related 
research projects being funded by HUD can be found in Appendix C.
    (2) HUD is interested in the following research topics:
    (a) Evaluation of residential Environmental Health and Safety (EHS) 
hazard control methodologies.
--Controlling excess moisture and dust, and improving indoor air 
quality (e.g., controlling combustion products) have been identified as 
key areas in the HHI Preliminary Plan.
    (b) Low-cost analytical techniques for the rapid, on-site 
determination of environmental contaminants of concern (e.g., 
bioaerosols, pesticides, allergens).
--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.
    (c) New or Novel Methods of EHS Hazard Evaluation or Control, or 
other areas of research that are consistent with the overall goals of 
this research program section of the SuperNOFA.
--Identify and evaluate new methods and/or techniques for EHS hazard 
control in the residential environment.
--Identify materials and/or procedures that may be used for abatement 
or for interim controls.
--Show the potential utility of these methods for 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 Healthy Homes Initiative grants.
--Additional ideas will be considered with an open mind toward novel 
techniques and applications.
    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.
    Applicants should consider the efficiencies that might be gained by 
working cooperatively with some of the recipients of HUD Healthy Homes 
and Lead Hazard Control grants, who are widely distributed throughout 
the U.S. Information on current grantees is available at www.hud.gov/offices/lead.
    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.

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 B of this research program section of the 
SuperNOFA).
    (3) HUD research grant funds will not replace existing resources 
dedicated to any ongoing project.
    (4) Laboratory analysis covered by the National Lead Laboratory 
Accreditation Program (NLLAP) will be 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.
    (6) 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, will be met.
    (C) Period of Performance. The period of performance cannot exceed 
36 months from the time of award.

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 
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[[Page 11877]]

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.
    (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 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)

    This factor addresses the extent to which there is a need for your 
proposed program activities to address documented problems, target 
areas or target groups. In responding to this factor, you should 
document 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 
(A) and (C)(2)(a)-(c) of this program section of the SuperNOFA.
    (1) Your rating will be based on the scope and completeness of your 
documentation which should include available data linking housing-based 
hazards to disease or injuries to children. Examples of data that might 
be used to demonstrate need include:
    (a) Rates of childhood illnesses or injuries (e.g., asthma, burns) 
that could be caused or exacerbated by exposure to conditions in the 
home environment and/or rates of environmentally-related disease or 
adverse health effects (e.g., hypertension, elevated blood lead levels) 
that would be addressed by your research;
    (b) Unavailability of other Federal, State or local funding or 
private sector resources that could be, or is used, to address the 
problem. This includes current research projects for which funding will 
be terminated or significantly reduced in the next 12 months.
    (c) Data documenting affected groups or areas that are 
traditionally underserved or have special needs.
    (2) If your application addresses needs that are in the 
Consolidated Plan, Analysis of Impediments to Fair Housing Choice (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.
    (3) In addition, if you are seeking funding for ``other'' research, 
as is described in section III(C)(2)(c), you must document the 
importance and need for the research with respect to addressing the 
overall goal of this research program, and providing measurable 
positive impact on children's health.

Rating Factor 3: Soundness of Approach (45 Points)

    This factor addresses the quality of your proposed research plan. 
Specific components include the following:
    (1) 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.
    (2) 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.
    (3) Project management plan (5 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.
    (4) Project Evaluation (5 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 your research, and evaluate the 
effectiveness of your project:
    (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.
    (5) 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

[[Page 11878]]

General Section of this SuperNOFA. HUD is not required to approve or 
fund all proposed activities. Your budget should be submitted in the 
format recommended; an electronic spreadsheet is available on HUD's 
website, www.hud.gov/offices/lead. You must thoroughly document and 
justify all budget categories and costs (Part B of Standard Form 424A) 
and all major tasks, for yourself, sub-recipients, partners, major 
subcontractors, joint venture participants, or others contributing 
resources to the project. 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 
healthy homes programs, and/or public education in the area of 
residential EHS 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 (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, 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 D 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 D).
    (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, 424M, 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) Rating Factor 3:5, above. (See 
Appendix D.)
    (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. Any pages in excess of this limit will not be read.
    (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. Any pages in 
excess of this limit will not be read.
    (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.

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, sections 
501 and 502 of the Housing and Urban Development Act of 1970, and the 
Departments of Veterans Affairs and Housing and Urban Development, and 
Independent Agencies Appropriations Act, 2001, Public Law 106-377, 
approved October 27, 2000.

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

[[Page 11879]]

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 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 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

[[Page 11880]]

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 and 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.

Appendix B--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 
(EPA) (Lead Hazard Standards, Work Practice Standards, EPA and State 
Certification and Accreditation Programs 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 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

[[Page 11881]]

Information Center). Can be downloaded from the Internet without 
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; Final Rule at 66 FR 1205-1240, January 5, 
2001. TSCA Hotline: 202-554-1404 (not a toll-free number). Can be 
downloaded from the Internet without 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 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 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 charge from 
www.hud.gov/lea/leadwnlo.html.
    2. The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, July 1995. Can be downloaded from the Internet 
without 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. Eliminating Childhood 
Lead Poisoning: A Federal Strategy Targeting Lead Paint Hazards. 
Washington, D.C., 2000. Can be downloaded from the Internet without 
charge from www.epa.gov/children.
BILLING CODE 4210-32-P

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[[Page 11895]]

FUNDING AVAILABILITY FOR THE HEALTHY HOMES DEMONSTRATION AND 
EDUCATION PROGRAM

Program Overview

    Purpose of the Program. The purpose of the Healthy Homes 
Demonstration and Education Program 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, especially children, in a 
cost efficient manner.
    Available Funds. Approximately $5.5 million.
    Eligible Applicants. Not-for-profit institutions, and for-profit 
firms located in the U.S., State and local governments, and Federally-
recognized Indian Tribes are eligible to apply. 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, 2001.
    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, 2001, 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 Healthy Homes and 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 Healthy Homes and Lead Hazard 
Control, Suite 3206, 490 L'Enfant Plaza, SW., Washington, DC 20024. 
Hand carried applications will be accepted at this address (490 
L'Enfant) up until 5 pm on the application due date.
    After 5 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 
Healthy Homes Demonstration and Education Program. 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 Healthy 
Homes and 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 $5.5 million will be available in FY 2001. Grants 
will be awarded on a competitive basis following evaluation of all 
proposals according to the Rating Factors described in Section V(C). 
HUD anticipates that approximately 6 to 8 grants will be awarded, 
ranging from approximately $250,000 to approximately $1,000,000.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. (1) Background. In the FY 2001 Budget, HUD 
received a third 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/offices/lead.
    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 costs 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 Healthy Homes (HH) 
Demonstration and Education program section of the SuperNOFA briefly 
describes the housing-associated health and injury hazards HUD 
considers key targets for intervention. Appendix B to the HH 
Demonstration and Education program section of the SuperNOFA lists the 
references that serve as the basis for the information provided in this 
section of the 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.

[[Page 11896]]

    (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.
    (B) Healthy Homes Demonstration and Education Activities. Through 
the Healthy Homes Demonstration and Education program, HUD will 
initiate projects to promote implementation of available risk reduction 
techniques for the control of key hazards described in Appendix A. HUD 
has decided to initiate the HH Demonstration and Education projects 
through this competition. There are two 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, and
     Education projects disseminating healthy homes information 
and replicating successful interventions.
    HUD will evaluate proposals based on the elements described below. 
Although you are expected to focus your efforts in one of the two 
categories, the activities of a proposed project may also address the 
other category. Applicants are required to be specific as to the 
locations where they are targeting their intervention activities to 
occur, 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) Education Projects. Objectives to be addressed by these 
projects are:
    (a) Development and delivery of public outreach programs 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.
    (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, deteriorated 
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/offices/lead. All pest control 
activities shall incorporate the principles and methods of integrated 
pest management (IPM).
    (d) Carrying out temporary relocation of families and individuals, 
when necessary, 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, but such controls may not be a principal 
focus of the grant.
    (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 education 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

[[Page 11897]]

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 activities directed at demonstration of cost-
effective evaluation and intervention methods for assessing and 
preventing housing-based hazards.
    (o) 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 given priority for affirmatively 
marketing to low-income families with young children and such families 
should be given preference for occupancy when they are vacant.
    (p) Preparing quarterly progress 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 from the time of the award.
    (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 
Information Center at 1-800-HUD-8929.
    (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 and 
applicable EPA regulations and guidance.
    (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 for Lead Hazard Control Activities. Clearance 
dust testing for lead hazard control activities must be conducted 
according to the HUD Guidelines and the EPA lead hazards standards rule 
at 40 CFR 745 subparts D, L, and Q. You are required to meet the post-
hazard control dust-wipe test clearance thresholds at 40 CFR 
745.227(e)(8)(viii). 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 for not less than 3 years following the completion of 
intervention activities according to Section 1011(a) of the Residential 
Lead-Based Paint Hazard Reduction Act of 1992 (Title X), as amended by 
Section 217 of Public Law 104-134 (the Omnibus Consolidated Rescissions 
and Appropriations Act of 1996, 110 Stat. 1321, approved April 26, 
1996).
    (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 to (1) low 
and very low income persons, particularly those who are recipients of 
government assistance for housing, and (2) business concerns which 
provide

[[Page 11898]]

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

    (A) Threshold Requirements. Please see Section III of the General 
Section of this SuperNOFA. As an applicant, you must meet all of the 
threshold requirements of Section II(B) of the General Section of the 
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.
    (B) 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 two 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 both categories, HUD will make 
awards in the demonstration category (1), then the education category 
(2), in order.
    STEP 2. After following Step 1 if funding remains available, an 
award will be made each of the two categories, demonstration (1) and 
education (2), 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.
    (C) 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 project 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 project staff, their experience, commitment to the project, 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 project 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 project staff.
    (3) Whether you have sufficient personnel or will be able to 
quickly retain qualified experts or professionals to begin your 
proposed project 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 project 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 the 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 being, 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, 
including the Analysis of Impediments to Fair Housing Choice, AI, (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

[[Page 11899]]

larger families (See application kit for additional information).
    (c) 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.
    (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 project to identified need.

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 needs, and the 
purpose of the project. The response to this factor should include the 
following elements:
    (1) Strategy (25 points). Describe your project 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. Your budget should be submitted in the format recommended; 
an electronic spreadsheet is available on HUD's website, at 
www.hud.gov/lea/leaforms.html. You must thoroughly document and justify 
all budget categories and costs (Part B of Standard Form 424A) and all 
major tasks, for yourself, sub-recipients, partners, major 
subcontractors, joint venture participants, or others contributing 
resources to the project. 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 (P)(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 project 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.

[[Page 11900]]

    (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.
    (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) Education 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 education. 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)).

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 project. 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 project. 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 project. 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 project 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 hazard 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 hazard 
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 and/or AI 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 
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, 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

[[Page 11901]]

the SuperNOFA. The items are as follows:
    (1) Transmittal letter that summarizes your proposed project, 
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, 424M, 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(1)(b)). This information will not be counted towards the page 
limits.
    (9) The resumes and position descriptions of your project director 
and project 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.

IX. Authority

    The authority for this program is Sections 501 and 502 of the 
Housing and Urban Development Act of 1970 and the Departments of 
Veterans Affairs and Housing and Urban Development, and Independent 
Agencies Appropriations Act, 2001, Pub.L. 106-377, approved October 27, 
2000.

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 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.

[[Page 11902]]

    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 and 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. For example, 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.

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

[[Page 11903]]

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, 
(EPA) (Lead Hazard Standards, Work Practice Standards, EDP and State 
Certification and Accreditation programs 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 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 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 charge from www.hud.gov/lea/leadwnlo.html.
    Reports: 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 charge from www.hud.gov/lea/leadwnlo.html
    2. The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, July 1995. Can be downloaded from the Internet 
without 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. Eliminating Childhood 
Lead Poisoning: A Federal Strategy Targeting Lead Paint Hazards. 
Washington, D.C., 2000. Can be downloaded from the Internet without 
charge from www.epa.gov/children.

Appendix C

    The non-standard forms, which follow, are required for your 
Healthy Homes Demonstration and Education application. They are the 
Checklist and Submission Table of Contents and the Total Budget 
(Federal Share and Matching Contribution, including instructions).
BILLING CODE 4210-32-P

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[[Page 11915]]

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 $565 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 
June 22, 2001. Demolition grant applications are due on July 10, 2001.

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 Date, Application Kits, Further Information, and 
Technical Assistance

    (A) Application Due Dates. (1) Revitalization grant applications 
are due at HUD Headquarters on or before 12:00 midnight, Eastern time 
on June 22, 2001.
    (2) Demolition grant applications are due at HUD Headquarters on or 
before 12:00 midnight, Eastern time on July 10, 2001. 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.
    (3) 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).
    (B) Submission of Applications.
    (1) Revitalization Grants. (a) Send an original and one copy of 
your completed application to HUD Headquarters, 451 Seventh Street, SW, 
Room 4130, Washington, DC 20410, Attention: Mr. Milan Ozdinec, Acting 
Deputy Assistant Secretary for Public Housing Investments.
    (b) Send one copy of your completed application to your local HUD 
Field Office.
    (2) Demolition Grants. (a) Send one copy of your completed 
application to HUD Headquarters, 451 Seventh Street, SW, Room 4130, 
Washington, DC 20410, Attention: Mr. Milan Ozdinec, Acting Deputy 
Assistant Secretary for Public Housing Investments.
    (b) Send one copy of your completed application to your local HUD 
Field Office.
    (3) Field Offices: Appendix A-1.
    A list of HUD Field Offices and their hours of operation is 
included as Appendix A of the General Section of this SuperNOFA. If you 
wish to hand carry your application(s) to your local HUD Field Office, 
you may do so during normal business hours before the application 
deadline dates. On each application deadline date, HUD Field Office 
business hours will be extended to 6:00 pm. 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.
    (C) 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 Grant Information Website 
(www.hud.gov/grants) and the HOPE VI Home Page (www.hud.gov/hopevi).
    (D) Further Information and Technical Assistance. You may call, 
fax, or write Mr. Milan Ozdinec, Acting Deputy Assistant Secretary for 
Public Housing Investments, Department of Housing and Urban 
Development, 451 Seventh Street, SW, Room 4130, Washington, DC 20410; 
telephone (202) 708-0614x4166; 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.
    (E) Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants HOPE VI staff will review the NOFA 
and answer questions from members of the audience. For more information 
about the date and time of the broadcast, consult the HUD Grant 
Information Website (www.hud.gov/grants).

II. Amount Allocated

------------------------------------------------------------------------
                                                        Funds Available
                                      Allocation of    for Award in this
        Type of Assistance                funds         HOPE VI section
                                      (approximate)     of the SuperNOFA
                                                         (Approximate)
------------------------------------------------------------------------
A. Revitalization Grants for             $225,000,000       $225,000,000
 projects with 300+ units;
 preference for Section 202
 projects scoring 80+ points......
B. Revitalization Grants for all          265,000,000        265,000,000
 Housing Authorities..............
Demolition Grants.................         75,000,000         75,000,000
Technical Assistance..............         10,000,000  .................
                                   -------------------------------------
    Total.........................        575,000,000        565,000,000
------------------------------------------------------------------------


[[Page 11916]]

    (A) Revitalization Grants. (1) Allocation of Funds.
    (a) Total Allocation. Approximately $490 million of the FY 2001 
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) Group A Applications.
    (i) Section 202 Priority. Approximately $225 million of the FY 2001 
HOPE VI appropriation has been allocated to fund Revitalization 
applications that propose to revitalize severely distressed public 
housing projects that:
    (A) have 300 or more units. If your application proposes to 
revitalize more than one development or a scattered site development, 
as described in section II(A)(5)(b) and (c) of this HOPE VI section of 
the SuperNOFA, all of the units will be counted toward the 300 unit 
minimum; and
    (B) receive a score of 80 points or more; and
    (C) propose to provide replacement housing (including on-site 
replacement housing) for public housing developments that:
    (i) have been identified by HUD, in HUD's sole determination, to be 
subject to conversion or assessment under Section 202 of the Omnibus 
Consolidated Rescissions and Appropriations Act of 1996 (``Section 
202''); and
    (ii) as of January 1, 2000, have not subsequently been determined 
by HUD to have satisfied the requirements of Section 202; and
    (iii) as of January 1, 2000, have not approved Section 202 
Mandatory 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(d)), approved demolition or disposition application under section 
18 of the U.S. Housing Act, or approved HOPE VI Revitalization Grant 
(``Section 202 Developments'').
    (ii) Section 202 Priority Guidelines.
    (A) If you intend to submit an application for a Section 202 
Development, discuss your proposal with your Field Office to ensure 
that it qualifies under the standards set forth above.
    (B) If more than one development is targeted in your application 
(in accordance with section II(A)(5)(b) and (c) of this HOPE VI section 
of the SuperNOFA), and one or more qualify under Section 202, all 
developments targeted in the application will be considered to qualify 
under Section 202.
    (iii) Other Priority A Applications.
    (A) If funds remain of the $225 million allocated for Group A 
application after all applications described in (b)(i) above are 
funded, applications that target developments with 300 or more units 
will be funded, in score order, to the approximately $225 million 
allocation.
    (B) If funds remain of the $225 million allocated for all eligible 
Group A applications described in (b)(i) and (b)(iii) above are funded, 
those remaining funds will be combined with the $265 allocation for 
Group B applications.
    (c) Group B Applications.
    Approximately $265 million has been allocated to fund all other 
Revitalization applications without regard to the size of the project 
to be revitalized, including any eligible Group A applications that 
were not funded.
    (2) Application Submission.
    (a) If you submit an application that targets a Section 202 
Development, you may also submit a second application, regardless of 
whether it targets a 202 Development or the number of units in the 
development.
    (b) If you do not submit an application that targets a Section 202 
Development, you may submit only one application.
    (3) Total Grant Amount. The total amount you may request per 
Revitalization Application is limited to $35 million or the sum of the 
amounts in paragraph (4) below, of this Section II(A)(3), whichever is 
lower.
    (4) 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 (FY) 
for the building type and bedroom distribution for the public housing 
replacement units. Use the TDCs in effect 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 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 (CSS). You may request an 
amount up to 15 percent of the total HOPE VI grant to pay the costs of 
CSS activities, as described in Section IV(C)(3) of this HOPE VI 
section of the SuperNOFA. These costs are in addition to the TDC 
calculation in subparagraph (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: abatement of extraordinary 
environmental site hazards; removal or replacement of extensive 
underground utility systems; extensive rock and/or soil removal and 
replacement; removal of hazardous underground tanks; work to address 
unusual site conditions such as slopes, terraces, water catchments, 
lakes, etc.; and work to address flood plain and other environmental 
remediation issues. Costs to abate asbestos and lead-based paint should 
be included in normal demolition costs where such items are found 
within the structures themselves. An example of extraordinary lead-
based paint would be where the lead has leached into the soil and 
extraordinary measures are needed to remove the lead.
    (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. An Extraordinary Site Costs Certification is included in 
the HOPE VI Application Kit.
    (e) You may not use HOPE VI Revitalization Grant funds to pay for 
any revitalization activities carried out before the date of the letter 
announcing the award of the HOPE VI Grant.
    (f) You may use any non-public housing funds to supplement public 
housing funds for any project cost.
    (g) 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 or Capital Funds used for 
prior rehabilitation activities unrelated to the proposed HOPE VI 
revitalization activities.
    (5) Revitalization Site and Unit Application Guidelines.
    (a) Except as provided in subparagraphs (b) and (c) below, each

[[Page 11917]]

application must target one severely distressed public housing project 
(i.e., a project with one development number).
    (b) Each 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 to revitalize a scattered 
site public housing project. The sites targeted in an application 
proposing to revitalize scattered sites (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 a 
project that is being revitalized or replaced under a previously-funded 
HOPE VI Revitalization grant or another source of HUD funds. However, 
you may not apply for new HOPE VI Revitalization funds for units in 
that project that were funded by the previous HOPE VI Revitalization 
grant or other HUD funds, even if the previously-awarded HUD funds 
turned out to be inadequate to pay the costs to revitalize or replace 
all of the targeted units. For example, if a project has 700 units and 
you were awarded HOPE VI Revitalization grant funds or other HUD public 
housing funds to address 300 of those units, you may submit an FY 2001 
HOPE VI Revitalization application to revitalize the remaining 400 
units. You may not apply for supplemental funds to supplement work on 
the original 300 units.
    (B) Demolition Grants. (1) Allocation of Funds. Approximately $75 
million of the FY 2001 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.
    (2) Demolition Grant Limitations.
    (a) Demolition. You may request up to $5,000 per unit for 
demolition and other eligible related costs.
    (b) Relocation. (i) You may request up to $3,000 in relocation 
costs for each unit that is occupied as of the date you submit your 
HOPE VI Demolition grant application.
    (ii) At least half of the funds requested for relocation must be 
used to provide mobility counselling and other services to promote the 
self-sufficiency of displaced residents, and must be matched by non-
HOPE VI funds in accordance with Section IV(E)(2)(d)(ii) of this HOPE 
VI section of the SuperNOFA, below.
    (c) Extraordinary Site Costs. (i) You may request a reasonable 
amount to pay extraordinary site costs necessary to complete the 
proposed demolition. If requested, extraordinary site 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. For Priority 
Group 4 applications, as described in Section VII(A)(1)(d) below, 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: abatement of extraordinary 
environmental site hazards; removal of extensive underground utility 
systems; extensive rock and/or soil removal and replacement; removal of 
hazardous underground tanks; work to address unusual site conditions 
such as slopes, terraces, water catchments, lakes, etc.; and work to 
address flood plain and other environmental remediation issues. Costs 
to abate asbestos and lead-based paint should be included in normal 
demolition costs where such items are found within the structures 
themselves. An example of extraordinary lead-based paint would be where 
the lead has leached into the soil and extraordinary measures are 
needed to remove the lead.
    (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. An Extraordinary Site Costs Certification is included in 
the HOPE VI Application Kit.
    (d) Nondwelling Facilities.
    (i) You may request reasonable amounts to pay for the 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 demolition of heating plants, community buildings, or 
streets.
    (ii) Such costs must be justified and verified by an engineer or 
architect, as described in subparagraph (c)(ii) above. A Nondwelling 
Facilities Cost Certification is included in the Demolition Grant 
Application section of the HOPE VI Application Kit.
    (e) HUD recognizes that the HOPE VI grant may not cover the total 
costs of relocation, abatement, and demolition in all cases and that 
you may have to provide additional funding from other sources.
    (f) You may not use HOPE VI Demolition Grant funds to pay for any 
demolition or related activities carried out before the date of the 
letter announcing the award of the HOPE VI Grant.
    (3) Demolition Site and Unit Application Guidelines.
    (a) You may submit up to 10 HOPE VI Demolition grant applications 
that target a total of no more than 4,500 severely distressed public 
housing units.
    (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 target as many or as few units per application as you 
wish.
    (C) Section 8. (1) If you anticipate that you will need Section 8 
assistance in order to carry out necessary relocation in conjunction 
with proposed revitalization or demolition during FY 2002, you must 
state the number of certificates you will need, both in total and in FY 
2002, and include a completed Section 8 Application (HUD-52515) for the 
units you will need in FY 2002 with your HOPE VI application. The 
Section 8 Application Form can be found in the HOPE VI Application Kit 
and from 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. If you are 
successful in receiving a HOPE VI Revitalization grant, you should 
confirm with your Field Office that your Section 8 application is 
processed.
    (2) If you will need Section 8 assistance in fiscal years beyond FY 
2002 for revitalization or demolition that is being carried out in 
phases, or if you have unused Section 8 vouchers that are available to 
be used for HOPE VI-related relocation in FY 2002 but will need more 
for subsequent years, you must request additional vouchers only as 
needed during the appropriate fiscal years.
    (3) Section 8 assistance cannot be awarded or used to relocate 
residents from units that are to be demolished until those units have 
been approved by HUD for demolition.

[[Page 11918]]

    (4) If you have already applied for FY 2002 Section 8 assistance 
for the targeted units, include a copy of your Section 8 application 
with your HOPE VI application.
    (5) 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.
    (6) You may request Section 8 assistance to provide temporary 
relocation to families who intend to move back to the site upon 
completion of the demolition and revitalization of the severely 
distressed project.
    (7) You may request Section 8 assistance for all units covered 
under a HOPE VI Revitalization or Demolition application to relocate 
residents from units that will not be replaced with hard units.
    (8) Under standard HUD policy, Section 8 vouchers are available as 
replacement units for all units (occupied or vacant) that will be 
demolished, sold, or otherwise disposed of, minus the number of public 
housing units replaced with Federal funds. To the extent that the 
resulting number exceeds the number of units requested for relocation 
as a result of activities funded by a HOPE VI Revitalization or 
Demolition grant under this NOFA, you should apply for Section 8 
vouchers in accordance with the funding notices issued by HUD. For more 
information, see Notice PIH 2000-27, which is available through 
HUDCLIPS (www.hudclips.org).
    (D) Technical Assistance. The FY 2001 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.

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. (1) Troubled Status. In accordance with 
section 24(j) of the 1937 Act, the term ``applicant'' means:
    (a) Any PHA that is not designated as ``troubled'' pursuant to 
section 6(j)(2) of the 1937 Act;
    (b) 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
    (c) Any PHA that is designated as ``troubled'' pursuant to section 
6(j)(2) of the 1937 Act and that:
    (i) Is designated as troubled principally for reasons that will not 
affect its capacity to carry out a revitalization program;
    (ii) Is making substantial progress toward eliminating the 
deficiencies of the agency that resulted in its troubled status; or
    (iii) Is otherwise determined by HUD to be capable of carrying out 
a revitalization program.
    (2) MTCS Reporting. (a) To be eligible to submit an application 
under this HOPE VI Section of the SuperNOFA, you must:
    (i) have a minimum reporting rate of not less than 85 percent for 
public housing resident records to HUD's MTCS (see 24 CFR part 908 and 
Notices PIH 98-30, 99-2, and 2000-13) for the period ending December 
1999, and
    (ii) submit a certification with your application certifying that 
you have met this requirement.
    (b) If you received less than an 85 percent rate of reporting under 
MTCS for the period ending December 1999, you will still be considered 
to have passed this threshold requirement if:
    (i) you subsequently achieved a minimum rate of not less than 85 
percent for public housing resident records under the MTCS as of the 
December 2000 reporting period, or
    (ii) you were granted forbearance by HUD under the applicable 
procedures under PIH Notice 2000-13 for the semi-annual assessment 
period ending December 2000, and
    (iii) you submit a certification with your application indicating 
that you have either:
    (A) achieved the minimum reporting rate as of the December 2000 
reporting period, or
    (B) obtained a forbearance from HUD for the semi-annual assessment 
period ending December 2000.
    (C) Eligible Activities. The following are the activities that are 
eligible to be carried out using HOPE VI Revitalization and Demolition 
Grant funds. Other activities may also be eligible at future dates as 
Congress may authorize. Keep in mind that, until HUD has approved a 
Request for Release of Funds following a responsible entity's 
environmental review under 24 CFR part 58, or until HUD has completed 
an environmental review and given approval for the action under 24 CFR 
part 50, you may not undertake any actions that are choice-limiting or 
could have environmentally adverse effects, including demolishing, 
acquiring, rehabilitating, converting, leasing, repairing, or 
constructing property, and you may not commit or spend HUD or local 
funds for these 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. 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) Relocation, including reasonable moving expenses, for residents 
displaced as a result of the revitalization of the project.
    (i) General. You must provide suitable, decent, safe, and sanitary 
housing for each family required to relocate as a result of 
revitalization activities under the Revitalization Plan.
    (ii) Standard Relocation Requirements. You must carry out 
relocation activities in compliance with the following statutory and 
regulatory requirements, as applicable:
    (A) Relocation or temporary relocation carried out as a result of 
rehabilitation under an approved 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 regulations.
    (B) Relocation carried out as a result of acquisition under an 
approved Revitalization Plan is subject to the URA and regulations at 
24 CFR 941.207 or successor regulations.
    (C) Relocation carried out as a result of disposition under an 
approved Revitalization Plan is subject to section 18 of the 1937 Act, 
as amended.
    (D) Relocation carried out as a result of demolition under an 
approved Revitalization Plan is subject to the URA.
    (iii) Relocation Application Information. In your application, you 
will provide:

[[Page 11919]]

    (A) information on your plans for relocation in your response to 
Rating Factor 3(5) (Relocation and Section 8); and
    (B) a list of the names of current residents to be relocated as of 
the date the HOPE VI Revitalization application is submitted.
    (iv) The HOPE VI Revitalization Relocation Plan. If you are 
selected to receive a HOPE VI Revitalization grant, you will be 
required to submit to HUD a HOPE VI Revitalization Relocation Plan, 
including a Reoccupancy Agreement executed with the recognized resident 
body, as described in Section IV(D)(1)(c) of this HOPE VI Section of 
the SuperNOFA.
    (b) Demolition of dwelling units and nondwelling facilities, in 
whole or in part. You may not carry out, nor permit others to carry out 
the demolition of any units or nondwelling facilities until HUD 
approves one of the following:
    (i) information in your HOPE VI Revitalization Application, along 
with any supplemental information requested by HUD after the award of 
the grant. Section 24(g) of the 1937 Act provides that severely 
distressed public housing demolished pursuant to a Revitalization Plan 
is not required to be approved by a demolition application under 
section 18 of the 1937 Act or regulations at 24 CFR part 970;
    (A) If you do not receive a HOPE VI Revitalization grant, the 
information in your application will not be used to process a request 
for demolition.
    (B) Please note that demolition is not a required element of a HOPE 
VI Revitalization application.
    (ii) a demolition application under Section 18 of the Act. While 
not required in order to proceed with demolition, you may carry out 
demolition based on an existing Section 18 demolition approval, or 
apply for Section 18 approval; or
    (iii) a Section 202 Mandatory Conversion Plan, if the project is 
subject to the requirements of Section 202.
    (c) 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.
    (d) Rehabilitation and physical improvement of public housing and/
or community facilities primarily intended to facilitate the delivery 
of community and supportive services for residents of the project and 
residents of off-site replacement housing, in accordance with 24 CFR 
968.112(b), (d), (e), and (g)-(o) and 24 CFR 968.130 and 968.135(b) and 
(d) or successor regulations, as applicable.
    (e) Development. (i) For any standard (non-mixed finance) public 
housing development activity, (whether on-site reconstruction or off-
site development), you must obtain HUD approval of a Standard 
Development Proposal submitted under 24 CFR part 941 (or successor 
part).
    (ii) For mixed-finance housing development, you must obtain HUD 
approval of a Mixed Finance Proposal, submitted under 24 CFR part 941, 
subpart F (or successor part and subpart).
    (iii) For new construction of community facilities primarily 
intended to facilitate the delivery of community and supportive 
services for residents of the project and residents of off-site 
replacement housing, you must comply with 24 CFR part 941 (or successor 
part). Information required for this activity must be included in 
either a Standard or Mixed Finance Development Proposal.
    (f) Homeownership Activities. For homeownership replacement units 
developed under a Revitalization Plan, you must obtain HUD approval of 
a homeownership proposal submitted under section 24(d)(1)(J) or Section 
32 of the 1937 Act. The Homeownership Proposal must be consistent with 
the 80 percent of Area Median Income (AMI) 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.
    (g) Acquisition.
    (i) Rental Units. For acquisition of rental units in existing or 
new apartment buildings, single family subdivisions, etc., with or 
without rehabilitation, for use as public housing replacement units, 
you must comply with 24 CFR part 941 or successor part.
    (ii) Land for Housing, Off-Site Units. For acquisition of land for 
public housing development, you must comply with 24 CFR part 941 or 
successor part.
    (iii) Land for Economic Development. (A) For acquisition of land 
for economic development-related activities that promote the economic 
self-sufficiency of residents, you must comply with 24 CFR part 941, 
subpart F, or successor part.
    (B) With HUD approval, you may also use HOPE VI grant funds for 
limited infrastructure and site improvements associated with developing 
retail, commercial, or office facilities, such as rough grading and 
bringing utilities to (but not on) the site.
    (C) You must enter into a long-term ground lease to govern the 
development and use of land acquired for economic development purposes.
    (D) You may not use HOPE VI Grant funds to pay hard development 
costs or to buy equipment for retail, commercial, or office facilities.
    (h) Necessary management improvements, including transitional 
security activities.
    (i) Reasonable costs for administration, planning, technical 
assistance, and fees and costs, as established by HUD guidance and 
policies regarding cost controls. These costs are limited to the 
incremental costs of implementing the Revitalization Plan, as 
specifically approved by HUD, such as fees for architectural and 
engineering work, program management (if any), and reasonable legal 
fees.
    (j) Community and Supportive Services (CSS). (i) The CSS Component 
of the HOPE VI Program encompasses all activities that are designed to 
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. The CSS Component is further described in 
Section IV(C)(3) of this HOPE VI section of the SuperNOFA.
    (ii) Consistent with section 24(j)(3) of the 1937 Act, you may use 
an amount up to 15 percent of the total HOPE VI Grant to pay the costs 
of CSS activities. You may spend additional sums on CSS activities 
using donations, HUD funds made available for that purpose, or other 
PHA funds.
    (iii) Consistent with section 24(d)(2) of the Act, you may deposit 
up to 15 percent of your HOPE VI grant amount into an endowment trust 
to provide CSS activities, in accordance with section IV(C)(3)(d) of 
this HOPE VI section of the SuperNOFA, below.
    (k) Leveraging other resources, including additional housing 
resources, supportive services, job creation, and other economic 
development uses on or near the project that will benefit future 
residents of the site.
    (l) Rental assistance under Section 8.
    (2) Eligible Demolition Activities. The following are the specific 
activities that are eligible using HOPE VI Demolition grant funds and 
the corresponding program requirements.

[[Page 11920]]

    (a) Relocation, including reasonable moving expenses and self-
sufficiency programs related to the permanent relocation of families.
    (i) General. You must provide suitable, decent, safe, and sanitary 
housing for each family required to relocate as a result of demolition 
activities.
    (ii) Standard Relocation Requirements. You must carry out 
relocation activities in compliance with the following statutory and 
regulatory requirements, as applicable:
    (A) Relocation as a result of demolition approved by a Section 18 
demolition application is subject to the URA and Section 18 of the Act.
    (B) Relocation as a result of demolition approved as part of a 
Section 202 Mandatory Conversion Plan is subject to the URA.
    (iii) The HOPE VI Demolition Relocation Plan. You will be required 
to provide a HOPE VI Demolition Relocation Plan in your application, as 
described in Section IV(E)(2) of this HOPE VI section of the SuperNOFA.
    (b) 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.
    (c) Demolition of nondwelling facilities, if such demolition is 
directly related to the demolition of severely distressed dwelling 
units to be demolished with funds from the HOPE VI Demolition Grant.
    (d) Restoration of the site to a ``greenfield,'' clean state by 
removing all demolished materials, filling in the site, and 
establishing a lawn. No additional improvements, such as constructing 
new curbs and gutters, installing playground equipment, or planting 
gardens may be paid for with HOPE VI Demolition grant funds.
    (e) In the case of partial demolition of a site, 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.
    (f) 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.

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, all HOPE VI applications (Revitalization and 
Demolition) must comply with the following program requirements:
    (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 Capital and Operating Funds Programs 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 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(B), (C) and (D) of the General Section of this SuperNOFA, 
all HOPE VI Grantees (Revitalization and Demolition) must comply with 
the following requirements:
    (1) Internet Access. You must have access to the Internet and 
provide HUD with email addresses of key staff and contact people.
    (2) Labor Standards. (a) Revitalization Grant Labor Standards. 
Davis-Bacon or HUD-determined wage rates apply to development or 
operation of revitalized housing to the extent required under section 
12(a) of the 1937 Act. Davis-Bacon wage rates apply to demolition 
followed by construction on the site.
    (b) Demolition Grant Labor Standards. HUD-determined wage rates 
apply to demolition followed only by filling in the site and 
establishing a lawn.
    (c) Under section 12(b) of the 1937 Act, wage rate requirements do 
not apply to individuals who:
    (i) Perform services for which they volunteered;

[[Page 11921]]

    (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.
    (3) Section 3. You 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 
(``Section 3''). Section 3 requires that, to the greatest extent 
feasible, HOPE VI Grantees direct training, employment, and other 
economic opportunities 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 HUD's Section 3 website (www.hud.gov/fhe/sec3over.html).
    (4) MBE/WBE. You 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.
    (5) OMB Circulars and Administrative Requirements. You and your 
Team, as defined in Rating Factor 1, Capacity, 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.html#circulars, and the Code of Federal Regulations can be 
found at www.access.gpo.gov/nara/cfr/index.html.
    (a) Administrative requirements applicable to PHAs are:
    (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 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 
2001 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).
    (6) Environmental Review. (a) If you are selected for funding and 
an environmental review has not been conducted on the targeted site, 
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.
    (c) You may not undertake any actions with respect to the 
Development, or with respect to any off-site replacement public 
housing, that are choice-limiting or could have environmentally adverse 
effects, including demolishing, acquiring, rehabilitating, converting, 
leasing, repairing, or constructing property proposed to be assisted 
under this NOFA, and you may not commit or expend HUD or local funds 
for these activities, until HUD has approved a Request for Release of 
Funds following a responsible entity's environmental review under 24 
CFR part 58, or until HUD has completed an environmental review and 
given approval for the action under 24 CFR part 50.
    (d) If the environmental review is completed before HUD approval of 
the HOPE VI Supplemental Submissions and you have submitted your 
Request for Release of Funds (RROF), the Supplemental Submissions 
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.
    (e) If the environmental review is not completed and/or you have 
not submitted the RROF before HUD approval of the Supplemental 
Submissions, the letter approving the Supplemental Submissions 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

[[Page 11922]]

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.
    (f) In accordance with the Grant Agreement, the costs of 
environmental reviews and hazard remediation are eligible costs under 
the HOPE VI Program.
    (7) Environmental Justice. In accordance with Executive Order 
12898,
    (a) 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, 
and
    (b) proposed activities may not have the effect of excluding or 
denying persons (including populations) from participation in or 
benefits from those activities, or subjecting persons (including 
populations) to discrimination because of their race, color, or 
national origin.
    (C) Revitalization Application Requirements. Your HOPE VI 
Revitalization application must comply with the following requirements:
    (1) Resident Training Session. (a) You must conduct at least one 
Training Session for residents of the severely distressed project(s) on 
the HOPE VI development process.
    (b) The Resident Training Session must be held after the 
publication date of the FY 2001 HOPE VI NOFA.
    (c) You must provide a certification in your application that you 
addressed the following issues during the resident training session:
    (i) relocation policies, procedures, and options;
    (ii) reoccupancy criteria;
    (iii) number of units to be built, on-site and off-site;
    (iv) partners that will provide community and supportive services;
    (v) the requirements of section 3 and plans to ensure compliance;
    (vi) plans for continued resident and community involvement; and
    (vii) community and supportive service activities to be provided 
for residents during the course of the grant term.
    (d) Notice of the Resident Training Session must be provided to 
each affected resident.
    (e) As practical and applicable, the meetings should be conducted 
in English and the language(s) most appropriate for the community.
    (f) The meeting space must be accessible for persons with 
disabilities, i.e., the meeting space must be accessible for 
wheelchairs, signing must be provided for the hearing impaired, if 
applicable, etc.
    (2) Public Meetings.
    (a) You must conduct at least three public meetings with residents 
and the broader community, including young people between the ages of 
16 and 21, to involve them in a meaningful way in the process of 
planning the revitalization and preparing the application.
    (b) 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.
    (c) At least two of the public meetings must be held after the 
publication date of this HOPE VI NOFA.
    (d) One of the public meetings may have been held before the 
publication of this NOFA, but no more than six months before such 
publication.
    (e) at least one of the public meetings must be held after the plan 
which will form the basis of the application has been established, so 
that residents and the community are fully informed about the basics of 
the proposed Revitalization Plan.
    (f) You must provide a certification in your application that you 
addressed the following issues during 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 service activities;
    (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.
    (g) As practical and applicable, the meetings should be conducted 
in English and the language(s) most appropriate for the community.
    (h) Meeting spaces must be accessible for persons with 
disabilities, i.e., the meeting space must be accessible for 
wheelchairs, signing must be provided for the hearing impaired, if 
applicable, etc.
    (3) Community and Supportive Services (CSS). (a) General. Each HOPE 
VI Revitalization application must include a CSS Component that 
includes activities 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 the CSS component, the kinds of activities that should 
be included in your CSS Workplan, and the types of organizations that 
you should consider when developing your CSS team, creating 
partnerships, and developing resources to fund your CSS activities. 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 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 
activities to be provided,
    (B) selected the entity that you reasonably believe will most 
effectively provide such activities, 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 for a CSS 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 CSS 
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).

[[Page 11923]]

    (c) Requirements of the Community and Supportive Services Workplan. 
(i) The objectives of your CSS Workplan must be results-oriented, with 
quantifiable goals and outcomes that can be used to measure progress, 
make changes in activities as necessary, and demonstrate the success of 
the CSS component of the HOPE VI 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 activities must be of an appropriate scale, type, and 
variety to meet the needs of all residents (including adults, youth 
ages 16 to 21, 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 
activities, as long as the primary participants in the activities 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 activities 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 activities 
before leaving the site.
    (vii) Resident training activities 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 component of the CSS Workplan.
    (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 activities.
    (d) CSS Activities may include, but are not limited to:
    (i) Educational activities 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 activities, 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 activities which frequently are 
key to securing private sector commitments to the provision of jobs.
    (iv) Employment training activities 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 scheduled to 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) Coordinating with health care services providers or 
providing on-site space for a health clinic, doctors, a wellness 
center, dentists, etc. that will primarily serve the public housing 
residents. HOPE VI funds may not be used to provide direct medical care 
to residents.
    (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 opportunities, and stimulate children to learn.
    (xii) Transportation, as necessary, to enable all family members to 
participate in available CSS activities 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 are the kinds of 
organizations and agencies that can provide you with in-kind, 
financial, and other types of resources necessary to carry out and 
sustain your CSS activities.
    (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) 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.
    (iii) Job development organizations which link private sector or 
non-profit employers with low-income prospective employees.
    (iv) Workforce Development Agencies.
    (v) University Schools of Public Health.
    (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

[[Page 11924]]

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/progdesc/youthb.cfm).
    (B) Step-Up (www.hud.gov/progdesc/stepup.cfm).
    (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 these MOAs can be found on the HOPE VI Home Page 
(www.hud.gov/hopevi).
    (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.cfm);
    (D) HUD's ``Officer Next Door'' initiative (www.hud.gov:80/ond/
ond.html);
    (E) The local 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 (www.hud.gov:80/progdesc/
opsafe.cfm); and
    (G) HUD's Drug Elimination Programs.
    (f) Endowment Trust for Community and Supportive Services. 
Consistent with section 24(d)(2) of the Act, you may deposit up to 15 
percent of your HOPE VI grant (the maximum amount of the award 
allowable for CSS activities) into an endowment trust to provide CSS 
activities. HUD will review the amount of your proposed HOPE VI 
allocations to an endowment trust as part of its review and approval of 
your CSS Workplan. In reviewing your proposed allocations to the 
endowment trust, HUD will take into account your demonstrated ability 
to pay for current CSS activities with HOPE VI or other funds, and the 
projected long-term sustainability of the trust to carry out CSS 
activities. HUD intends to issue separate guidance concerning the 
establishment, operation and management of HOPE VI-funded endowment 
trusts. These provisions will be incorporated into the FY 2001 HOPE VI 
grant agreement that you execute with HUD. Once HUD approves your CSS 
Workplan and determines that the endowment trust has been established 
and will thereafter be operated and maintained, in accordance with the 
HOPE VI grant agreement, HUD will release HOPE VI funds to you in a 
lump sum for deposit into the endowment trust. You must invest the 
endowment funds in a wise and prudent manner. Although HUD considers 
the deposit of endowment trust funds in certificates of deposit and 
other types of securities that are insured, guaranteed, or issued by 
the United States of America to be wise and prudent investments, other 
investment options also are available. These options will be described 
in the guidance that HUD will be issuing. Endowment funds (together 
with any income earned on those funds) may only be used for eligible 
CSS activities, as provided in section IV(C)(3)(d) of this HOPE VI 
section of the SuperNOFA, below. 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 Grant Post-Award Requirements. If you are 
selected for funding, you must comply with the following requirements:
    (1) Revitalization Plan. After HUD conducts a post-award review of 
your application and makes a visit to the site, you will be required to 
submit components of your Revitalization Plan to HUD, as provided in 
the HOPE VI Revitalization Grant Agreement. These components include, 
but are not limited to:
    (a) Supplemental Submissions, that may include revisions and 
clarifications to your application;
    (b) a Community and Supportive Services Workplan, in accordance 
with guidance provided by HUD; and
    (c) a HOPE VI Revitalization Relocation Plan, in conformance with 
the requirements of HOPE VI relocation guidance as provided by HUD, 
that describes the assistance and the services to be provided to 
affected families.
    (i) The HOPE VI Revitalization Relocation Plan is intended to 
ensure that residents who have been temporarily or permanently 
relocated, as well as any residents yet to be relocated, by activities 
funded by a HOPE VI Revitalization Grant are provided with CSS 
activities such as mobility counseling and direct assistance in 
locating housing.
    (ii) The HOPE VI Revitalization Relocation Plan must include a 
Reoccupancy Agreement that establishes the criteria for relocated 
residents to occupy the revitalized units, executed between the 
recognized resident body, the PHA, and, if applicable, the entity that 
will own the public housing units.
    (iii) You may not begin relocation activities until your HOPE VI 
Revitalization Relocation Plan has been approved by HUD.
    (d) a standard or mixed-finance development proposal, as 
applicable;
    (e) a disposition application, as applicable; and
    (f) a homeownership proposal, as applicable.
    (2) Neighborhood Networks. All Revitalization Grantees will be 
required to be approved as Neighborhood Networks Centers. This Program, 
which supports HUD's Bridging the Digital Divide policy initiative, as 
described in Section VI(H) of the General Section, provides 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. 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).
    (3) 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 Grant 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 CSS activities (you may use up to 15 
percent of your grant for such activities), you must certify that you 
will provide supplemental funds from sources other than HOPE VI, dollar 
for dollar, for the

[[Page 11925]]

amount over 5 percent of the grant that you will use for CSS 
activities. 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 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. Matching funds must be directly applicable to the 
revitalization of the site and the transformation of the lives of 
residents.
    (4) Program Income. If you receive program income prior to grant 
closeout (e.g., from sale of homeownership replacement units or the 
disposition of improved land), the program income:
    (a) must be reflected in your approved sources and uses statement;
    (b) must be reinvested in the Development and used for low-income 
housing purposes, as approved by HUD; and
    (c) must be used for eligible activities before you may draw down 
additional cash payments from the (HOPE VI Grant.)
    (5) Replacement Units.
    (a) Homeownership units will be deemed to be replacement units only 
if, combined with rental ACC units, they 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)(f), above, of this HOPE VI section of the SuperNOFA.
    (b) Rental units will be deemed to be public housing replacement 
units and qualify for operating subsidy only if:
    (i) Combined with public housing homeownership replacement units, 
the units do not exceed the lesser of:
    (A) The number of units that you had under ACC on August 21, 1996; 
or
    (B) The number of units for which you were receiving operating 
subsidy on August 21, 1996; and
    (ii) The units are to be placed under an ACC and operated as public 
housing units.
    (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.
    (6) 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 start construction within 12 months from the date of 
HUD's approval of the Supplemental Submissions as requested by HUD 
after grant award. 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 your Supplemental Submissions. 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.
    (7) Building Standards. (a) All activities that include 
construction, rehabilitation, lead-based paint removal, and related 
activities must meet or exceed local building codes.
    (b) 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. You are also encouraged to read the 
policy statement and Final Report of the HUD Review of Model Building 
Codes that identifies the variances between the design and construction 
requirements of the Fair Housing Act and several model building codes. 
That report can be found on the HUD Home Page (www.hud.gov/fhe/modelcodes).
    (c) 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.
    (d) 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. 
``A Guide to Deconstruction'' can be found at (www.hud.gov/deconstr.pdf). Articles about specific deconstruction projects can be 
found on the U.S. Forest Service website (www.fpl.fs.fed.us/query.asp); 
enter deconstruction as the search term.
    (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(G) of the General 
Section of this SuperNOFA and on the PATH website (www.pathnet.org).
    (f) In accordance with Section VI(E) of the General Section of this 
SuperNOFA, HUD encourages you to incorporate the principles of 
Universal Design when developing housing and community facilities. The 
intent of Universal Design is to make housing units and community 
facilities more usable by as many people as possible, regardless of age 
and ability, at little or no extra cost. Examples include designing 
wider doorways, installing levers instead of doorknobs, and putting 
bathtub/shower grab bars in all units. Computers and telephones can 
also be set up in ways that enable as many residents as possible to use 
them.
    (g) There must not be any environmental or public policy factors 
such as sewer moratoriums that would preclude development in the 
requested locality.
    (8) Lead-Based Paint. You must comply with lead-based paint testing 
and abatement requirements for HUD-associated housing, as provided for 
under the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821, et 
seq.). You must also comply with regulations at 24 CFR part 35, 24 CFR 
965.701, and

[[Page 11926]]

24 CFR 968.110(k), as they may be amended or revised from time to time. 
Unless otherwise provided, you will be responsible for testing and 
abatement activities.
    (9) Site and Neighborhood Standards for Replacement Housing. You 
must comply with the Fair Housing Act and Title VI of the Civil Rights 
Act of 1964, and regulations thereunder. In determining the location of 
any replacement housing, you must comply with either the site and 
neighborhood standards regulations at 24 CFR 941.202 (b-d) or with the 
standards outlined below.
    (a) Goals of the HOPE VI Program. The HOPE VI Program provides 
resources to address the needs of severely distressed public housing 
developments within an administrative framework of less intrusive 
Federal oversight and increased reliance on informed local 
decisionmaking. HOPE VI Grants are made so that Grantees can develop 
and implement comprehensive strategies that address not only the 
physical and management needs of the developments, but also the social 
and economic needs of the residents and the surrounding community. You 
are expected to ensure that your Revitalization Plan will expand 
assisted housing opportunities in non-poor and non-minority 
neighborhoods and/or will accomplish substantial revitalization in the 
Development and its surrounding neighborhood. You are also expected to 
ensure that eligible households of all races and ethnic groups will 
have equal and meaningful access to the housing.
    (b) Objectives in Selecting HUD-Assisted Sites. The fundamental 
goal of HUD's fair housing policy is to make full and free housing 
choice a reality. Housing choice requires that households of all races 
can freely decide the type of neighborhood where they wish to reside, 
that minority neighborhoods are no longer deprived of essential public 
and private resources, and that stable, racially-mixed neighborhoods 
are available as a meaningful choice for all. To make full and free 
housing choice a reality, sites for HUD-assisted housing investment 
should be selected so as to advance two complementary goals:
    (i) expand assisted housing opportunities in non-minority 
neighborhoods, opening up choices throughout the metropolitan area for 
all assisted households; and
    (ii) reinvest in minority neighborhoods, improving the quality and 
affordability of housing there to represent a real choice for assisted 
households.
    (c) Compliance with Fair Housing Act and Title VI of the Civil 
Rights Act of 1964. You must comply with the Fair Housing Act and Title 
VI of the Civil Rights Act of 1964, and implementing regulations, in 
determining the location of any replacement housing.
    (d) Grantee's Election of Requirements. You may, at your election, 
separately with regard to each site you propose, comply with the 
development regulations regarding Site and Neighborhood Standards (24 
CFR 941.202 (b)-(d)), or with the Site and Neighborhood Standards 
contained in this Section.
    (e) Replacement Housing Located On Site or in the Surrounding 
Neighborhood. Replacement housing under HOPE VI that is located on the 
site of the existing project or in its surrounding neighborhood will 
not require independent approval under Site and Neighborhood Standards, 
since HUD will consider the scope and impact of the proposed 
revitalization to alleviate severely distressed conditions at the 
public housing project and its surrounding neighborhood in assessing 
the application to be funded under this NOFA. For the purposes of this 
review, the term ``surrounding neighborhood'' means the neighborhood 
within a three mile radius of the site of the existing project.
    (f) Off-Site Replacement Housing Located Outside of the Surrounding 
Neighborhood. Unless you demonstrate that there are already significant 
opportunities in the metropolitan area for assisted households to 
choose non-minority neighborhoods (or these opportunities are under 
development), HOPE VI replacement housing not covered by (9)(e) of this 
Section may not be located in an area of minority concentration (as 
defined in paragraph (g) below) without the prior approval of HUD. Such 
approval may be granted if you demonstrate to the satisfaction of HUD 
that:
    (i) you have made determined and good faith efforts, and found it 
impossible with the resources available, to acquire an appropriate 
site(s) in an area not of minority concentration;
    (ii) the replacement housing, taking into consideration both the 
CSS activities or other revitalizing activities included in the 
Revitalization Plan, and any other revitalization activities in 
operation or firmly planned, will contribute to the stabilization or 
improvement of the neighborhood in which it is located, by addressing 
any serious deficits in services, safety, economic opportunity, 
educational opportunity, and housing stock; or
    (iii) the replacement housing is located in a neighborhood that is 
not an area of high poverty rate (30 percent or more).
    (iv) HUD recognizes that in some metropolitan areas, factors 
including the cost of land, jurisdictional limits, or political 
opposition may make it extremely difficult for you to acquire and 
develop non-impacted sites. If you seek approval under the condition 
stated in subparagraph (9)(f)(i) above, you must detail your efforts 
with sufficient specificity for HUD to determine whether HUD can 
contribute other resources, such as legal assistance. If you experience 
or anticipate that you will experience difficulty acquiring and 
developing non-impacted sites to implement your Revitalization Plan, 
you are strongly encouraged to consult with HUD prior to concluding 
that you have demonstrated impossibility.
    (g) Area of Minority Concentration. The term ``area of minority 
concentration'' is any neighborhood in which:
    (i) the percentage of households in a particular racial or ethnic 
minority group is at least 20 points higher than the percentage for the 
housing market area; i.e., the Metropolitan Statistical Area in which 
the proposed housing is to be located, or
    (ii) the neighborhood's total percentage minority is at least 20 
points higher than the percentage for the housing market area as a 
whole.
    (E) Demolition Grant Application Requirements. (1) Eligible Units. 
Severely distressed public housing units to be demolished with HOPE VI 
Demolition grant funds must meet one of the criteria in the description 
of priority groups in Section VII(A)(1) of this HOPE VI Section of the 
SuperNOFA.
    (2) The HOPE VI Demolition Relocation Plan. 
    (a) General. You will be required to provide a HOPE VI Demolition 
Relocation Plan in your application. It is as important to provide 
relocating families in demolition-only situations with supportive 
services as it is to provide such services in connection with HOPE VI 
Revitalization grants.
    (b) HOPE VI Demolition Relocation Plan. Your HOPE VI Demolition 
Relocation Plan that you include in your application must describe how 
you will:
    (i) provide a reasonable time between notification and date to 
vacate units;
    (ii) provide one-on-one move counseling to ensure that families 
fully understand the choices open to them for alternative housing 
throughout the jurisdiction and secure units in neighborhoods of their 
choice;

[[Page 11927]]

    (iii) provide self-sufficiency programs that will help residents; 
acquire the skills to live in the selected community, sustain their new 
living arrangement for the foreseeable future, and facilitate a smooth 
transition from public to private rental housing, both for relocatees 
and for members of their new communities; and (iv) ensure 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.
    (c) Current Residents. In your application, you must list the names 
of each resident in occupancy as of the date the application is 
submitted.
    (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) 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 or as otherwise approved by HUD to accommodate reasonable 
relocation and demolition schedules.
    (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 
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 Requirement. 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 requirement to 
match physical demolition activities using non-HOPE VI funds. However, 
throughout the life of the HOPE VI grant, you must partner with other 
agencies to obtain goods, services, and additional non-HOPE VI funding 
to enhance the self-sufficiency activities funded by HOPE VI, in an 
amount that is at least twice the amount of the HOPE VI grant funds 
received for relocation.

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)(1) 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 Grant Applicant Certifications. 
The Certifications are included in the HOPE VI Application Kit, and the 
text of the Certifications is included as Appendix A (Revitalization) 
and Appendix B (Demolition) to this HOPE VI section of the SuperNOFA.
    (c) For Revitalization applications, 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.
    (d) For Demolition applications, a severely distressed project that 
has been legally vacated (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.
    (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 rebuild on the site and/or build off-site 
replacement public housing in isolated or non-residential areas, or 
propose unit types or costs which cannot be supported by a market 
analysis. 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) Severe Physical 
Distress.
    (a) Your application must include the Severe Physical Distress 
Certification that the project meets the definition of severe physical 
distress 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 
include 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, in order to indicate the 
condition of the project at the time of application submission. If you 
neglect 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 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 
demolition. Your application must include a Severe Physical Distress 
Certification Form, as provided in the HOPE VI Application Kit, signed 
by an engineer or architect, that the project met the definition of 
physical distress as of the day the demolition application approval 
letter was dated by HUD.

[[Page 11928]]

    (2) Separability. (a) 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.
    (b) You must demonstrate that the site plan and building designs of 
the revitalized portion 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) Resident Training Session. (a) You must conduct at least one 
training session in accordance with the requirements of Section 
IV(C)(1), above, of this HOPE VI section of the SuperNOFA. To 
demonstrate that you have met each requirement, you must include the 
following evidence in your application:
    (i) a copy of the notice of the resident training session and a 
description of how it was distributed to each affected resident;
    (ii) the agenda for the resident training session, indicating that 
the training session was held after the publication of the FY 2001 
SuperNOFA;
    (iii) a copy of the first page of the sign-in sheets, with a 
certification at the bottom of the page stating the total number of 
signatures collected at the training session; and
    (iv) a certification, as provided in the HOPE VI Application Kit, 
that the issues itemized in Section (IV)(C)(1)(c) of this HOPE VI 
section of the SuperNOFA were addressed at the resident training 
session.
    (b) The training session may take place on the same day as one of 
the public meetings as provided by Section IV(C)(2), but it must be a 
separate meeting, i.e., one session may not be considered both a 
training session and a public meeting.
    (4) Public Meetings. You must conduct at least three public 
meetings, in accordance with the requirements of Section IV(C)(2), 
above. To demonstrate that you have met each requirement, you must 
include the following evidence for each meeting in your application:
    (a) The notices announcing the meetings:
    (i) Provide a copy of the notice for each meeting as it appeared in 
a commercial newspaper or journal that serves both the public housing 
project and the broader community.
    (ii) HUD will use the dates of the notices to determine whether the 
following requirements were met:
    (A) No more than one public meeting that was held more than six 
months before the publication of this SuperNOFA may be counted as one 
of the three required public meetings;
    (B) at least two of the public meetings must be held after the 
publication of this SuperNOFA;
    (C) at least one of the public meetings must be held after the plan 
which will form the basis of the application was established.
    (b) Provide a copy of the first page of the meeting sign-in sheets 
for each meeting, and a certification at the bottom of the page stating 
the total number of signatures collected.
    (c) Provide a copy of the minutes of each meeting that constitutes 
a summary (not a word-for-word transcription) of the discussion. (A 
one-page summary of each meeting is suggested.) Each set of minutes 
must include the notarized signature of the person who took the 
minutes. 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.
    (d) Provide a certification, as provided in the HOPE VI Application 
Kit, that, during the course of the three meetings, all of the issues 
listed in section (IV)(C)(2)(f) of the HOPE VI section of this 
SuperNOFA were addressed (i.e., all issues need not be addressed at 
each meeting).
    (5) Submission of the documentation required for the resident 
training session and the public meetings is a curable item and is not 
rated. If you fail to submit all of the required documentation that you 
have conducted the training session and 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 training session or public meeting after 
the application deadline date in order to cure a deficiency identified 
by HUD.
    (6) Location. In accordance with Section II(A)(5)(b) and (c) of 
this HOPE VI section of the SuperNOFA, above:
    (a) if your application requests funds for more than one project, 
those projects must be 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.
    (b) If your application requests funds for a scattered site public 
housing project, regardless of whether the scattered sites are under 
multiple project numbers, all of the properties 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.
    (C) Demolition Grant 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 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 Grant 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) 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

[[Page 11929]]

review, completeness review, and rating activities 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(G) 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, in accordance with 
the allocation of funds described in section II(A)(1) of this HOPE VI 
section of the SuperNOFA.
    (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 2001 HOPE VI appropriation (Title II 
of Pub. Law 106-377), HUD may not use HOPE VI funds to grant 
competitive advantage in awards to settle litigation or pay judgments.
    (E) Tie Scores. If two or more applications within any of the 
funding categories listed in section II(A)(1) above 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) Transfer to Demolition Grants. If funds remain after all 
eligible HOPE VI Revitalization grant applications are funded, or if 
the amount remaining is inadequate to feasibly fund the next eligible 
Revitalization application, HUD reserves the right to:
    (1) reallocate unused funds to fund or supplement the next eligible 
HOPE VI Demolition grant application(s), in Priority and Ordinal order, 
and/or
    (2) carry over unused funds to the next fiscal year.
    (G) 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 you and the 
members of your Team to carry out the revitalization activities 
proposed in your application. The term ``your Team'' includes the HOPE 
VI Coordinator and PHA staff, developers, program managers, property 
managers, subcontractors, consultants, and any other public and private 
entities identified and/or proposed to carry out program activities. 
You and your Team will be rated on your capacity to manage large-scale 
redevelopment or modernization projects, manage effective community and 
supportive service programs, and manage private and/or public housing.
    For each major aspect of the revitalization effort (physical 
redevelopment, CSS activities, 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 appropriate 
members of your Team. 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 your 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 large scale revitalization; and/or your ability to identify 
needs in your current staffing and fill such gaps internally or 
externally in a timely manner in order to successfully 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) Physical Redevelopment Capacity and Experience: 7 Points.
    (a) You will receive 5 to 7 points if:
    (i) Your development team, including the developer, program manager 
(if any), financial consultant (if any) attorneys, etc., is in place 
and you have identified staff capacity needs which you are prepared to 
fill promptly upon award. You must demonstrate, using specific data or 
other documentation, where applicable, that your Team has 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. You must document the experience of each 
relevant member of your Team. If tax credits are proposed, you must 
document the tax credit experience of each relevant member of your 
Team.

[[Page 11930]]

    (ii) If you have not yet procured member(s) of your Team to plan, 
implement, and manage the revitalization activities, including physical 
development, financing, leveraging, and partnership activities, you 
have a feasible plan for securing such an entity in a timely manner and 
your description of what you will include in the Request For Proposal 
(RFP) or Request for Qualifications (RFQ), as appropriate, to secure 
such team members is well articulated and will result in the selection 
of a highly capable Team.
    (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.
    (v) You do not have any outstanding capital program audit findings.
    (b) You will receive 1 to 4 points if you describe and demonstrate 
that your Team has some knowledge, experience, and capacity to plan, 
implement, and manage large scale revitalization, or your method and 
criteria for selecting members of your 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:
    (i) you cannot describe and demonstrate that you can procure a 
qualified development team;
    (ii) your current HOPE VI grant is behind schedule;
    (iii) you do not demonstrate your ability to implement your plan 
quickly upon grant award; or
    (iv) there is not enough information in your application to enable 
HUD to rate this factor.
    (2) Community and Supportive Services (CSS) 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) You have recent, successful experience in planning, 
implementing, and managing the types of CSS activities proposed in your 
application;
    (ii) You have procured a member(s) of your Team who has the 
qualifications and experience to manage and coordinate the activities 
in your CSS Workplan, and/or you have a plan for promptly hiring staff 
or procuring a Team member to do so;
    (iii) You have strong relationships and commitments from members of 
your team which will enable you to carry out the activities in your CSS 
Workplan. Your Team members represent a wide variety of organizations, 
including TANF and Workforce Development Agencies, that have excellent 
experience providing the kinds of activities proposed.
    (b) You will receive 2 to 3 points if you have demonstrated and 
documented limited experience and capacity on the part of your Team in 
the above elements (paragraphs (a)(i) through (a)(iii) above).
    (c) You will receive 1 point if you have demonstrated minimal 
experience and capacity on the part of your Team in the above elements 
(paragraphs (a)(i) through (a)(iii) above).
    (d) You will receive 0 points if:
    (i) you demonstrate no experience or capacity on the part of your 
Team in the above elements, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (3) Property Management Capacity and Experience: 4 Points. Property 
management activities may be the responsibility of the PHA, or a member 
of the 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 the property management member of your Team currently has 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 a Team member with excellent experience 
by thoroughly describing the qualifications you will include in the RFP 
to procure such services. In demonstrating your Team's current property 
management experience or your capacity to procure a team member with 
excellent experience, you must address 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 
the management member of your Team 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:
    (i) you demonstrate that you or the management member of your Team 
currently has little management capacity with respect to the above 
elements, or
    (ii) 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
    (iii) there is not enough information in your application to enable 
HUD to rate this factor.
    (4) Diversity of Team: 1 Point. You will receive 1 point if you 
clearly articulate an achievable plan for including minority(ies), 
women, and/or individuals with disabilities on your Team who will be 
involved in planning, development, and management of the HOPE VI 
revitalization effort. HUD encourages cost-effective joint ventures to 
provide opportunities for such diverse firms, individuals, and/or 
employees. HUD has entered into a Cooperative Agreement with the 
National Organization of African-Americans in Housing to reach out and 
identify minority professionals (developers, program managers, lenders, 
accountants, attorneys, etc.) who are interested in participating in 
the HOPE VI Program. More information about NOAAH can be found on their 
website (www.noaah.org).
    (5) Obligation of Capital Funds: 3 Points. HUD will evaluate the 
extent to which you have obligated Capital Fund amounts (including the 
Comprehensive Improvement Assistance Program (CIAP) or Comprehensive 
Grant Program (CGP) in a timely manner.
    (a) You will receive 3 points if you have obligated at least 90 
percent of your FY 1997-1999 Capital Fund amounts by the quarter ending 
before the Revitalization grant application deadline date. HUD will use 
the LOCCS disbursement system as of the quarter ending before the grant 
application deadline date to verify your obligation rate.

[[Page 11931]]

    (b) You will receive 2 points if you have obligated between 70 and 
89 percent of your 1997-1999 Capital Fund amounts.
    (c) You will receive 1 point if you have obligated between 50 and 
69 percent of your 1997-1999 Capital Grant amounts.
    (d) You will receive 0 points if:
    (i) you have obligated less than 50 percent of your 1997-1999 
Capital Grant amounts, or
    (ii) there is not enough information in your application to enable 
HUD 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 6 or 7 points if you demonstrate the need for 
revitalization due to conditions which present an immediate threat to 
the health or safety of the residents, as indicated by 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 major 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; and
    (iv) There are major building and/or site conditions, such as 
extreme levels of lead-based paint and/or asbestos, that make the site 
or a portion of the site and its housing structures unsuitable for 
residential use.
    (b) You will receive 3 to 5 points if you demonstrate the need for 
revitalization with regard to criteria listed above in paragraph (a), 
but conditions do not present an immediate threat to the health or 
safety of the residents.
    (c) You will receive 0 points if there is not enough information in 
your application to enable HUD to rate this factor.
    (2) Impact on Neighborhood: 7 Points. HUD will evaluate the extent 
to which the severely distressed public housing is a significant 
contributing factor to the physical decline of, and disinvestment by 
public and private entities in the surrounding neighborhood. HUD will 
also evaluate the extent to which the proposed 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 4 to 6 points if you demonstrate that 
revitalization of the severely distressed project with HOPE VI funds 
will significantly improve the overall health of the neighborhood and 
spur outside investment into the surrounding community.
    (b) You will receive 1 to 3 points if you demonstrate that 
revitalization of the severely distressed project with HOPE VI funds 
will improve the overall health of the neighborhood and community 
immediately surrounding the revitalized site, but will have only 
limited likelihood of spurring significant neighborhood revitalization 
activities or slowing the rate of decline in the greater neighborhood 
and community.
    (c) You will receive 0 points if you:
    (i) demonstrate that revitalization of the severely distressed 
project will have only a minor impact on the surrounding neighborhood 
and community; or,
    (ii) 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; or
    (iii) there is not enough information in your application to enable 
HUD 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 grant application 
deadline date to confirm the amount of unobligated FY 1998-2000 Capital 
Grant (including CIAP and CGP) funds currently available that could be 
used to carry out the proposed revitalization activities.
    (a) You will receive 3 points if your unobligated Capital Funds 
balance 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:
    (i) your unobligated balance is 76 to 100 percent or greater than 
the amount of HOPE VI funds requested, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (4) Need for Affordable Housing in the Community: 3 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 to 3 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

[[Page 11932]]

general circulation in the community over the most recent complete 
month prior to the Revitalization grant 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:
    (i) your analysis fails to show a need for affordable housing in 
the community, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.

Rating Factor 3: Soundness of Approach (40 Points)

    HUD is seeking Revitalization Plans that are innovative, locally 
appropriate, and address the unique needs of residents, the community, 
and the city as a whole. This rating factor evaluates the quality of 
the main components of your Revitalization Plan, including the proposed 
design, feasibility of activities, efforts to lessen concentration, 
relocation plan, CSS Workplan, efforts to reach out to residents and 
members of the community, proposed management principles and policies, 
plans to evaluate your HOPE VI activities, and 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 up 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 excellence in each of the following elements:
    (i) Design and planning;
    (ii) Cost effectiveness of proposed revitalization activities;
    (iii) Appropriateness in the context of the immediate neighborhood 
and the broader community;
    (iv) Integration of physical and social aspects of your strategy;
    (v) Appropriateness in the context of local housing markets. You 
must demonstrate that the income mix is as great as possible given 
local conditions. Typically, HUD has found that a mix of one-third 
public housing, one-third tax credit or other subsidized housing, and 
one-third market rate rental or homeownership housing is a good 
balance. However, each situation is unique and should be treated as 
such. For example, in a situation where the surrounding community is 
middle or high income, it might be appropriate to have a greater number 
of units of public and/or subsidized housing to assure housing 
opportunities for low-income people. If so, indicate that the on-site 
income mix is more heavily weighted to low-income residents, and that, 
combined with the higher incomes of off-site residents, the income mix 
is appropriate. If you cannot achieve development of housing that is 
one-third public housing, one-third tax credit or other subsidized 
housing, and one-third market rate or homeownership housing, explain 
why the alternate mix of units you propose is appropriate in the 
context of your local housing market.
    (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 up to 3 points if your plan has serious flaws 
in one of the above elements.
    (c) You will receive 0 points if:
    (i) your plan has flaws in more than one of the above elements, or
    (ii) there is not enough information in your application to enable 
HUD 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 
such as the American Institute of Architects, the American Society of 
Landscape Architects, the American Planning Association, the Congress 
for the New Urbanism, and/or the departments 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 
results in the procurement of excellent design services. HUD encourages 
you to select a design team(s) that is committed to a participatory 
design process through charettes, whereby residents, including young 
people and seniors, the broader community, and other stakeholders such 
as disability advocates, are actively involved in designing the new 
community.
    Your proposed site plan, new units, and other buildings must be 
designed to be compatible with 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 members of 
your Team who have the ability to meet these requirements, and/or 
demonstrate that you have the capacity to secure such Team members.
    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; encourage bike paths and other environmental and 
recreational enhancements; 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 Section VI(C) of 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) Your proposed plan 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:
    (i) your proposed design does not address the above elements, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (3) Feasibility of Plan: 4 Points. In awarding points under this 
rating factor, HUD will consider the following:

[[Page 11933]]

    (a) Income and Unit Mix. You will receive 1 point if you 
demonstrate that the range of incomes to be served in the revitalized 
community and the mix of unit types is as great as possible given the 
location and other local market and community factors.
    (b) 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 in the location you have chosen.
    (i) Your demonstration of the market for non-public housing units 
must 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).
    (c) Hard and Soft Development Costs. You will receive 1 point if:
    (i) Your projected hard development costs are realistic, developed 
through the use of technically competent methodologies, including cost 
estimating services, and are comparable to industry standards for the 
kind of construction to be performed in the proposed geographic area;
    (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 projected soft costs (developer's fees, PHA 
administration costs, legal fees, program manager's fees, consultants' 
fees, etc.) are justified, comparable to industry standards, 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.
    (d) Coherence and Consistency. You will receive 1 point 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. Although not required, the development of 
off-site housing is desirable to lessen the concentration of low-income 
residents on site, while maximizing the overall number of replacement 
units. You will receive 1 point if you intend to develop off-site 
housing that will lessen the concentration of low-income residents on-
site and create opportunities for desegregated, mixed-income 
communities by locating such off-site housing in neighborhoods with low 
levels of poverty and/or low 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 an economically feasible 
price, 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. HUD encourages one-for-one 
replacement of demolished units, using a combination of hard units and 
Section 8 assistance. 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 so that families will have the full range of housing 
options available to them. To receive points, you must go beyond the 
requirements of the Uniform Relocation Act and propose a comprehensive, 
results-based HOPE VI Relocation Plan in which residents are actively 
involved. Your plan must conform with the requirements of the HOPE VI 
relocation guidance as provided by HUD. In awarding points under this 
rating factor, HUD will consider the following:
    (a) Relocation Support. You will receive up to 2 points if you 
demonstrate to HUD's satisfaction your team's plan and capacity to 
effectively implement each of 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; and
    (iii) 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 demonstrate 
that you have an effective plan to involve faith-based, non-profit and/
or other 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. You must also describe an effective 
plan for working with surrounding jurisdictions to assure a smooth 
transition if residents choose to move from your jurisdiction to the 
surrounding area. 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 demonstrate 
that your Team has both the capacity and an effective plan to provide 
results-based community and supportive service program support to 
Section 8 relocatees to achieve and maintain their self-sufficiency.
    (d) Tracking. You will receive 1 point if you demonstrate that your 
Team has both the capacity and an effective plan for implementing a 
tracking system that will enable you and/or your CSS Team members to 
identify and track relocatees from the site to be revitalized and make

[[Page 11934]]

regular follow-up services available to families receiving Section 8 
assistance.
    (6) Community and Supportive Services: 4 Points. This factor 
evaluates the quality of your proposed CSS Workplan as described in 
your application. It is important that you review Section IV(C)(3)(c) 
of this HOPE VI section of the SuperNOFA for a detailed description of 
the requirements of a CSS Workplan, and Section IV(C)(3)(d) for a list 
of possible CSS activities. You are encouraged to go beyond these lists 
and propose CSS activities that break new ground by responding to 
unique needs in your community and/or which may serve as a national 
model for self-sufficiency and educational achievement.
    (a) You will receive 4 points if:
    (i) You propose a high-quality, results-oriented CSS Workplan 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 CSS Workplan is well coordinated with strong, experienced 
service providers;
    (iii) The CSS Workplan was developed using an effective needs 
assessment; and
    (iv) Mechanisms are in place to effectively measure the goals of 
the CSS Component and evaluate its success.
    (b) You will receive 2 to 3 points if your CSS Workplan has a flaw 
in one of the elements listed in paragraphs (i) through (iv) above.
    (c) You will receive 1 point if your CSS Workplan has a flaw in 
more than one of the elements listed in (a)(i) through (iv) above.
    (d) You will receive 0 points if:
    (i) you merely repeat information from the NOFA, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (7) Apprenticeship Program: 2 Points. As described Section VI(I) of 
the General Section, Bridging the Gap is a program in which HUD 
encourages you to assist public housing residents in obtaining 
construction apprenticeships. This will involve working with the local 
unions to provide entry level apprenticeships in construction, 
construction-related, and maintenance activities.
    (a) You will receive 2 points if you propose to implement a program 
that offers apprenticeships to residents or relocated residents of the 
targeted development. You must identify the union(s) you will work with 
and the number and types of jobs for which apprenticeships can be 
obtained.
    (b) You will receive 0 points if:
    (i) your program does not propose to assist residents in obtaining 
construction, construction-related, or maintenance-related 
apprenticeships, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (8) Resident and Community Outreach and Involvement: 4 Points. In 
addition to the Threshold requirement for a resident training session 
and three public meetings provided in Section V(B)(3) and (4) 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 planning, proposed implementation, and management of 
your Revitalization Plan. 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, implementation, 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:
    (i) communicated regularly and significantly with affected 
residents and members of the surrounding community about your 
application;
    (ii) Provided affected residents with substantive opportunities to 
participate in the development of the Revitalization Plan, including 
seniors and young people aged 16 to 21;
    (iii) Included other interested parties, especially members of the 
surrounding community, in the development of your plans and 
application;
    (iv) 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; and
    (v) consulted with any duly elected resident organization (resident 
council or resident management corporation) in the development of your 
Revitalization Plan.
    (b) Logistics. You will receive 1 point if you demonstrate that you 
have:
    (i) Scheduled training session(s) and public meetings with affected 
residents and other interested parties during the development of your 
application at frequent and convenient times, over and above the 
requirements of Section IV(C)(1) and (2) of this HOPE VI section of the 
SuperNOFA, above;
    (ii) Announced meetings in ways that are in addition to the 
requirements of Section IV(C)(1)(d) and (2)(b), above, designed to 
generate the most participation. Methods of announcing upcoming 
meetings include, but are not limited to:
    (A) Hand distributing flyers to residences and in locations likely 
to attract notice; and
    (B) Posting meeting information in adequate time to allow residents 
and other interested parties to plan to attend.
    (iii) Provided services needed to maximize participation, including 
day care, translators, sign language interpreters, and transportation 
to and from the meetings. If such services are not needed, explain why 
they are not.
    (iv) Ensured that all meetings are held in facilities that are 
accessible to persons with disabilities.
    (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, in order 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, as expressed by letters of 
dissent.

[[Page 11935]]

    (i) If there has been no opposition to your plan, you will 
automatically earn this point.
    (ii) 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.
    (iii) In order to give you the opportunity to respond to any 
letters of dissent, HUD will only consider copies of letters of dissent 
that are received by HUD at least ten days before the Revitalization 
grant application deadline date. To ensure that you have received each 
letter of dissent that is sent to HUD, letters of dissent must be sent 
to you by return receipt, and must include a copy of the return receipt 
acknowledgement demonstrating that you have received the letter. The 
sole purpose of this provision is to allow HUD to evaluate your 
response to the dissent expressed in such letters, and is for 
application rating purposes only; HUD will not respond directly to 
dissent letters. The ten day deadline is also for application rating 
purposes only, and does not preclude residents, members of the 
community, or any other interested party from registering dissenting 
opinions with you after the deadline has passed.
    (iv) You will not earn this point if HUD receives a properly 
documented copy of a letter of dissent that has been sent to you and 
you have not acknowledged and attempted to address the dissenting 
viewpoints in your application.
    (9) Operation and Management Principles and Policies: 3 Points. Any 
HOPE VI-funded activities at public housing projects 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. HUD will 
assess each request to determine whether good cause is established to 
grant the waiver.
    (a) You will receive 3 points if you demonstrate that your Team has 
an effective plan to carry out each of the following 10 elements of the 
``Self-Sufficiency and Economic Diversity'' and ``Safety and Security'' 
categories listed below. You must adequately address every element in 
order to earn full points for this factor.
    (b) You will receive 2 points if you demonstrate that your Team has 
an effective plan to carry out at least 7 of the 10 elements listed 
below, which must include elements 1--3 of the ``Self-Sufficiency and 
Economic Diversity'' category.
    (c) You will receive 1 point if you demonstrate that your Team has 
an effective plan to carry out at least 5 of the 10 elements.
    (d) You will receive 0 points if you demonstrate that:
    (i) Your Team has an effective plan to carry out fewer than 5 
elements; or
    (ii) The operation and management principles you propose to 
implement at the revitalization site, regardless of the number of 
elements you propose to implement, are not likely to result in improved 
management; or
    (iii) There is not enough information in your application to enable 
HUD 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 that will encourage residents to move in, move up, 
and move on. Such principles and policies 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 involvement in the resident association, performance of 
community service, participation in self-sufficiency activities, and 
transition from public housing;
    4. Complement self-sufficiency activities by creating a revitalized 
development occupied by residents with a range of incomes;
    5. Create strong, stable, well-run developments 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 the community. Such principles 
and policies must include the following activities:
    6. Institute strict applicant screening requirements such as credit 
checks, references, home visits, and criminal records checks;
    7. Strictly enforce lease and eviction provisions;
    8. Enhance 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 implement program policy efforts 
such as ``One Strike and You're Out,'' the ``Officer Next Door'' 
initiative, the Department of Justice's ``Weed and Seed'' Program task 
force (if the targeted project is located in a designated Weed and Seed 
area); HUD's ``Operation Safe Home'' Program; and/or HUD's Drug 
Elimination Programs;
    9. Improve 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.;
    10. Improve the safety of children by promoting the principles of 
Healthy Homes. Healthy Homes activities are described in Section VI(F) 
of the General Section of this SuperNOFA, the Glossary in the HOPE VI 
Application Kit, and on HUD's Healthy Homes website (www.hud.gov/consumer/hhchild.cfm).
    (10) 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 that represent 
individuals with disabilities, the elderly, and other special needs 
populations to further these goals.

[[Page 11936]]

Definitions of accessibility and adaptability can be found in the 
Glossary, which is located in the HOPE VI Application Kit and on the 
HOPE VI website (www.hud.gov/hopevi).
    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 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/groups/fairhousing.cfm). Over and above 
these accessibility requirements:
    (i) You will receive 2 points if you clearly describe your plans to 
implement all of the following suggested accessibility priorities:
    (A) Make at least 5 percent of the total dwelling units (or one 
unit per building where applicable) accessible to individuals with 
mobility impairments and 2 percent of the dwelling units (or one unit 
per building, where applicable) accessible to individuals who have 
visual or hearing impairments;
    (B) Provide one-bedroom accessible rental units for single 
individuals with disabilities;
    (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 an adequate 
explanation as to why you cannot implement all of the priorities;
    (iii) You will receive 0 points if:
    (A) 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
    (B) there is not enough information in your application to enable 
HUD to rate this factor.
    (b) Adaptability and Visitability. You will receive 1 point if your 
physical plan meets the:
    (i) 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; and
    (ii) the visitability standards adopted by HUD that apply to units 
not otherwise covered by the accessibility requirements. The elements 
of visitability are described in the HOPE VI Application Kit Glossary.
    (c) Affirmative Marketing and Outreach. You will receive 2 points 
if your program activities are targeted to 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 the specific steps you will 
take to:
    (i) Examine your own programs or proposed programs, including an 
identification of any impediments to fair housing (identified in your 
jurisdiction's Analysis of Impediments to Fair Housing Choice) and 
develop a plan to:
    (A) address those impediments in a reasonable fashion in view of 
the resources available;
    (B) work with local jurisdictions to implement any of the 
jurisdictions initiatives to affirmatively further fair housing; and
    (C) maintain records reflecting this analysis and actions.
    (ii) Remedy discrimination in housing; and
    (iii) Promote fair housing rights and fair housing choice.
    (11) Evaluation: 2 Points. In order to earn points under this 
rating factor, you must propose to work with local university(ies), 
other institutions of learning, foundations, and/or others to evaluate 
the performance and impact of your proposed HOPE VI Revitalization 
Plan. 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.
    You will receive up to 2 points if you provide a letter(s) from an 
institution(s) of higher learning that provides a commitment to work 
with you to evaluate your program and describes its proposed approach 
to carry out the evaluation. The award of points will depend on the 
level of commitment and involvement, the degree to which you and the 
local institution of higher learning will cooperate, and the quality of 
the proposed approach. If you are selected for funding, HUD will work 
with you and your partners on the basic methodology to be used, but you 
may augment this methodology to study additional activity. The letter 
must address the following areas for evaluation:
    (a) The impact of your HOPE VI effort on the lives of the 
residents;
    (b) The nature and extent of economic development generated in the 
community;
    (c) The effect of the revitalization effort on surrounding 
communities, including spillover revitalization activities, property 
values, etc.; and
    (d) Your success at integrating the physical and social aspects of 
your strategy and achieving the goals stated in your application.

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)(3) of this 
HOPE VI section of the SuperNOFA, all HOPE VI Revitalization grant 
funds are subject to a matching requirement. By signing the HOPE VI 
Revitalization Grant Applicant Certifications (Appendix A to this HOPE 
VI section of the SuperNOFA), you will certify that, if selected for 
funding, you will provide matching funds which, combined with HOPE VI 
funds, will enable you to carry out revitalization activities, 
including CSS activities. 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 commitments of funds 
and other resources that you can demonstrate now, at the application 
stage. HUD will rate your application based on the amount of funds and 
other resources that will be leveraged by the HOPE VI Grant as a 
percentage of the amount of HOPE VI funds requested.
    In your application, you will enter basic information about each 
source of leverage on the Leveraged Resources Summary Forms: name of 
the organization providing the resource, the dollar value of the 
resource, and its proposed use. For each source of

[[Page 11937]]

leverage you list, you must provide a commitment document, such as a 
letter, memorandum of understanding, agreement to participate, city 
council resolution, or other evidence of the resource to be committed. 
Any conditions attached to the commitment of the resource must be 
stated in the document. Each commitment document must include the 
dollar value of the commitment, and that dollar value must be 
consistent with the amount entered on the Leveraged Resources Summary 
Forms. On the Forms you will also enter the page number of your 
application where the commitment document is located. Endorsements or 
general letters of support from organizations or vendors alone will not 
count as leverage and should not be included in the application or on 
the Leveraged Resources Summary Forms. The commitment document must be 
signed by an official of the organization legally authorized to make 
commitments on behalf of the organization. Commitment documents will 
not count in the 100 page limit for Attachments.
    HUD recognizes that in some cases, firm commitments cannot be made 
at the application stage. In such a case, if the entity describes why 
the firm commitment cannot be made at the current time but affirms that 
your PHA and your HOPE VI Revitalization Plan meet the eligibility 
criteria for receiving the resource, HUD will consider the amount 
adequately documented. This is particularly important with regard to 
Low Income Housing Tax Credits, where forward commitments are typically 
not possible.
    For each commitment document, HUD will evaluate the strength of 
commitment and add the amounts that are acceptably documented. HUD will 
then calculate the ratio of the amount of HUD funds requested to the 
amount of 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 private retail and 
economic development.
    (a) Types of Physical Development Resources. Physical development 
resources that may be counted as leverage include, but are not limited 
to:
    (i) Mortgage secured loans and other debt. Where there is both a 
construction loan and a permanent take-out loan, include only the take-
out loan.
    (ii) Insured loans.
    (iii) Donations and contributions.
    (iv) Housing trust funds.
    (v) Homeowner loans.
    (vi) Funds committed to build private sector housing in direct 
connection with the HOPE VI Revitalization Plan.
    (vii) Funds committed for the physical development costs of 
schools, libraries, economic development and/or commercial facilities 
that would not otherwise be planned if not for the proposed HOPE VI 
Revitalization Plan.
    (viii) Low Income Housing Tax Credits. If you propose 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, any 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 their dollar value 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 Physical Development Resources. You must actively 
enlist other stakeholders who are vested in and can provide significant 
financial assistance to your revitalization effort. Sources of 
development resources that can be used for leveraging may include:
    (i) Public, private, and non-profit entities.
    (ii) State and local Housing Finance Agencies.
    (iii) Local governments.
    (iv) The city's housing and/or redevelopment agency or other 
comparable 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 or other local funds from your 
city, county or state for improvements to public infrastructure 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, county or state 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 Funds under section 9(d) of the 
1937 Act. Information about the HOME Program can be found on HUD's HOME 
website (www.hud.gov/cpd/home/homeweb.html).
    (v) Foundations.
    (vi) Financial institutions, banks or insurers.
    (vii) Other private funders.
    (d) Other HUD Public Housing Funds. Although you may commit other 
Federal public housing funds such as Capital Funds under section 9(d) 
of the 1937 Act 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.
    (e) Anticipatory Resources. In many cases, PHAs, cities, or other 
entities may have carried out revitalization activities in previous 
years in anticipation of your receipt of a HOPE VI Revitalization 
grant. Expenditures that were made in anticipation of your receiving 
HOPE VI funding in previous years, even though you were unsuccessful in 
receiving a HOPE VI Revitalization grant, will count toward leverage in 
the FY 2001 funding competition, provided they meet the criteria 
described in this rating factor.
    (f) Rating.
    (i) You will receive 6 points if the ratio of the amount of HOPE VI 
funds requested for physical development activities to the dollar value 
of documented, committed development resources leveraged from other 
sources is 1:4 or higher.
    (ii) You will receive 5 points if the ratio is between 1:3 and 1:4.
    (iii) You will receive 4 points if the ratio is between 1:2.5 and 
1:3.
    (iv) You will receive 3 points if the ratio is between 1:2 and 
1:2.5.
    (v) You will receive 2 points if the ratio is between 1:1 and 1:2.
    (vi) You will receive 1 point if the ratio is 1:1.
    (vii) You will receive 0 points if:
    (A) the ratio is less than 1:1, or
    (B) there is not enough information in your application to enable 
HUD to rate this factor.
    (2) Collateral Investment: 1 Point. Collateral Investments include 
physical redevelopment activities underway or projected to be completed 
before October 2006, such as schools, libraries, subway or light rail 
stations, or improved roads, which will enhance the new HOPE VI 
community but will occur whether or not the site is revitalized.

[[Page 11938]]

Economic or other kinds of development activities that would have 
occurred with or without the anticipation of HOPE VI-funded 
revitalization of the site will count as leverage for this factor only.
    (a) You will receive 1 point if the ratio of the amount of the 
total HOPE VI grant requested to the dollar value of documented 
collateral investments is 1:2 or higher.
    (b) You will receive 0 points if:
    (i) the ratio of the HOPE VI request to the collateral investment 
amount is less than 1:2, or
    (ii) there is not enough information in your application to enable 
HUD to rate this factor.
    (3) Community and Supportive Services Resources: 3 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 activities so that they will continue after the 
HOPE VI funds have been expended.
    (a) Types of resources. Resources for CSS activities may include 
financial contributions from Federal, State, or local governments or 
from private entities. Resources may also include the dollar value of 
in-kind contributions such as materials, a building, a lease on a 
building, other infrastructure, time and services contributed by 
volunteers, staff salaries and benefits, and supplies related to the 
provision of CSS activities that will contribute to the successful 
transformation of the lives of residents.
    (b) Sources of resources.
    (i) See Section IV(C)(3)(e) of this HOPE VI section of the 
SuperNOFA for a list of the kinds of organizations, agencies, and other 
possible resource providers that can provide you with resources for 
your CSS activities.
    (ii) In accordance with Section IV(C)(3)(b) of this HOPE VI section 
of the SuperNOFA, you may enter into subgrantee agreements with 
nonprofit organizations to provide CSS activities. HUD encourages you 
to select subgrantees that can bring in-kind resources to the project.
    (c) Rating. The number of points you receive will depend on the 
ratio of the amount of HOPE VI dollars requested for CSS activities 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. Include only funds that will be newly-generated for HOPE 
VI CSS activities. HUD will not count as leverage any funds that have 
been provided routinely, such as TANF payments or funds that support 
ongoing CSS-type activities.
    (i) You will receive 3 points if the ratio of the amount of HOPE VI 
funds requested for CSS activities to the dollar value of documented, 
committed CSS resources leveraged from other sources is 1:4 or higher. 
If no HOPE VI funds are requested for CSS activities because all CSS 
funds will come from outside sources, all adequately-documented funds 
from such outside sources will be counted and you will receive 3 
points.
    (ii) You will receive 2 points if the ratio is between 1:3 and 1:4.
    (ii) You will receive 1 point if the ratio is between 1:2 and 1:3.
    (iii) You will receive 0 points if:
    (A) the ratio is less than or equal to 1:2, or
    (B) there is not enough information in your application to enable 
HUD to rate this factor.

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

    This factor evaluates your actions 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. It also evaluates your participation in or commitment to 
participate in the community's Consolidated Planning process.
    (1) Coordination of Revitalization Activities: 5 Points.
    (a) This factor evaluates the actions you have taken 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, the 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 ongoing and planned activities in order that those plans 
complement and reinforce each other activities.
    (b) HUD will evaluate the specific steps you have taken 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; 
and
    (iii) 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 
substantiate the actions you have taken to coordinate with a variety of 
relevant groups.
    (ii) You will receive 1 to 2 points if you provide documentation 
that you have taken some actions to coordinate your proposed activities 
with relevant 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 0 points if:
    (A) your actions to coordinate with relevant groups are not 
comprehensive; and/or
    (B) your relationships are not strong or well documented; or
    (C) there is not enough information in your application to enable 
HUD to rate this factor.
    (2) Participation in Consolidated Plan/AI Process: 5 Points.
    This factor evaluates your efforts to participate in your 
jurisdiction's Consolidated Planning process, whether the need for the 
revitalization of severely distressed public housing is identified in 
the 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 Certification of Consistency with 
the Consolidated Plan, as provided in the HOPE VI Application Kit, is a 
required element of each HOPE VI Revitalization application.)
    (a) You will receive 3 to 5 points if:
    (i) you have cited language from your jurisdiction's Consolidated 
Plan that identifies revitalization of severely distressed public 
housing as an urgent need in the community, and indicates that your 
HOPE VI Revitalization Plan is tied to other revitalization planned in 
the broader community and in the jurisdiction as a whole; that they are 
consistent with plans or organizing efforts in the immediate, 
surrounding neighborhood; and you have cited

[[Page 11939]]

language from your jurisdiction's AI that identifies severely 
distressed public housing as an impediment to fair housing choice; or
    (ii) the Consolidated Plan and 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 public housing revitalization as a priority; have begun work 
with the jurisdiction to amend the Consolidated Plan and AI to include 
revitalization of severely distressed public housing as an urgent need; 
and you have coordinated with other revitalization efforts in the 
community; or
    (iii) if the Consolidated Plan and AI are not applicable to your 
community, you have demonstrated that you have participated in other 
community-wide planning efforts; 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; and submitted a letter from the Mayor or other Chief 
Executive Officer of the jurisdiction and a letter from the City 
Council or other elected legislative body confirming the need to 
revitalize severely distressed public housing, the urgency of meeting 
the need, and the jurisdiction's commitment to addressing this need.
    (b) You will receive 1 to 2 points if you have demonstrated that 
you have participated in the Consolidated Planning process, but the 
Consolidated Plan does not address the revitalization of severely 
distressed public housing.
    (c) You will receive 0 points if:
    (i) your community's Consolidated Plan and AI do not identify the 
revitalization of severely distressed public housing as a need or as an 
impediment to fair housing choice, and you have not provided an 
adequate explanation of why they do not;
    (ii) the Consolidated Plan and AI are not applicable to your 
community, and you have not thoroughly documented your level and 
urgency of need through other sound and reliable sources; or
    (iii) there is not enough information in your application to enable 
HUD 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), rural 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 attached to the General Section of the 
SuperNOFA as Appendix A-2, and also can be found on HUD's EZ/EC Website 
(www.hud.gov/cpd/ezec/ezbyec.html). To determine whether your site is 
within an EZ or EC, use the EZ/EC Locator (www.hud.gov/ezec/locator). 
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: Priority Group 1 applications target units 
included in an approved Section 202 Mandatory Conversion Plan. The 
Section 202 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.
    (i) Priority Group 2 applications:
    (A) target units included in a Section 202 Mandatory Conversion 
Plan that you have submitted to HUD on or before the HOPE VI Demolition 
grant application deadline date, or
    (B) target units that, in HUD's sole determination under section 
537(c) 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.
    (ii) If you submit a HOPE VI Demolition grant application for units 
that are targeted in a Section 202 Mandatory 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 revise your 
application and it will be reclassified as Priority Group 1. HUD will 
change the original Ordinal to the Ordinal corresponding to the date 
that the revision was received.
    (iii) If you submit a Section 202 Mandatory 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. If you intend to submit a Priority 1 or 2 
application, discuss the project with your Field Office to ensure that 
it qualifies under the standards of 24 CFR part 971.
    (c) Priority Group 3. Priority Group 3 applications target units 
that were included in a HUD-approved application for demolition that 
was developed in accordance with section 18 of the 1937 Act, as amended 
(``Section 18 demolition application'').
    (i) Your Section 18 demolition application must be approved by HUD 
on or before the HOPE VI Demolition grant application deadline. You are 
advised that in order to allow for sufficient time for a new 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 30, 2001. 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 unless and 
until your Section 18 demolition application is approved on or before 
the HOPE VI Demolition Grant Application deadline.
    (iii) If your Section 18 demolition application is approved by HUD 
on July 9 or 10, 2001 only, you are not required to submit your 
approval letter to HUD, and HUD will deem the approval letter to have 
been submitted in the application. In such a case, if your application 
is otherwise complete, your Ordinal will be the date that HUD

[[Page 11940]]

approves your Section 18 demolition application.
    (iv) 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) Priority Group 4 applications target units that:
    (A) were targeted for demolition in a previously-approved HOPE VI 
Revitalization application and the demolition that has not yet been 
carried out; or
    (B) were not originally targeted for demolition in a previously-
approved HOPE VI Revitalization application but are located in the same 
project and at the same site that will be revitalized using an existing 
Revitalization grant, and have not yet been demolished.
    (ii) The requested HOPE VI Demolition grant funds, in combination 
with the existing HOPE VI Revitalization grant funds, may not exceed 
the TDC/Housing Cost Cap (HCC) limit in effect at the time the HOPE VI 
Revitalization Grant was approved by HUD.
    (A) If the Revitalization grant is below TDC/HCC, any dollars freed 
up as a result of the proposed additional demolition grant funds may be 
used for any construction costs, up to the project's TDC/HCC limit.
    (B) If the Revitalization grant is below or at TDC/HCC, the dollars 
freed up from the proposed additional demolition grant funds may be 
used for the demolition of additional units or for Community Renewal 
costs such as Extraordinary Site Costs that fall outside of HCC.
    (iii) If a Priority Group 4 HOPE VI Demolition application is 
selected for funding, HUD will approve the planned demolition:
    (A) in its approval of your Supplemental Submissions for the 
Revitalization grant;
    (B) by amending its approval of your Supplemental Submissions, if 
they have already been approved by HUD; or
    (C) by approving a Section 18 demolition application, if you choose 
to submit one.
    (iv) HUD reserves the right to rescind a Priority Group 4 
Demolition grant if it determines that the targeted units cannot be 
approved under section (d)(iii) above.
    (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 HOPE VI Demolition grant 
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) HUD will screen the application to 
ensure that it:
    (a) Meets each HOPE VI threshold criterion listed in Sections V(A) 
and V(C) 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, the units have already been 
demolished, etc.), 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 approximately two days 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 
grant 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) At any stage, if there is more than one application with next 
Ordinal to be funded and there are insufficient funds to fund all of 
them, HUD will conduct a lottery among those applications to determine 
which application(s) will be funded.
    (6) HUD reserves the right to partially fund the next eligible 
application if insufficient funds remain to fund the entire amount 
requested, and HUD determines that the funds available are adequate to 
carry out some significant demolition activities.
    (7) If funds remain after all eligible HOPE VI Demolition grant 
applications have been funded or if the amount remaining is inadequate 
to feasibly fund the next eligible Demolition grant application, HUD 
reserves the right to:
    (a) reallocate unused funds to fund or supplement the next eligible 
HOPE VI Revitalization application(s), in rank order, or
    (b) carry over unused funds to the next fiscal year.

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

[[Page 11941]]

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) Environmental Review. 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 responsible entity 
completes an environmental review and you 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)(6) 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. It is effective on the date of HUD's signature. The Grant 
Agreement sets forth:
    (a) The amount of the grant;
    (b) The HOPE VI Requirements;
    (c) Revitalization Plan components;
    (d) Revitalization activities and requirements;
    (e) Changes to the Revitalization Plan;
    (f) Replacement unit and waiver information;
    (g) Budget requirements;
    (h) Drawdown procedures;
    (i) Matching fund requirements;
    (j) Finance and accounting procedures;
    (k) Recordkeeping requirements;
    (l) Requirements for subgrantees, contractors, and subcontractors;
    (m) Resident and community involvement requirements;
    (n) Environmental review procedures;
    (o) Fair Housing certifications;
    (p) Building standards and design components;
    (q) Labor standards;
    (r) Conflict of interest provisions;
    (s) Reporting requirements;
    (t) Technical assistance procedures
    (u) Default provisions; and
    (v) Grant closeout procedures.
    (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 either to award funds to 
Priority 1 applications as soon as they are determined to be eligible 
for funding, or announce all awards after the HOPE VI Demolition grant 
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) Environmental Review. 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 
responsible entity completes an environmental review and you 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)(6) 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) The HOPE VI Demolition Requirements;
    (c) Demolition Plan components;
    (d) Relocation requirements;
    (e) Program schedule;
    (f) Finance and Accounting procedures;
    (g) Drawdown procedures;
    (h) Recordkeeping requirements;
    (i) Requirements for subgrantees, contractors, and subcontractors;
    (j) Environmental review procedures;
    (k) Fair Housing Certifications;
    (l) Labor standards;
    (m) Conflict of interest provisions;
    (n) Reporting requirements;
    (o) Technical assistance procedures;
    (p) Default provisions; and
    (q) Grant closeout procedures.

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. Please note that resumes and videos are 
specifically excluded and will not be considered.
    (2) Application Page Limits. (a) Each Revitalization application 
must contain no more than 75 pages of narrative exhibits. Any pages 
after the first 75 pages of narrative exhibits 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 (this page limit does not include additional pages requested 
by HUD as a result of technical deficiency corrections). No more than 
one page of text may be placed on one sheet of paper; i.e., you may not 
shrink pages to get two or more on a page.
    (b) Revitalization applications are also limited to 100 pages of 
attachments. The documents listed below constitute the only exceptions 
and are not counted in the 100 page limit:
    (i) Application Data Sheets;
    (ii) Commitments of resources;
    (iii) Section 8 application;
    (iv) List of current residents, after the first page; and
    (v) Certifications located after the Attachments.
    (3) Narrative Exhibits. The following is a summary of the 
narratives required in a HOPE VI Revitalization application:
    (a) An Executive Summary.
    (b) Narrative responses to the rating factors described in Section 
VI(G) of this HOPE VI program section of the SuperNOFA. Be SURE to 
address each and every item in the rating factors in the most clear, 
concise, and complete manner possible given the page limitations.
    (c) A narrative demonstrating the appropriateness of your proposal 
in the context of the local housing market relative to other 
alternatives.
    (d) A description of your planned predevelopment activities: hazard 
reduction, demolition, disposition, acquisition, and site improvements.
    (e) A description of your planned physical revitalization 
activities: rehabilitation, new construction, homeownership assistance, 
development of community and/or economic development activities, and 
extraordinary site work.

[[Page 11942]]

    (f) If applicable, a description of your plans to establish an 
Endowment Trust to continue CSS activities beyond the life of the HOPE 
VI grant.
    (g) If applicable, a listing of all prior HUD public housing grant 
assistance received for the revitalization of the targeted project that 
are related to the proposed activities.
    (4) Attachments. The following is a summary of the attachments that 
will be required in a HOPE VI Revitalization application:
    (a) Contextual map that identifies the location of the current site 
in the neighborhood, City, and region;
    (b) Organizational Chart;
    (c) Revitalization Schedule;
    (d) A listing of and commitment letters from Team members, as 
applicable;
    (e) Photographs of the housing units and site;
    (f) A Section 8 application, if Section 8 assistance will be needed 
for FY 2002;
    (g) Conceptual revitalized site plan, interior unit design 
illustrations, and building elevations;
    (h) Application Data Forms;
    (i) Leveraged Resources Summary;
    (j) Basic elements of the HOPE VI Relocation Plan, in conformance 
with guidance provided by HUD, including a list of each resident in 
occupancy at the time the application is submitted;
    (k) Training Meeting and Public meeting certifications and 
documentation;
    (l) Preliminary market assessment letter;
    (m) Letters and other documents that commit resources to be used 
for HOPE VI activities;
    (n) Grant Limitations and TDC Worksheet;
    (o) MTCS Certification;
    (p) Extraordinary Site Costs Certification;
    (q) Severe Physical Distress Certification;
    (r) Other documentation that responds to specific rating factors, 
including letters of commitment to participate as partners, perform an 
evaluation of the program, etc.
    (5) HOPE VI Revitalization Application Forms. The following HOPE VI 
forms are included in the HOPE VI Application Kit. Electronic versions 
also can be obtained from HUDCLIPS (www.hudclips.org) and the HOPE VI 
website (www.hud.gov/hopevi).
    (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 Grant 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).
    (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 (f) 
(HOPE VI Budget form) and (i) (Section 8 application) are available 
from HUDCLIPS (www.hudclips.org).
    (a) Applicant, site, and unit information;
    (b) Priority Group and Documentation of eligibility;
    (c) Narrative of proposed activities, including:
    (i) the number of original dwelling units and buildings in the 
project, the number of any units previously demolished or disposed of, 
and the number of units proposed for demolition;
    (ii) any non-dwelling facilities to be demolished and the 
relationship between the non-dwelling facilities and the dwelling units 
to be demolished, in terms of proximity and use;
    (iii) conditions that require extraordinary site costs, such as 
parking lots, streets, underground utilities, community buildings, 
etc.;
    (iv) extent of any proposed hazard abatement activities, including 
the level of asbestos or any other contaminant present, if available;
    (v) proposed site restoration and any subsequent site improvements 
to benefit the remaining portion of the development or to make the site 
more saleable;
    (vi) if you propose activities other than filling in the site and 
establishing a lawn, a description of the non-HOPE VI funds to be used 
to carry out those activities;
    (vii) a HOPE VI Demolition Relocation Plan, including a list of 
each resident in occupancy at the time the application is submitted;
    (viii) a demonstration of the appropriateness of the proposal in 
the context of the local housing market relative to other alternatives; 
and
    (ix) potential sources of matching funds for services to 
relocatees.
    (d) Program Schedule;
    (e) Grant Limitations Worksheet, which itemizes all funds requested 
for:
    (i) demolition of severely distressed public housing units;
    (ii) extraordinary site costs, as applicable;
    (iii) demolition of nondwelling structures, as applicable;
    (iv) relocation assistance to residents of occupied units; and
    (v) community and supportive service activities to displaced 
residents.
    (f) Program budget (HUD-52825-A, parts I and II);
    (g) MTCS Certification;
    (h) Extraordinary Site Costs Certification, as applicable, 
completed by an engineer or architect, verifying and justifying any 
extraordinary site costs requested;
    (i) Non-Dwelling Structure Costs Certification, as applicable, 
completed by an engineer or architect, verifying and justifying the 
costs to demolish non-dwelling structures;
    (j) A Section 8 application (HUD-52515) for Section 8 relocation 
assistance needed during FY 2002.
    (3) HOPE VI Demolition Grant Applicant Certifications (HUD-52820-
B). See Appendix B of this HOPE VI section of the SuperNOFA for the 
text of these certifications.
    (4) 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)

[[Page 11943]]

    (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 2001 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 U.S.C. 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 Grant Applicant 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 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 grant application meets the 
definition of severe distress 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 13 above, if the PHA uses more than 5 percent of 
the HOPE VI grant for the community and supportive services 
component, it will provide supplemental funds from sources other 
than HOPE VI, dollar for dollar, for the amount over 5 percent of 
the grant used for the community and supportive services component.
    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 section 24(d)(1)(J) 
or section 32 of the 1937 Act 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); and 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

[[Page 11944]]

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 regulation 
(rehabilitation, temporary relocation); 24 CFR 941.207 or successor 
regulation (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 965.701, as they may be amended from time to 
time, and Section 968.110(k) or successor regulation.
    30. The PHA will comply with the policies, guidelines, and 
requirements of OMB 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 2001 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 2001 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 start construction within 12 months from the 
date of HUD's approval of the Revitalization Plan's Supplemental 
Submissions. 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 Revitalization Plan's Supplemental 
Submissions. 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 Grant 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 grant application meets the definition of 
severe distress 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 grant 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 grant 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 grant activities, in a 
timely, efficient, and economical manner.
    7. The PHA will start construction 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); and 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 choice 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

[[Page 11945]]

demolition application and demolition approved pursuant to a Section 
202 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

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[[Page 11949]]

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 $900,000.
    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. July 27, 2001.
    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 July 27, 
2001 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 (AONAP) 
received your TA application (this form is a threshold requirement). 
Tribes/TDHEs should submit a second copy of the DETAP application to 
the appropriate Area Office of Native American Programs (AONAP).
    HUD will review and accept DETAP applications on a first come first 
serve basis until July 27, 2001 or until funds available under this 
program are expended.
    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 (AONAP) where you will be submitting 
your application or you may call the Drug Information Strategy 
Clearinghouse (DISC) at 1-800-955-2232. For further information on how 
to initiate an application for technical assistance, please contact 
Bertha Jones of the Community Safety and Conservation Division on (202) 
708-1197, extension 4237. If you are a tribe/TDHE submitting an 
application and need technical assistance, please contact Tracy Outlaw 
of the Denver National Program Office at (303) 675-1600 or your local 
AONAP.
    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 2001 approximately $900,000 (with an amount adjusted for 
carryover when actual carryover is known) 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, tribes and TDHEs 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 and accompanying 
standard forms found in Appendix B of this program NOFA with a letter 
of support from the HUD Field Office (AONAP). 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; crime 
mapping techniques;
    (f) Technology Assessments: Determination of how computer software 
and hardware may be used to improve grant administration (e.g. 
establishment of a crime statistics database);

[[Page 11950]]

    (g) 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);
    (h) Establishment of Partnerships with Law enforcement agencies;
    (i) Drafting memoranda of understanding with partners;
    (j) Translation of the strategic plan components into measurable 
and attainable goals for the PHDEP Semi-Annual Performance Reporting 
System;
    (k) Plan versus Performance Assessments;
    (l) 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 that meet all of the 
applicable threshold requirements found in Section II(B) of the General 
Section of the SuperNofa, 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 but only the Former 1937 Housing Act 
Units for Indian tribes or TDHEs, 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;

[[Page 11951]]

    (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 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 and its agent 
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 on an annual basis. HUD reserves the right to 
consider a consultant name inactive in the database if the consultant 
has not provided updated information for the database within the last 
two years. The updated skills should list strengths in priority order.
    (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; Crime 
mapping;
    (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; 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);
    (h) Establishment of Partnerships with Law enforcement 
partnerships;
    (i) Drafting memoranda of understanding with partners;
    (j) Translation of the strategic plan components into measurable 
and attainable goals for the PHDEP Semi-Annual Performance Reporting 
System;
    (k) Plan versus Performance Assessments;
    (l) 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. HUD or its agent will carefully review the approved 
Statement of Work to ensure that resources allocated are appropriate 
and reasonable for the work to be performed (e.g. resources devoted to 
pre-on site preparation and on-site work). 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. If the housing authority is not satisfied with 
the report that is provided by the consultant, HUD will require the 
consultant to correct the report or address and/or resolve any issues 
raised by the housing authority without additional costs. If these 
issues can not be resolved, HUD will not be under obligation to 
reimburse the consultant for any incurred costs except for 
transportation and per diem costs. In extreme cases of technical 
assistance needs, staff members of HUD Headquarters and field offices 
may recommend specialized technical

[[Page 11952]]

assistance for which you can receive up to $25,000 in funds.
    You may not be the lead consultant on any more than two active 
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 and 
enter into a purchase order agreement as a lead consultant within the 
calendar year. The lead consultant may enter into a collaborative 
agreement with other TA consultants listed in the database. In the case 
of collaborative agreements, only one purchase order will be issued to 
the lead consultant. The Department will have no obligation to 
reimburse or issue a separate purchase order agreement with 
collaborating consultants. Reimbursement to collaborating consultants 
will be the responsibility of the lead consultant. 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. Consulting firms 
may bill the authorized daily rate only once per 24-hour period. 
Consultants shall not bill more than once for a single day's work; for 
example, if a firm consists of three consultants and the certified 
daily rate is $470, they may not bill HUD $1,410 per day for their 
services. Each individual consultant may not bill at his or her daily 
rate. The aggregate number of hours billed by one or all consultants on 
project must not exceed 8 hours per day.
    (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 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 (e.g., w-2 Wage Statement, payment 
statement etc.) of the standard daily fee previously paid to you for 
technical assistance services similar to eligible activities under this 
DETAP. In light of the recent drastic reduction in Drug Elimination 
Technical Assistance funding, the standard daily fee will not exceed 
the Equivalent Rate for Level IV of the Executive Schedule.
    (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 capacity to perform the technical 
assistance, their strengths identified in the consultant skill codes in 
the database, previous experience in the specified areas of technical 
assistance, previous performance evaluation for performing technical 
assistance, reasonableness of the fee, and geographic proximity to the 
site where TA will be provided. If no consultants in the database are 
within the geographical proximity, consultants will be selected from 
the closest region to the site where TA will be provided. The technical 
assistance to be provided will be based upon an assessment of a maximum 
of three priority areas of concern to the applicant. All of the skills 
that the consultants possess are not eligible for providing technical 
assistance under DETAP. If the priority areas of concern are not 
identified in the application, the applicant will be contacted by HUD 
or its agent to identify a maximum of three priority areas of concern 
to target the technical assistance.

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. You must 
list your needs for TA in order of priority:
    (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

[[Page 11953]]

funding and sufficient funds are available, you will be contacted by 
HUD or its agent to confirm the work requirements. Only one application 
will be accepted from a 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 
Chief Financial Officer 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 and 
interview a minimum of three TA consultants. HUD may request 
confirmation from each contacted consultant that they were contacted. 
To obtain the three consultants, you must continue to call as many 
consultants as necessary from the list to complete the three 
interviews. If HUD determines that any consultant was not contacted, 
HUD (Headquarters) may consider your selection by the applicant void.
    (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 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 Section II(G) 
of 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) 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 2001 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, DHUD--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, DHUD--Connecticut State 
Office, 19th Floor, One Corporate Center, Hartford, CT 06103-3220, 
(860) 240-4800 or (860) 240-4850

[[Page 11954]]

Manchester

Robin Gagnon, Office of Public Housing, DHUD--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, DHUD--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, DHUD--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 Dpilman, Office of Public Housing, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--North Carolina State 
Office, Koger Building, 2306 West Meadowview Road, Greensboro, NC 
27407-3707, (336) 547-4038 fax (336) 547-4015

Mississippi

George Smith, Office of Public Housing, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--Texas State Office, 
1600 Throckmorton, Post Office Box 2905, Fort Worth, TX 76113-2905, 
(817) 978-5700, ext. 3332 fax (817) 978-9289

[[Page 11955]]

Albuquerque

Carmella Herrera, Office of Public Housing, DHUD--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, DHUD--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, DHUD--Arkansas State Office, 
TCBY Tower, 425 West Capitol Avenue, Suite 900, Little Rock, AR 
72201-3488, 324-5933 fax (501) 324-5900

New Orleans

Jed Drozdowski, Office of Public Housing, DHUD--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, DHUD--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, DHUD--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, DHUD-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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--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, DHUD--Oregon State 
Office, 400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-
1596, (503) 326-2619 fax (503) 326-2568


                Area Offices of Native American Programs
------------------------------------------------------------------------
                                                          Send your
                                                       application to
 If you are applying from this geographic location         ``ONAP
                       * * *                         Administrator'' of
                                                       this Area ONAP
------------------------------------------------------------------------
All States east of the Mississippi River, Plus      Eastern/Woodlands
 Iowa and Minnesota.                                 Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, 77 West
                                                     Jackson Blvd., Room
                                                     2400, Chicago, IL
                                                     60604-3507,
                                                     Telephone: (312)
                                                     886-4532, Ext.
                                                     2815.
Louisiana, Kansas, Oklahoma, and Texas, except      Southern Plains
 West Texas.                                         Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, 500 W.
                                                     Main Street, Suite
                                                     400, Oklahoma City,
                                                     OK 73102-3202,
                                                     Telephone: (405)
                                                     553-7525.
Colorado, Montana, Nebraska, North Dakota, South    Northern Plains
 Dakota, Utah, and Wyoming.                          Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, First
                                                     Wells Fargo Tower
                                                     North, 633 17th
                                                     Street, Denver, CO
                                                     80202-3607,
                                                     Telephone: (303)
                                                     672-5465.
Arizona, California, and Nevada...................  Southwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, Two
                                                     Arizona Center, 400
                                                     N. Fifth Street,
                                                     Suite 1650,
                                                     Phoenix, AZ 85004-
                                                     2361, Telephone:
                                                     (602) 379-3865.
New Mexico and West Texas.........................  Southwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division,
                                                     Albuquerque Plaza,
                                                     201 3rd Street
                                                     N.W., Suite 1830,
                                                     Albuquerque, NM
                                                     87102-3368,
                                                     Telephone: (505)
                                                     346-6923
Idaho, Oregon, Washington.........................  Northwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, Federal
                                                     Office Building,
                                                     909 First Avenue,
                                                     Suite 300, Seattle,
                                                     WA 98104-1000,
                                                     Telephone: (206)
                                                     220-5271.
Alaska............................................  Alaska Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, 949 E.
                                                     36th Avenue, Suite
                                                     401, Anchorage, AK
                                                     99508-4399, (907)
                                                     271-4603.
------------------------------------------------------------------------

APPENDIX B

    The non-standard forms, which follow, are required for your 
DETAP application.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 11962]]


      

[[Page 11963]]

FUNDING AVAILABILITY FOR THE INDIAN HOUSING DRUG ELIMINATION 
PROGRAM

Program Overview

    Purpose of the Program: The purpose of the Indian Housing Drug 
Elimination Program (IHDEP) is to provide grants to eliminate drugs and 
drug-related crime in American Indian and Alaskan Native communities.
    Available Funds: Approximately $12,000,000 million is being made 
available for Indian Housing Drug Elimination Program (IHDEP) grants.
    Eligible Applicants: Indian tribes who are eligible to be 
recipients of assistance under the Native American Housing Assistance 
and Self-Determination Act of 1996 (NAHASDA recipients) which means an 
Indian tribe or the entity for one or more Indian tribes that is 
authorized to receive grant amounts under NAHASDA on behalf of the 
tribe or tribes.
    Application Deadline: April 24, 2001.
    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, Submission Address, Application Kits, 
Further Information, and Technical Assistance

    Application Due Date: Your completed application (one original and 
two copies) is due on or before April 24, 2001.
    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. Please Note: We are 
instituting a new submission policy. Please submit an original and one 
identical copy to the Indian Housing Drug Elimination Information & 
Resource Center (IHDE-IRC), P.O. Box 14970, Silver Spring, MD 20911. 
You must also send one identical copy of your IHDEP application by the 
application due date to the local Area Office of Native American 
Programs (AONAP) Attention: HUD Administrator, Area Office of Native 
American Programs (AONAP). A list of local offices is provided below. 
The timely submission of your application will be based on the date and 
time it is submitted to the AONAP listed below, not the date and time 
it is received at the Indian Housing Drug Elimination Information & 
Resource Center. Again, please see the General Section of the SuperNOFA 
for specific procedures on the application due date.

------------------------------------------------------------------------
                                                          Send your
 If you are applying from this geographic location   application to this
                    then * * *                              AONAP
------------------------------------------------------------------------
All states East of the Mississippi River, Plus      Eastern/Woodlands
 Iowa and Minnesota.                                 Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, 77 West
                                                     Jackson Blvd., Room
                                                     2400, Chicago, IL
                                                     60604-3507,
                                                     Telephone: (312)
                                                     886-4532, Ext.
                                                     2815.
Louisiana, Kansas, Oklahoma, and Texas, except      Southern Plains
 West Texas.                                         Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, 500 W.
                                                     Main Street, Suite
                                                     400, Oklahoma City,
                                                     OK 73102-3202,
                                                     Telephone: (405)
                                                     553-7525.
Colorado, Montana, Nebraska, North Dakota, South    Northern Plains
 Dakota, Utah, and Wyoming.                          Office of Native
                                                     American Programs,
                                                     Grants Management
                                                     Division, Wells
                                                     Fargo Tower North,
                                                     633 17th Street,
                                                     Denver, CO 80202-
                                                     3607, Telephone:
                                                     (303) 672-5465.
Arizona, California, and Nevada...................  Southwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, Two
                                                     Arizona Center, 400
                                                     N. Fifth Street,
                                                     Suite 1650,
                                                     Phoenix, AZ 85004-
                                                     2361, Telephone:
                                                     (602) 379-3865.
New Mexico and West Texas.........................  Southwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division,
                                                     Albuquerque Plaza,
                                                     201 3rd Street
                                                     N.W., Suite 1830,
                                                     Albuquerque, NM
                                                     87102-3368,
                                                     Telephone: (505)
                                                     346-6923.
Idaho, Oregon, Washington.........................  Northwest Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, Federal
                                                     Office Building,
                                                     909 First Avenue,
                                                     Suite 300, Seattle,
                                                     WA 98104-1000,
                                                     Telephone: (206)
                                                     220-5271.
Alaska............................................  Alaska Office of
                                                     Native American
                                                     Programs, Grants
                                                     Management
                                                     Division, 949 E.
                                                     36th Avenue, Suite
                                                     401, Anchorage, AK
                                                     99508-4399, (907)
                                                     271-4603.
------------------------------------------------------------------------

    In order to expedite the review of your application and to ensure 
that your application is given a thorough and complete review of all 
responses to each of the components of the selection criteria, HUD 
strongly requests that when you respond to each of the selection 
criterion and sub-criterion that you separate each selection criterion 
and sub-criterion with tabs. In order for your IHDEP application to be 
rated, make sure the response for each criterion is beneath the 
appropriate tab (heading). Keep the responses in the same order as the 
NOFA. Limit your narrative explanations to 200 words or less and 
provide the necessary data that supports the response. Include all 
relevant material to a response under the same tab. Do not assume the 
reviewer will search for the answer or information to support the 
answer elsewhere in the application. Do not include documentation that 
is not required by the selection criteria because irrelevant 
information will be disregarded during the review of your application.
    For Application Kits. To receive a copy of the IHDEP application 
kit, please call the Indian Housing Drug Elimination Information & 
Resource Center (IHDE-IRC) at 1-800-839-5561. Persons with hearing or 
speech impairments may call the Center's TTY number at 1-800-483-2209. 
When requesting an application kit, please refer to the Indian Housing 
Drug Elimination Program (IHDEP). Please provide your name, address, 
including zip code, and telephone number (including area code). The 
application kit contains information on all exhibits, forms, and 
certifications required for IHDEP.
    For Further Information and Technical Assistance. Please call the 
AONAPs with jurisdiction over your tribe/tribally designated housing 
entity (TDHE) or HUD's IHDE-IRC at1-800-839-5561 or Tracy C. Outlaw, 
Denver Program Office of Native American Programs (ONAP), Department of 
Housing and Urban Development, 1999 Broadway, Suite 3390, Denver, CO 
80202, telephone 1-800-561-5913 or (303) 675-1600 (this is not a toll-
free number). Hearing or speech-impaired individuals may access this 
number via TTY by calling the toll-free Federal Information Relay 
Service at 1-800-877-8339. Also, please see ONAP's website at http://www.codetalk.fed.us.html where you will be able to download a copy of 
the IHDEP NOFA and application kit from the Internet. Before the 
application deadline, we will be available to provide you with general 
guidance. We cannot, however, provide you with guidance on the actual 
contents of your application.

[[Page 11964]]

    If applicable, after the rating and ranking process has been 
completed but before award, we will be available to assist you in 
clarifying or confirming technical, curable deficiency information that 
is required to address a pre-award requirement. If the pre-award 
conditions as outlined in Section VIII of the NOFA are not met by the 
applicant, we will award those grant amounts to another eligible 
applicant in accordance with the provisions of Section V of this NOFA.

II. Amount Allocated

    Approximately $12 million is being made available under this NOFA 
from the FY 2001 HUD Appropriations Act (Pub.L. 106-377, approved 
October 27, 2000).

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

    (A) Program Description. Funds are only available for Indian tribes 
who are eligible to be recipients under NAHASDA to develop and finance 
drug and drug-related crime elimination efforts in their affordable 
housing developments. You may use funds for enhancing security within 
your developments, making physical improvements to enhance security; 
and/or developing and implementing prevention, intervention and 
treatment programs to stop drug use in Indian housing communities.
    (B) Eligible Applicants. Indian tribes who are eligible to be 
recipients under NAHASDA. ``NAHASDA recipient'' means an Indian tribe 
or the tribally designated housing entity (TDHE) for one or more Indian 
tribes that is authorized to receive grant amounts under NAHASDA on 
behalf of the tribe or tribes. ``Tribe'' means an Indian tribe, band, 
nation or other organized group or community of Indians, including any 
Alaska Native village or regional or village corporation as defined in 
or established pursuant to the Alaska Native Claims Settlement Act, 
that is recognized as eligible for the special programs and services 
provided by the United States to Indians because of their status as 
Indians pursuant to the Indian Self-Determination and Education 
Assistance Act of 1975. A tribe can apply either in its own name or 
through its TDHE. A TDHE cannot apply on behalf of a tribe that is 
applying on its own behalf. A tribe's application supersedes the 
application of a TDHE applying on behalf of that tribe. Resident 
Management Corporations (RMCs) and Resident Organizations (ROs) are 
eligible for funding as sub-grantees. RMCs, and ROs that were operating 
pursuant to 24 CFR part 950 are eligible for funding from tribes or 
TDHEs as subgrantees to develop security and substance abuse prevention 
programs. In addition, an applicant must meet all the applicable 
threshold requirements found in Section II(b) of the General Section of 
the SuperNOFA.
    (C) Eligible/Ineligible Activities. IHDEP grants may be used for 
seven types of activities: (1) The employment of security personnel; 
(2) reimbursement of local law enforcement agencies for additional 
security and protective services; (3) physical improvements which are 
specifically designed to enhance security; (4) the employment of one or 
more individuals to (A) investigate drug-related crime on or about the 
real property comprising any public or other federally assisted 
affordable housing project; and (B) provide evidence relating to such 
crime in any administrative or judicial proceeding; (5) the provision 
of training, communications equipment, and other related equipment for 
use by voluntary tenant patrols acting in cooperation with local law 
enforcement officials; (6) programs designed to reduce use of drugs in 
and around public or other federally assisted affordable housing 
projects, including drug-abuse prevention, intervention, referral, and 
treatment programs; and (7) where a tribe or TDHE receives a grant, 
providing funding to nonprofit resident management corporations and 
resident organizations to develop security and drug abuse prevention 
programs involving site residents.
    Following is a discussion by activity type of what can and cannot 
be funded and specific requirements or items that need to be discussed 
in your application if you are including that activity in your 
application.
    (1) Physical Improvements to Enhance Security.
    (a) Physical improvements specifically designed to enhance security 
may include: installing barriers, speed bumps, lighting systems, 
fences, surveillance equipment (e.g., Closed Circuit Television (CCTV), 
computers and software, fax machines, cameras, monitors, and supporting 
equipment), bolts, locks, and landscaping or reconfiguring common areas 
to discourage drug-related crime.
    (i) All physical improvements must be accessible to persons with 
disabilities. For example, locks or buzzer systems that are not 
accessible to persons with restricted or impaired strength, mobility, 
or hearing may not be funded by IHDEP. Defensible space improvements 
must comply with civil rights requirements and cannot exclude or 
segregate people because of their race, color, or national origin from 
benefits, services, or other terms or conditions of housing. All 
physical improvements must meet the accessibility requirements of 24 
CFR part 8 and the provisions found in section 504 of the 
Rehabilitation Act of 1973 and other relevant Federal, state and local 
statutes that apply.
    (ii) Funding is permitted for the purchase or lease of house 
trailers of any type that are not designated as a building if they are 
used for eligible community policing, educational programs for youth 
and adults, employment training facility, youth activities, and drug 
abuse treatment activities. A justification of purchase versus lease 
must be supported by your cost-benefit analysis.
    (2) Programs to Reduce Drug Use (Prevention, Intervention, 
Treatment, Structured Aftercare and Support Systems).
    (a) Eligible activities may include:
    (i) Drug abuse prevention, intervention, and referral programs;
    (ii) Programs of local, social, faith-based and/or other 
organizations that provide treatment services (contractual or 
otherwise) for dependency/remission; and
    (iii) Structured aftercare/support system programs.
    (b) General Requirements and Strategies. HUD is looking for you to 
structure your drug abuse prevention, intervention, treatment, and 
aftercare program using a ``continuum of care'' approach. A ``continuum 
of care'' approach includes not just treating the addiction or 
dependency but also providing aftercare, mentoring, and support 
services such as day care, family counseling, education, training, 
employment development opportunities, and other activities.
    You must develop a drug abuse/sobriety (remission)/treatment 
(dependency) strategy to adequately plan your drug abuse prevention, 
intervention, treatment, and structured aftercare efforts. In many 
cases, you may want to include education, training, and employment 
opportunities for residents. When undertaking these activities, you 
should be leveraging your IHDEP resources with other Federal, state, 
local and tribal resources. For example, your application may propose 
providing space and other infrastructure for these efforts with other 
tribal agencies providing staff and other resources at limited or no 
cost. Your application should also discuss how your strategy 
incorporates existing community resources and how they will be used in 
your program. The strategy should also document how community resources

[[Page 11965]]

will be provided on-site or how participants will be referred and 
transported to treatment programs that are not on-site.
    A community-based approach also requires you to develop a 
culturally appropriate strategy. Curricula, activities, and staff 
should address the cultural issues of the local community which 
requires your application to indicate your familiarity and facility 
with the language and cultural norms of the community. As applicable, 
your strategy should discuss cultural competencies associated 
specifically with your Native American or Alaskan Native community.
    Your activities should focus resources directly to tribal residents 
and families.
    For all activities involving education, training and employment, 
you should demonstrate efforts to coordinate with Federal, Tribal, 
state and local employment training and development services, including 
``welfare to work'' efforts.
    The current Diagnostic and Statistical Manual (DSM) of Mental 
Disorders of the American Psychiatric Association dated July 2000, 
contains information on drug abuse, dependency and structured 
aftercare. For more information about this reference, contact: APPI, 
1400 K. Street, NW, Suite 1100, Washington, DC 20005 or 1(800) 368-5777 
or World Wide Web site at http://ww.appi.org.
    (c) Activities must be in and around the affordable housing 
development in your ``Indian area''. IHDEP funding is permitted for 
programs that reduce/eliminate drug-related crime in affordable housing 
developments in the ``Indian area''. ``Indian area'' is defined in 24 
CFR 1000.10 of the NAHASDA regulations as the area in which an Indian 
tribe operates affordable housing programs or the area in which a TDHE 
is authorized by one or more Indian tribes to operate affordable 
housing programs.
    (d) Eligible costs. (i) Funding is permitted for reasonable, 
necessary, and justified purchasing or leasing (whichever is documented 
as the most cost effective) of vehicles for transporting adult and 
youth residents for education, job training, and off-site treatment 
programs directly related to reducing drugs and drug-related crime. The 
cost reasonableness can be determined by a comparison of the number of 
participants in and anticipated costs of these programs compared to the 
purchase or lease cost of the vehicles. If these costs are included in 
your application, you must include a description of why the expenses 
are necessary. Under no circumstances are these vehicles to be used for 
other than their intended purpose under your grant.
    (ii) Funding is permitted for reasonable, necessary and justified 
program costs, such as meals and beverages incurred only for training, 
education and employment activities, including provisions for daycare 
and youth services directly related to reducing drugs and drug-related 
crime. Refer to Office of Management and Budget (OMB) Circular A-87, 
Cost Principles for State, Local and Indian Tribal Governments.
    (e) Prevention. Prevention programs must demonstrate that they will 
provide directly, or otherwise make available, services designed to 
distribute drug education information, to foster effective parenting 
skills, and to provide referrals for treatment and other available 
support services including daycare in the housing development or the 
community for tribal residents and families.
    Prevention programs should provide a comprehensive prevention 
approach for residents that address the individual resident and his or 
her relationship to family, peers, and the community. Your prevention 
programs activities should identify and change the causal factors 
present in tribal communities that lead to drug-related crime thereby 
lowering the risk of drug usage. Many components of a comprehensive 
approach, including refusal and restraint skills training programs or 
drug, drug abuse/dependency and family counseling, and daycare may 
already be available in the tribal community developments and should be 
included to the maximum extent possible in your proposed program of 
activities.
    The following eligible activities under a prevention program are 
discussed below:
    (i) Educational Opportunities. The causes and effects of illegal 
drug abuse must be discussed in a culturally appropriate and structured 
setting. As a grantee, you may use contractors or subgrantees (in 
accordance with 24 CFR 85.36) to provide such knowledge and skills 
through training programs. The professionals contracted to provide 
these services are required to base their services on your needs 
assessment and program plan. These educational opportunities may be a 
part of resident meetings, youth activities, or other gatherings of 
tribal housing residents.
    (ii) Family and Other Support Services. ``Supportive services'' are 
services that allow families to have access to prevention, educational 
and employment opportunities. Supportive services may include: child 
care, employment training, computer skills training, remedial 
education, drug abuse counseling, help in getting a high school 
equivalency certificate, and other services to reduce drug-related 
crime.
    (iii) Youth Services. Proposed youth prevention programs must 
demonstrate that they have included groups composed of young people 
ages 8 through 18. Your youth prevention activities should be 
coordinated by adults but have tribal youth actively involved in 
organizing youth leadership, sports, recreational, cultural and other 
activities. Eligible youth services may include: youth sports, youth 
leadership skills training, cultural and recreational activities/camps, 
youth entrepreneurship, negotiation and mediation/peacemaking, and 
cross-cultural communication. These youth services provide an 
alternative to drugs and drug-related criminal activity for Native 
American youth. Youth leadership skills training may include training 
in leadership, peer pressure reversal, resistance or refusal skills, 
life skills, goal planning, parenting skills, youth entrepreneurship, 
negotiation and mediation/peacemaking, and cross-cultural communication 
and other relevant topics. Youth leadership training should be designed 
to place youth in leadership roles including: mentors to younger 
program participants, assistant coaches, managers, and team captains. 
Cultural and recreational activities may include ethnic heritage 
classes, art, dance, drama and music appreciation.
    The following are eligible youth services expenses:
    (1) Salaries and expenses for staff for youth sports programs and 
cultural activities and leadership training;
    (2) Sports and recreation equipment to be used by participants;
    (3) Funding for non-profit subgrantees that provide scheduled 
organized sports competitions, cultural, educational, recreational or 
other activities, including but not limited to: United National Indian 
Tribal Youth, Inc. (UNITY), Wings of America, Native America Sports 
Council, Boys and Girls Clubs of America, Girl Scouts of America, First 
Tee Program, YMCAs, YWCAs, the Inner City Games, Association of 
Midnight Basketball Leagues, and Big Brothers and Big Sisters of 
America.
    (4) Liability insurance costs for youth sports activities.
    (iv) Economic and Educational Opportunities for Resident Adult and 
Youth. Your proposed economic and educational activities must provide 
residents opportunities for interaction

[[Page 11966]]

with, or referral to, established higher education, vocational 
institutions and/or private sector businesses in the immediate 
surrounding communities with the goal of developing or building on the 
residents' skills to pursue educational, vocational and economic goals 
and become self-sufficient.
    You should discuss your economic and educational opportunities for 
residents and youth activities in the context of ``welfare to work'' 
and related Federal, tribal, state and local government efforts for 
employment training, education and employment opportunities related to 
the goals of ``welfare to work.'' Establishing or referring adults and 
youths to computer learning centers, employment service centers 
(coordinated with Federal, tribal, state and local employment offices), 
and micro-business centers are eligible activities. Funding is 
permitted for the purchase or lease of house trailers if they are used 
for the activities listed above and as specified in Section 
III.C(1)(a)(ii) of this NOFA.
    Limited educational scholarships are permitted under this section. 
For the purpose of this IHDEP NOFA, educational scholarships will be 
defined as merit-based financial assistance for high-school and college 
students who have demonstrated a need for financial assistance and 
academic excellence. No one individual award may exceed $500, and there 
is a total maximum scholarship program cap of $10,000. Educational 
scholarship IHDEP funds must be obligated and expended during the term 
of your IHDEP grant which is (24) twenty-four months. You must 
demonstrate in your plan a timetable, the strategy or method for 
awarding scholarships to students, and, the financial/management 
controls that will be used and projected outcomes.
    In addition, section 3 of the Housing and Urban Development Act of 
1968, 12 U.S.C. 1701u is applicable to many of the activities eligible 
under this NOFA. Therefore, to the greatest extent feasible, training, 
employment and other economic opportunities that you develop must be 
directed to (1) low- and very low-income persons and (2) business 
concerns which provide economic opportunities to low- and very low- 
income persons. For more information about section 3, see Section II(E) 
of the General Section of the SuperNOFA or HUD's section 3 implementing 
regulations at 24 CFR Part 135.
    (f) Intervention. The aim of intervention is to identify or detect 
residents with substance abuse issues, assist them in modifying their 
behavior, getting early treatment, and obtaining structured aftercare.
    (g) Drug Abuse/Dependency Treatment.
    (1) Treatment funded under this program should be ``in and around'' 
the premises of the affordable housing development(s) you proposed for 
funding. In undertaking drug abuse/dependency treatment programs, you 
must establish a confidentiality policy regarding medical and 
disability related information.
    (i) Funds awarded for drug abuse/dependency treatment must be 
targeted towards developing and implementing, or expanding and 
improving sobriety maintenance, drug-free maintenance support groups, 
drug abuse counseling, referral treatment services, and short- or long-
range structured aftercare for residents.
    (ii) Your proposed drug program must address the following goals 
for residents:
    (1) Increasing accessibility of treatment services;
    (2) Decreasing drug-related crime ``in and around'' your affordable 
housing development(s) by reducing and/or eliminating drug use; and
    (3) Providing services designed for youth and/or adult drug abusers 
and recovering addicts (e.g., prenatal and postpartum care, specialized 
family and parental counseling, parenting classes, domestic or youth 
violence counseling).
    (iii) You must discuss in your overall strategy the following 
factors:
    (1) Formal referral arrangements to other treatment programs in 
cases where the resident is able to obtain treatment costs from sources 
other than this program.
    (2) Family/youth counseling.
    (3) Linkages to educational and vocational training and employment 
counseling.
    (4) Coordination of services from and to appropriate local drug 
abuse/treatment agencies, HIV-related service agencies, and mental and 
public health programs.
    (iv) As applicable, you must demonstrate a working partnership with 
the Single State Agency or local, tribal or state license provider or 
authority with substance abuse program(s) coordination responsibilities 
to coordinate, develop and implement your drug dependency treatment 
proposal.
    (v) You must demonstrate that counselors (contractual or otherwise) 
meet Federal, state, tribal, and local government licensing, bonding, 
training, certification and continuing training re-certification 
requirements.
    (vi) You must get certification from the Single state Agency or 
tribal agency with drug abuse and dependency programs coordination 
responsibilities so that your proposed program is consistent with the 
tribal plan; and that the service(s) meets all Federal, state, tribal 
and local government medical licensing, training, bonding, and 
certification requirements.
    (vii) Funding is permitted for drug treatment of tribal residents 
at local in-patient medical treatment programs and facilities. IHDEP 
funding for structured in-patient drug treatment using IHDEP funds is 
limited to 60 days, and structured drug out-patient treatment, which 
includes individual/family aftercare, is limited to 6 months. If you 
are undertaking drug treatment programs, your proposal must demonstrate 
how individuals who complete drug treatment will be provided employment 
training, education and employment opportunities.
    (viii) Funding is permitted for detoxification procedures designed 
to reduce or eliminate the short-term presence of toxic substances in 
the body tissues of a patient.
    (ix) Funding is not permitted for maintenance drug programs. 
Maintenance drugs are medications that are prescribed regularly for a 
short/long period of supportive therapy (e.g. methadone maintenance), 
rather than for immediate control of a disorder.
    (3) Resident Management Corporations (RMCs) and Resident 
Organizations (ROs) Programs. RMCs, and incorporated ROs, may be a 
subcontractor to their tribe/TDHE, to develop security and drug abuse 
prevention programs for residents. Such programs may include voluntary 
tenant patrol activities, drug abuse education, intervention, and 
referral programs, youth programs, and outreach efforts. The 
elimination of drug-related crime within the tribal community must have 
the active involvement and commitment of tribal residents and their 
organizations.
    To enhance the ability of tribes/TDHEs, to combat drug-related 
crime within their developments, RMCs, and ROs may undertake program 
management functions as subcontractors. Sub-contracts with the RMC/RO 
must comply with the requirements of 24 CFR 85.36 and 37 and include 
the amount of funding, applicable terms, conditions, financial 
controls, payment mechanism schedule, performance and financial report 
requirements, special conditions, including sanctions for violating the 
agreement, and monitoring

[[Page 11967]]

requirements. Costs must not be incurred by the RMC or RO until a 
written contract is executed.
    (4) Employment of Security Personnel. You may employ security 
personnel to provide services in and around your affordable housing 
developments. Contracts for security personnel must be awarded on a 
competitive basis. Security personnel must perform services that are 
over and above those usually performed by local municipal law 
enforcement agencies on a routine basis. Eligible services may include 
patrolling inside buildings, providing personnel services at building 
entrances to check for proper identification or patrolling and checking 
car parking lots for appropriate parking decals. You are encouraged to 
involve police officials residing in tribal housing to partake in IHDEP 
security-related programs. The following specific requirements apply to 
all employment of security personnel activities funded under IHDEP:
    (a) Compliance. Security guard personnel must demonstrate 
compliance with all relevant Federal, state, tribal or local government 
insurance, licensing, certification, training, bonding, or other law 
enforcement requirements.
    (b) Law Enforcement Service Agreement. You (the applicant), the 
local law enforcement agency, and if relevant, the contract provider of 
security personnel services, must enter into a law enforcement service 
agreement with the local law enforcement agency. Your service agreement 
must be submitted with your IHDEP application and include:
    (i) The activities security guard personnel will perform; the scope 
of authority; written policies, procedures, and practices that will 
govern security personnel performance (i.e., a policy manual and how 
security guard personnel will coordinate activities with your local law 
enforcement agency);
    (ii) The types of activities that your approved security guard 
personnel are expressly prohibited from undertaking.
    (c) Policy Manual. Security guard personnel services must be guided 
by a policy manual that directs the activities of its personnel and 
contains the policies, procedures, and general orders that regulate 
conduct and describes in detail how jobs are to be performed. The 
policy manual must exist before you undertake this activity.
    (d) Data Management. A daily activity and incident complaint form 
approved by the tribe/TDHE must be used by security personnel and 
officers for the collection and analysis of criminal incidents and 
responses to service calls. Security guard personnel and tribal police 
departments must establish and maintain a system of records management 
for the daily activity and incident complaint forms that appropriately 
ensures the confidentially of personal criminal information. Management 
Information Systems (MIS) (computers, software, and associated 
equipment) are eligible costs that the tribe/TDHE may include in 
support of collection and analysis activities.
    (e) Employment of Residents. HUD encourages you to employ qualified 
resident(s) as security guard personnel, and/or to contract with 
security guard personnel firms that demonstrate a program to employ 
qualified residents as security guard personnel.
    (5) Reimbursement of Local Law Enforcement Agencies for Additional 
Security and Protective Services (Supplemental--Over and Above Local 
Law Enforcement Baseline Services). Additional security and protective 
services are permitted if services are over and above the local police 
department's current level of baseline services. Tribes/TDHEs are 
required to identify the level of local law enforcement services they 
are required to received and the increased level of services to be 
received in their local Cooperation Agreement. Local police department 
baseline services are defined as ordinary and routine services, 
including patrols, police officer responses to 911 communications and 
other calls for service, and investigative follow-up of criminal 
activity, provided to residents as a part of the overall deployment of 
police resources by the local jurisdiction in which the tribe/TDHE is 
located.
    (a) If you are an applicant seeking funding for this activity, you 
must describe the current level of local law enforcement agency 
baseline services being provided to the affordable housing 
development(s) proposed for assistance. Local law enforcement baseline 
services are defined as ordinary and routine services provided to the 
residents as part of the overall city and/or county wide deployment of 
police resources to respond to crime and other public safety incidents 
including: 911 communications, processing calls for service, routine 
patrol officer responses to calls for service and investigative follow-
up of criminal activity.
    (b) Tribal police departments funded under this program that are 
not employing a community policing concept but would like to establish 
such a program for affordable housing developments must submit a plan 
and timetable for the implementation of community policing. Community 
policing has a variety of definitions; however, for the purposes of 
this program, it is defined as a method of providing law enforcement 
services that stresses a partnership among residents, police, schools, 
churches, government services, the private sector and other local, 
state, tribal and Federal law enforcement agencies to prevent crime and 
improve the quality of life by addressing the conditions and problems 
that lead to crime and fear of crime. Community policing uses proactive 
measures including foot patrols, bicycle patrols and motor scooter 
patrols. It also includes activities where police officers operate out 
of police mini-stations and other community based facilities in tribal 
communities providing human resource activities with youth and citizen 
contacts. This concept empowers police officers at the beat and zone 
level and residents in neighborhoods to: reduce crime and fear of 
crime; ensure the maintenance of order; provide referrals of residents, 
victims and homeless persons to social services and government 
agencies; ensure feedback of police actions to victims of crime; and 
promote a law enforcement value system based on the needs and rights of 
residents.
    (6) Employment of Investigators. Employment of, and equipment for, 
one or more individuals to investigate drug-related crime ``in and 
around'' the real property comprising your affordable housing 
development(s) for which the application is submitted and providing 
evidence relating to such crime in any administrative or judicial 
proceedings is permitted. Under this section, reimbursable costs 
associated with the investigation of drug-related crimes (e.g., travel 
directly related to the investigator's activities, or costs associated 
with the investigator's testimony at judicial or administrative 
proceedings) may only be those directly incurred by the investigator.
    (a) If you are a tribe/TDHE that employs investigators funded by 
this program, you must demonstrate compliance with all relevant 
Federal, tribal, state or local government insurance, licensing, 
certification, training, bonding, or other similar law enforcement 
requirements.
    (b) Both you and the provider of the investigative services are 
required to execute a written agreement that describes the following:
    (i) The activities that your investigators will perform, their 
scope of authority, reports to be completed, established investigative 
policies, procedures, and practices that will govern their performance 
(i.e., a Policy Manual) and how your investigators will coordinate 
their activities with local, state, tribal, and Federal law

[[Page 11968]]

enforcement agencies; and prohibited activities.
    (ii) The activities the tribal investigators are expressly 
prohibited from undertaking.
    (c) Your investigator(s) may use IHDEP funds to purchase or lease 
any law enforcement clothing or equipment, such as uniforms, 
ammunition, firearms/weapons, or vehicles; including cars, vans, buses, 
protective vests, and any other supportive equipment.
    (d) Your investigator(s) shall report on drug-related crime in your 
developments. You must establish, implement and maintain a system of 
records management that ensures confidentiality of criminal records and 
information. Tribal-approved activity forms must be used for 
collection, analysis and reporting of activities by your investigators. 
You are encouraged to develop and use Management Information Systems 
(MIS) (computers, software, hardware, and associated equipment) and 
hire management personnel for crime and workload reporting in support 
of your crime prevention and security activities.
    (7) Voluntary Tenant Patrols. Members of tenant patrols must be 
volunteers and must be residents of the affordable housing 
development(s). Volunteers must have extensive background 
investigations to ensure there are no outstanding warrants or arrest 
records for past crimes, especially crimes against children. Voluntary 
tenant patrols are expected to patrol in and around your affordable 
housing development(s) proposed for assistance, and to report illegal 
activities to appropriate local, state, tribal, and Federal law 
enforcement agencies, as appropriate.
    (a) Training equipment, including uniforms for use by voluntary 
tenant patrols acting in cooperation with officials of local law 
enforcement agencies is permitted. All costs must be reasonable, 
necessary and justified. Bicycles, motor scooters, all-season uniforms, 
communications equipment and associated equipment to be used, 
exclusively, by the members of your voluntary tenant patrol are 
eligible items. Voluntary tenant patrol uniforms and equipment must be 
identified with your specific tribal development(s) identification and 
markings.
    (b) Tribes/TDHEs are required to obtain liability insurance to 
protect themselves and the members of the voluntary tenant patrol 
against potential liability for the activities of the patrol under this 
program. The cost of this insurance is eligible.
    (c) Before expending grant funds for voluntary tenant patrol 
activities, you, your local law enforcement agency, and the tenant 
patrol are required to execute a written agreement that includes:
    (i) The nature of the activities to be performed by your voluntary 
tenant patrol, the patrol's scope of authority, assignment, policies, 
procedures, and practices that will govern the voluntary tenant 
patrol's performance and how the patrol will coordinate its activities 
with the law enforcement agency;
    (ii) The activities the voluntary tenant patrol is expressly 
prohibited from undertaking including the carrying or use of firearms, 
weapons, nightsticks, clubs, handcuffs, or mace;
    (iii) Required initial and on-going voluntary tenant patrol 
training members will receive from the local law enforcement agency; 
(please note that training by HUD-approved trainers and/or the local 
law enforcement agency is required before putting a voluntary tenant 
patrol into effect); and
    (iv) That voluntary tenant patrol members will be subject to 
individual or collective liability for any actions undertaken outside 
the scope of their authority (described in paragraph (ii) above) and 
that such acts are not covered under your housing authority liability 
insurance.
    (d) IHDEP grant funds must not be used for any type of financial 
compensation, such as full-time wages or salaries for voluntary tenant 
and/or patrol participants. Funding for tribe/TDHE personnel or 
resident(s) to be hired to coordinate this activity is permitted. 
Excessive staffing is not permitted.
    (D) Ineligible Activities. IHDEP funding is not permitted for any 
of the activities listed below.
    (1) Costs incurred before the effective date of your grant 
agreement (Form HUD-1044), including, but not limited to, consultant 
fees related to the development of your application or the actual 
writing of your application.
    (2) The purchase of controlled substances for any purpose. 
Controlled substance shall have the meaning provided in section 102 of 
the Controlled Substance Act (21 U.S.C. 802).
    (3) Compensation of informants, including confidential informants. 
These should be part of the baseline services provided and budgeted by 
local law enforcement agencies.
    (4) Direct purchase or lease of clothing or equipment, vehicles 
(including cars, vans, and buses), uniforms, ammunition, firearms/
weapons, protective vests, and any other supportive equipment for use 
in law enforcement or military enforcement except for eligible tribal 
police department, voluntary tenant patrols and investigator activities 
listed in this NOFA.
    (5) Construction of facility space in a building or unit, and the 
costs of retrofitting/modifying existing buildings owned by the tribe/
TDHE for purposes other than: community policing mini-station 
operations, adult/youth education, employment training facilities, and 
drug abuse treatment activities.
    (6) Organized fund raising, advertising, financial campaigns, 
endowment drives, solicitation of gifts and bequests, rallies, marches, 
community celebrations, stipends and similar expenses.
    (7) Court costs and attorneys fees related to screening or evicting 
residents for drug-related crime.
    (8) Transfer of IHDEP grant funds to any Federal agency.
    (9) Costs to establish resident associations, resident 
organizations, and resident corporations.
    (10) Indirect costs.
    (11) The supplanting of existing positions/activities. For purposes 
of the IHDEP, supplanting is defined as ``taking the place of or to 
supersede''.
    (12) Alcohol-exclusive activities and programs are not eligible for 
funding under this NOFA, although activities and programs may address 
situations of multiple abuse involving controlled substances and 
alcohol.
    (13) Physical improvements that involve demolishing any units in a 
development or that would displace persons.
    (14) Acquiring real property.

IV. Program Requirements

    The following requirements apply to IHDEP funding:
    (A) Grant Award Amounts. HUD is distributing grant funds for the 
IHDEP under this NOFA on a national competition basis. The maximum 
grant award amounts are computed for IHDEP on a sliding scale, using an 
overall maximum cap, depending upon the number of tribe/TDHE units 
eligible for funding. This figure (number of eligible units for 
funding) will determine the grant amount that the tribe/TDHE is 
eligible to receive if they meet the IHDEP criteria and score a minimum 
of 70 out of 100 points.
    (1) Amount per unit. (a) For tribes/TDHEs with 1-1,250 units: The 
maximum grant award cap is $300 multiplied by the number of eligible 
units. (b) For tribes/TDHEs with 1,251 or more units: The maximum grant 
award cap is $260 multiplied by the

[[Page 11969]]

number of eligible units; up to, but not to exceed, a maximum grant 
award of $1.5 million dollars.
    (2) Units counted. (a) The unit count includes rental, Turnkey III 
and Mutual Help Homeownership units which have not been conveyed to a 
homebuyer, and Section 23 lease housing bond-financed projects. Such 
units must be counted as Formula Current Assisted Stock under the 
Indian Housing Block Grant Program for FY 2001.
    (b) Eligible units are those units which are under management and 
fully developed.
    (c) Use the number of units counted as Formula Current Assisted 
Stock for Fiscal Year 2001 as defined in 24 CFR 1000.316 and which is 
included in the FY 2001 IHDEP application kit. Please verify your 
Formula Current Assisted Stock figures with your local AONAP for 
accuracy.
    (d) Affordable housing units that are developed or assisted under 
NAHASDA are not included in the unit count outlined above, however, 
they are eligible to receive assistance under the IHDEP.
    (e) If it is determined that the unit count listed in your 
application is incorrect compared to the unit count listed in the 
application kit and your application is eligible for funding, you will 
be awarded the funding amount for which you are eligible based on the 
FCAS list or the amount requested in your application, whichever is 
less.
    (B) Complying with Civil Rights Requirements. To protect and insure 
the civil rights of occupants of HUD-sponsored housing and residents 
around that housing, your proposed strategies should ensure that you do 
not undertake crime-fighting and drug prevention activities that 
violate civil rights and fair housing statutes. 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. You are encouraged to involve as many segments of 
your intended population as possible in developing and implementing 
your strategies.
    (C) Confidentiality of Records Requirements. You must establish a 
confidentiality policy regarding medical and disability-related 
information for programs involving prevention, intervention, or drug 
abuse/dependency treatment and aftercare.
    (D) Term of Grant. Your grant funds must be expended within 24 
months after HUD executes a Grant Agreement. The AONAP may grant a one-
time extension of 6 months at the end of the grant term in accordance 
with the requirements of HUD Handbook 7490.1. However, if no extension 
is requested and granted and the grants funds are not expended within 
24 months after execution of the Grant Agreement, the funds will be 
recaptured by the Department.
    (E) Reports and Close-out. (1) In accordance with 24 CFR 761.35, if 
funded, you are required to submit semi-annually an IHDEP Semi-Annual 
Performance Report and the Semi-Annual Financial Status Report (SF-
269A) to the appropriate HUD AONAP. These IHDEP Semi-Annual Performance 
Reports shall cover the periods ending June 30 and December 31, and 
must be submitted to HUD by July 30 and January 31 of each year. The 
grantee must also comply with additional reporting requirements to be 
outlined in the near future which will include an annual survey of 
residents and additional supporting documentation for the semi-annual 
report including the close-out report.
    (2) At grant completion, you must comply with the close-out 
requirements described in Public Housing Notice PIH 98-60(HA), entitled 
``Grant Close-out Procedures,'' and by the end of the grant term, 
return unexpended grant funds to the Department, according to 
applicable requirements.
    (F) Federal Labor Standards. When grant funds are used to undertake 
physical improvements to increase security, Federal Labor standards set 
out in 24 CFR 761.40 apply.

V. Application Selection Process

    (A) Rating and Ranking.
    General. HUD will rate and rank applications based on the 5 rating 
factors listed in Section V.(B) of this NOFA, below. HUD will select 
and fund the highest ranking applications based on total score, and 
will continue the process until all funds allocated to it have been 
awarded or to the point where there are insufficient acceptable 
applications to award funds. The maximum number of points for this 
program is 100.
    Tiebreakers. In the event of a tie, HUD will select the highest 
ranking application that can be fully funded. In the event that two 
eligible applications receive the same score, and both cannot be funded 
because of insufficient funds, the applicant with the highest score in 
rating factor two will be funded. If rating factor two is scored 
identically, the scores in rating factors one and four 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 in order to promote the 
more efficient use of resources.
    Pre-award requirements. If there are technical deficiencies in 
successful applications, you must satisfactorily address these 
deficiencies before we can make a grant award. Please see Section VIII. 
Correction of Technical Deficiencies of this NOFA for a definition of 
such a deficiency and a description of the process to address and 
correct the deficiency. You must correct all technical deficiencies 
within the time frame established by HUD. If they are not corrected, we 
will not make the grant award and will reject your application.
    (B) Factors For Award to Evaluate and Rank Applications. Your 
application must address the five (5) factors, and sub-factors listed 
below. If your application does not address each of the five factors 
and sub-factors, it will not be scored and will be considered 
ineligible for funding. The maximum number of points for this program 
is 100. Your application must receive a score of at least 70 points to 
be eligible for funding.

Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (30 Points)

    This factor addresses the extent to which you have the capacity, 
the proper organizational experience and resources to implement the 
proposed activities in a timely and effective manner. The rating of the 
``applicant'' or the ``applicant's organization and staff'' for 
technical merit, unless otherwise specified, includes any 
subcontractors, consultants, sub-recipients, and members of consortia 
which are firmly committed to your project. Your application must 
include descriptive evidence demonstrating that you possess managerial, 
technical and/or administrative capability necessary to carry out the 
proposed project. Your application must address who will administer the 
project and how you plan to handle all aspects of executing the 
project. Your application must describe the experience and expertise of 
existing staff in the implementation of the specific activity for which 
you are applying and what responsibilities they will have in project 
implementation, as well as those aspects of project implementation that 
will be contracted to outside entities. If any subcontractors, 
consultants, sub-recipients and/or members of consortia are used, your 
application must demonstrate that the entity is firmly committed to the 
project. If applicable, past performance in administering previous 
IHDEP grants will be taken into consideration. In

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rating this factor, HUD will consider the following:
    (15 points) The knowledge and experience of your staff and your 
administrative capability to manage grants of this size and type. This 
includes your administrative support and procurement entities, defined 
organizational lines of authority, and demonstrated fiscal management 
capacity.
    (15 points) Past performance in administering Drug Elimination 
grants during the last three (3) years. If you do not have any open 
IHDEP grants, then you will receive 15 points under this sub-factor 
unless there are unresolved findings and/or outstanding recommendations 
from prior HUD reviews or audits undertaken by HUD, the Office of 
Inspector General, the General Accounting Office or independent public 
accountants. The extent of any findings or recommendations will then be 
considered. If you have an open IHDEP grant from FY 1998 or a prior 
year, you will receive 0 points for this sub-factor.
    For tribes/TDHEs that had previously applied as IHAs under the Drug 
Elimination Program, HUD will consider any open grants for which the 
tribe/TDHE has the responsibility to administer.

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

    This factor examines the extent to which there is a need for 
funding the proposed program activities to address a documented problem 
in your proposed target area (i.e., the degree of the severity of the 
drug-related crime problem in the project proposed for funding). In 
responding to this factor, you will be evaluated on: (1) The extent to 
which a critical level of need for your proposed activities is 
explained; and (2) the urgency of meeting the need in the target area. 
You must include in your response a description of the extent and 
nature of drug-related crime ``in or around'' the housing units or 
developments proposed for funding.
    Applicants will be evaluated on the following:
    (1) (15 Points) Data Supporting the extent of Drug and Drug-related 
Crime. You must identify and include supporting data indicating the 
extent of drugs and drug-related crime problems in the developments 
proposed for assistance under your program. HUD will consider the 
extent and quality of the data provided. Examples of the data that 
should be included in your application include:
    (a) Surveys of residents and staff in your targeted developments 
about drugs and drug-related crime or on-site reviews to determine 
drug/crime activity;
    (b) Government or scholarly studies or other research in the past 
year that analyze drug-related crime activity in your targeted 
developments.
    (c) Annual vandalism cost at your targeted developments, to include 
elevator vandalism (where appropriate) and other vandalism attributable 
to drug-related crime as a ratio to total annual approved budget for 
the targeted developments.
    (d) 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, drug abuse, treatment (dependency/remission) or counseling 
professionals, or other social service providers).
    (e) The school dropout rate and level of absenteeism for youth that 
you can relate to drug-related crime as a percentage or ratio of the 
rate outside the area.
    (f) The number of lease terminations or evictions for drug-related 
crime at the targeted developments; and
    (g) 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.
    (h) The number of police calls for service from tribe/TDHE 
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.
    (2) (10 points) Objective Crime Data relevant to your target area. 
To the extent that you can provide objective drug-related crime data 
specific to the community or targeted development proposed for funding, 
you will be awarded up to 10 points or up to a total of 5 points if 
substantial information is provided as to why Objective Crime Data 
could not be obtained. Objective Crime Data must include the most 
current and specific local law enforcement crime statistics or Part I 
Crime data and relevant Part II Crime data available from the FBI's 
Uniform Crime Reporting Program (UCR) system. 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; and weapons violations. You may 
also detail other crimes which you are proposing to be targeted as part 
of your grant. In assessing this sub-factor, HUD will consider the 
extent to which you provide specific statistical data (records, not 
anecdotes) and the data's specificity to the targeted sites (e.g., data 
specific to those targeted developments proposed for funding by crime 
type versus tribal/TDHE-community or county-wide data by aggregated 
crimes).
    The objective crime data provided in your application will become a 
``baseline'' tracking future changes in your crime rate.
    If you did not provide objective crime data, please provide 
information as to why objective crime data could not be obtained; the 
efforts being made to obtain it; what efforts will be made during the 
grant period to begin obtaining the data; and an explanation of how you 
plan to measure how grant activities will result in reducing drug-
related crime in the targeted developments and what will be used as a 
baseline.

Rating Factor 3: Soundness of Approach--(Quality of the Plan) (25 
Points)

    This factor examines the quality and effectiveness of your proposed 
work plan. In rating this factor, HUD will consider the impact of your 
activities on the drug and drug-related crime problems identified in 
Factor 2, as appropriate, and the extent to which you identify 
attainable goals, objectives, and performance measures to ensure that 
tangible benefits can be attained by the community and by your target 
population.
    Your application must include a detailed narrative describing: each 
proposed activity for your developments proposed for assistance; the 
amount and extent of resources committed to each activity or service 
proposed; measurable goals and objectives for all major program 
activities that focus on outcome and results; and the process used to 
collect the data needed to report progress made against these goals.
    In evaluating this factor, HUD will consider the following:
    (1) (5 points) The strength of your plan to address the drug-
related crime problem, and the problems associated with drug-related 
crime in your developments proposed for funding, the resources 
allocated, and how well the

[[Page 11971]]

proposed activities fit with the plan: The rationale for your proposed 
activities and methods used including written, descriptive evidence 
that proposed activities have been effective in similar circumstances 
in controlling drug-related crime in your community.
    (2) The extent to which you have:
    (a) (5 points) Stated performance goals that will measure program 
outcomes and designed your major activities to meet stated, measurable 
goals and objectives for drug and drug-related crime reduction. 
Outcomes include accomplishments, results, impact and the ultimate 
effects of your program on the drug or crime problem in your target/
project area. The goals must be objective, quantifiable, and/or 
qualitative and they must be stated in such a way that at the end of 
the 24 month grant, one can determine if the activities were effective. 
Specific crime reduction goals must be measurable. For example, 
``eliminating or reducing crime and drug-related crime'' is not a 
specific nor measurable goal, whereas a goal of ``reducing inhalant 
sniffing etc. by 5% in development X by the end of the 24 month grant 
period based on measurements against the baseline year crime selection 
rate in the targeted development X as stated in the application'' is 
specific and measurable.
    (b) (5 points) Provided the actual baseline data which will 
establish a starting point against which program outcomes will be 
measured and stated expected results for all major grant activities 
proposed in your application. For example: ``The total population in 
community X is 1,400, we have 400 family units, 80% of the residents 
are under 18 years of age, total drug arrests is 23, there is still a 
lot of violence in our community and we want more programs to give 
youth positive influences. We conducted a resident survey in 1999 and 
100 residents responded. Approximately 75% of the residents had the 
following concerns * * *''
    (c) (5 points) Discussed what performance measurement system exists 
for providing information to HUD semi-annually on progress made in 
achieving the established outcome goals. For example: ``Unit of 
measure: Number of youth participants with a 2.0 through a 2.9 grade-
point average (GPA). Community X met with residents to establish a 
mentoring/tutoring program to assist youth. The following performance 
indicators/outcomes measures was developed: 90% of participants 
maintain a C average. The following types of records were maintained 
during the course of the year: compilation of all GPAs for all 
participants, semi-annual summary of GPAs for each participant based on 
school report cards, monthly reports which included number of mentor/
tutor hours, number of participants for each session, and pre-post test 
results for each participant.''
    (3) (5 points) Provide evidence of existing youth programs and 
activities in your community that reduce drug abuse among youth, 
aftercare services for youth involved in the juvenile justice system, 
social services for children with emotional and behavioral problems, 
programs to reduce delinquency and gang participation, programs that 
improve academic performance and reduce the dropout rate through the 
use of mentors, drug and alcohol education activities, conflict 
resolution and counseling sessions/programs that have been implemented.

Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure community and 
government resources that can be combined with HUD's program resources 
to achieve program purposes.
    In assessing this factor, HUD will consider the following:
    (1) (5 points) Written evidence of firm commitment of funding, 
staff, or in-kind resources, partnership agreements, and on-going or 
planned cooperative efforts with law enforcement agencies, local, 
state, tribal or national entities who have committed services through 
a memoranda of understanding (MOU), or memorandum of agreements (MOA) 
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 to increase the effectiveness 
of the proposed program activities. The signed, written agreement may 
be contingent upon an applicant receiving a grant award. Commitments 
can include 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 which may include descriptions of tribal TANF plans and 
participation in Native Employment Works (NEW) program, or any of the 
following programs administered by the Department of Justice such as 
Operation Weed and Seed, Community Oriented Policing Services Tribal 
Resources Grant Program (COPS), Indian Tribal Courts, Drug-Free 
Communities Support Program, Tribal Youth Program, Safe Start 
Initiative, STOP Violence Against Indian Women Discretionary Grants and 
Mental Health and Juvenile Justice Program.
    (2) (5 points) Successful coordination of your law enforcement, or 
other activities with local, state, Tribal or Federal law enforcement 
agencies to foster meaningful collaborations and strengthen community 
anti-drug coalition efforts to reduce drug abuse among youth and adults 
and actions implemented to eradicate violent crime.
    Letters from various agencies supporting the submission of your 
IHDEP application do not constitute a letter for firm commitment. Firm 
commitment must be demonstrated by these agencies with exact details of 
the partnership between the applicant and the agency and/or provides a 
commitment that specifically states the amount of funding, number of 
staff committed and their roles and responsibilities and a description 
of in-kind resources available for this project.

Rating Factor 5: Comprehensiveness and Coordination (10 Points)

    This factor addresses the extent to which you have coordinated your 
activities with other known organizations and are working towards 
addressing a need 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) (5 points) Coordinated your proposed activities with those of 
other groups or organizations prior to submission in order to best 
complement, support and address the needs of your community as 
identified in Rating Factor 2: Need/Extent of the Problem. Any firm 
written agreements, MOUs/MOAs in place, or that will be in place after 
award should be described and/or included.
    (2) (2 points) Taken specific steps to become active in your 
community's Indian Housing Block Grant process by providing written 
evidence that you have addressed crime prevention and safety issues, 
and that your proposed activities reflect the priorities, needs, goals 
or objectives of crime prevention and safety in the Indian Housing Plan 
(IHP). Written evidence could include a copy of your tribe's Crime 
Prevention and Safety Plan that is included in your Indian Housing Plan 
(IHP) or a written statement or letter from the tribal official stating 
that the FY 2001 crime prevention and safety activities will be 
implemented in coordination with activities outlined in the IHP.

[[Page 11972]]

    (3) (1 point) Taken 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 IHP; and other Federal, state, tribal, or locally funded 
activities, including those proposed, or on-going that will sustain a 
comprehensive system to address the needs of your community.
    (4) (1 point) Your application must describe what role residents in 
your targeted developments, applicable community leaders and 
organizations and law enforcement agencies have had in planning the 
activities described in your application, what role they will have in 
implementing such activities for the duration of your grant and how 
services may be sustained beyond the grant term.
    (5) (1 point) Your application must include a discussion and 
written evidence (i.e. comments from residents, minutes from community 
meetings) of the extent to which community representatives and tribal, 
local, state and Federal Government officials, including law 
enforcement agency officials were actively involved in the design and 
implementation of your plan and will continue to be involved in 
implementing such activities during and after the period of your IHDEP 
funding.

VI. Application Submission Requirements

    (A) You must submit the required IHDEP FY 2001 Application Kit that 
contains all of the requisite forms in order to be considered for IHDEP 
funding. Your application submitted to HUD must also include items 
required under Section V. Application Selection Process, of this NOFA, 
including the plan to address the problem of drug-related crime in the 
developments proposed for funding. Please note that the address for 
submitting applications has changed. Please see the Program Overview, 
Section I., regarding the address for submitting applications.
    (B) You must submit no more than one application per tribe or TDHE 
on behalf of the tribe for the IHDEP. An application from a tribe will 
supersede an application from a TDHE on behalf of that tribe. In 
addition, joint applications that include more than one TDHE 
representing the tribe are permitted only in those cases where they 
have a single administration (such as a TDHE managing several tribes 
under contract or TDHEs sharing a common executive director). In those 
cases, a separate budget, plan and timetable, and unit count shall be 
supplied in the application. In addition, you must respond to the 
factors for award for each tribe/TDHE for which you are acting as 
administrator and requesting funds, if your responses would be 
different (e.g., the tribes are in different jurisdictions and, 
therefore, the Indian Housing Plans, crime data, etc. would all be 
different). The application kit includes the forms, certifications and 
assurances required under this NOFA.
    (C) To be considered eligible for review and scoring, each IHDEP 
application must include the following items:
    (1) An application cover letter.
    (2) A summary of the proposed program activities in five (5) 
sentences or less on the Congressional Notification Form.
    (3) A list of the sub-grantees, if applicable. The list must 
include the names of the sub-grantees, as well as the relative roles 
and contributions of each sub-grantee in implementing the IHDEP grant 
activities (Factor 1).
    (4) An overall budget and timetable that includes separate budgets, 
goals, and timetables for each activity, and addresses milestones 
towards achieving each described goal. You must also describe the 
contributions and implementation responsibilities of each partner for 
each activity, goal, and milestone.
    (5) A description of the number of staff, the titles, professional 
qualifications, and respective roles of the staff assigned full or 
part-time to grant implementation. (Factor 1)
    (6) Lines of accountability (including an organization chart) for 
implementing the grant activity, coordinating the partnership, and 
assuring that the commitment made by you and your sub-grantees, if any, 
will be met. (Rating Factor 1)
    (7) A list of open IHDEP grants, the grant amount and amount 
expended as of the date of this application.
    (8) A narrative of the plan that will address the problem of drug-
related crime in the developments proposed for funding. (Rating Factor 
3)
    (9) Narrative responses to each of the five Rating Factors and 
their sub-factors in this NOFA: (1) Capacity of the Applicant and 
relevant organizational Experience, (2) Need/Extent of the Problem, (3) 
Soundness of Approach, (4) Leveraging Resources and (5) 
Comprehensiveness and Coordination.
    (10) You must also include the following forms which are included 
in the FY 2001 IHDEP Application Kit:

FY 2001 IHDEP Applicant Data Input Form,
Application Cover Letter,
Project Summary--Congressional Notification Information Sheet,
Implementation Schedule,
Standard Form--424, Application for Federal Assistance,
Form HUD 424--M, Federal Assistance Funding Matrix,
Standard Form--424A, Budget Information (non-construction programs),
Standard Form--424B, Assurances (non-construction programs),
FY 2001 IHDEP Summary Budget Information,
Form HUD-2880, Applicant/Recipient Disclosure/Update Report,
Form HUD-50070, Drug-Free Workplace Certification,
Form HUD-50071, Lobbying Certification,
SF-LLL Disclosure of Lobbying Activities Certification,
Form HUD-2992, Certification of Debarment and Suspension,
Certification of Consistency with the Indian Housing Plan, and
Certification of Resident Management Corporations, Resident 
Organizations and Residents Acknowledgment of Application Receipt.

VII. Clarifying Information

    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. 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. HUD will make any requests for clarifying information in 
writing and will specify the item, or items, that need clarification 
and a time frame for response. Failure on your part to provide such 
requested information will result in the rejection of the application.

VIII. Correction of Technical Deficiencies

    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications. Additionally, please note that 
as indicated under Section V.(A)(3), only successful applicants will be 
required to address technical deficiencies and this must be done before 
we make a grant award. If you do not provide the information necessary 
to address the deficiency within the time allowed, we will not award 
you the grant and will reject your application. The AONAP will notify 
you in writing and will describe the technical deficiency, what

[[Page 11973]]

must be done to correct it, and the date by which you must submit this 
information. The AONAP will notify you by facsimile or by return 
receipt requested. Your response must be submitted (postmarked) within 
14 calendar days from the date of receipt of the HUD notification.

IX. Error and Appeals

    Judgments made within the provisions of this NOFA and the program 
regulations (24 CFR 761) are not subject to claims of error. You may 
bring arithmetic errors in the rating and ranking of applications to 
the attention of the AONAP Administrator within 30 days of being 
informed of your score. If an arithmetic error was made in the 
application review and rating process that, when corrected, would 
result in the award of sufficient points to warrant the funding of an 
otherwise approvable project, the AONAP may fund that project in the 
next funding round without further competition.

X. Environmental Requirements

    Certain eligible activities under this IHDEP NOFA are categorically 
excluded from review under the National Environmental Policy Act of 
1969 (42 U.S.C. 4321) and are not subject to review under related laws, 
in accordance with 24 CFR 50.19(b)(4), (b)(12), or (b)(13). If the 
IHDEP application proposes the use of grant funds to assist any non-
exempt activities, HUD will perform an environmental review to the 
extent required by 24 CFR part 50, prior to grant award.

XI. Authority

    Chapter 2, Subtitle C, Title V of the Anti-Drug Abuse Act of 1988 
(42 U.S.C. 11901 et seq.), as amended.

Appendix A--Required Forms and Certifications

    The non-standard forms, which follow this checklist, are 
required for your application (the standards form follow the General 
Section).
BILLING CODE 4210-32-P

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[[Page 11987]]

FUNDING AVAILABILITY FOR THE NEW APPROACH ANTI-DRUG PROGRAM PROGRAM 
OVERVIEW

    Purpose of the Program. The purpose of the New Approach to Anti-
Drug Program is to provide funding to owners 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 enhancing the security of the 
developments. Through these grants, HUD is taking a comprehensive 
neighborhood/community-based approach to crime prevention.
    Available Funds. Approximately $20 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 (1) an 
owner of an assisted housing development, as defined in this program 
section of the SuperNOFA; (2) a unit of general local government that 
operates an assisted housing development; or (3) PHA, TDHE, or an 
Indian tribe that owns a development with project-based Section 8 
assistance, as defined in the U.S. Housing Act of 1937, whose 
development is included in the proposed plan and is located in the 
``project area'' targeted to receive grant funds.
    Application Deadline. June 19, 2001.
    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 19, 2001, 
at your local HUD Field Office.
    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. Please address your application to the Director, 
Multifamily Housing Hub, Program Center in your local HUD Field Office 
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. Your local HUD 
Field Office staff will be able to answer your question(s) regarding 
this program section of the SuperNOFA and/or your application kit. If 
however, the Field staff is unable to answer your question(s), please 
contact Alicia Anderson, Program Analysts, Office of Housing Assistance 
and Grant Administration, U.S. Department of Housing and Urban 
Development, 451 Seventh Street, SW, Room 6146, Washington, DC 20410; 
(202) 708-2866, extension 5787 or email [email protected]. If you 
are hearing or speech impaired, you may access this number via TTY by 
calling the Federal information Relay Services 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 $20 million is available for 
funding under the New Approach Anti-Drug Program, as provided in the FY 
2001 HUD Appropriations Act.
    The fair share allocation formula used for this program is based on 
the number of project-based assisted housing units within each HUD 
Multifamily Hub Office as a percentage of the total number of project-
based assisted housing units for the United States as a whole 
(including Puerto Rico, the Virgin Island, and the Pacific Islands).
    Based on the aforementioned formula, the following chart details 
the New Approach to Anti-Drug Program grant funds fair share allocation 
to each of the 18 Multifamily Hubs:

  Fiscal Year 2001 Fair Share Allocations for the New Approach to Anti-
                              Drug Program
------------------------------------------------------------------------
                                                               Grant
                           HUB                               authority
------------------------------------------------------------------------
Boston..................................................      $1,426,069
Buffalo.................................................         378,535
New York *..............................................       1,793,623
Philadelphia............................................       1,886,327
Baltimore...............................................       1,047,633
Greensboro..............................................         754,938
Atlanta.................................................       2,127,040
Jacksonville............................................       1,343,238
Chicago.................................................       1,463,479
Columbus................................................         978,706
Detroit.................................................         731,901
Minneapolis.............................................         750,821
Fort Worth **...........................................       1,648,418
Kansas City.............................................       1,076,022
Denver..................................................         526,228
San Francisco...........................................         936,294
Los Angeles.............................................         629,490
Seattle.................................................         501,238
                                                         ---------------
    Total...............................................     20,000,000
------------------------------------------------------------------------
* This amount includes Grant Authority of $27,000 to fund the New York
  Society for the Deaf.
** This amount includes Grant Authority of $51,032 to fund the Garden
  City Apartments. Since funding for both applicants were reduced in
  FY2000 due to HUD error, the applications will be funded from the
  FY2001 allocation to the applicable Hub.

    (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.

[[Page 11988]]

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), in an effort 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 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, 
the local police department, and the local district attorney or 
prosecutor's office. 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

[[Page 11989]]

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 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.
    (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 
who 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 an assisted housing development. See definition in 
Section III (A)(3) of this program section of the SuperNOFA. 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 You may not have any outstanding 
findings of civil rights violations. (See Section II(B) of the General 
Section of this SuperNOFA.)

    If your eligibility status changes during the course of the grant 
term, thus making you ineligible to receive this grant, HUD reserves 
the right to terminate your grant.

[[Page 11990]]

    (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.
    (3) 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 provided a 
detailed explanation of why a fully ratified MOU is not being presented 
in your application. You must indicate that the draft MOU is contingent 
upon HUD funding the grant. In addition, written commitment from the 
proposed MOU partners must be included in your grant application. 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.
    (4) Required Parties to the MOU. In order to receive full points in 
the applicable 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:
    (i) The local police department; and
    (ii) 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.
    (5) 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.
    (6) 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.

(C) 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).

(D) 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, be licensed, and 
trained in Fair Housing and other Civil Rights requirements arising out 
of their role in providing security services.
    (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 on a per unit per hour basis, or the 
actual percentage 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. Funding is permitted for reasonable, necessary, and justified 
leasing of vehicles or any other equipment associated with the 
augmentation of security services.
    (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.

[[Page 11991]]

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.
    (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 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 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. 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 Rating Factor 3, ``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 that the 
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. Up to $35,000 of the grant funds awarded by HUD may 
be used towards developing and establishing a new Neighborhood Network 
center.
    If there is an established Neighborhood Networks center you may 
include up to $25,000 for the center for further crime prevention 
activities, such as additional mentoring and/or tutorial education 
programs, improving job skill programs, and home buyer education. Other 
crime prevention activities may include, but are not limited to, 
resident participation in law enforcement community outreach activities 
such as Drug Abuse Resistance Education (DARE) days and the local 
office of the FBI's Race Against Drugs activities, etc. The 
aforementioned monetary limitations only apply to funds from the New 
Approach Anti-Drug Program. Additional funds may be obtained from other 
sources. 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.
    (E) 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) Drug abuse 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) Funding of any form 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) Purchase of motorized vehicles for any purpose;
    (5) Funding of any form of weaponry for any purpose;
    (6) Funding of any form of tenant patrols;
    (7) Compensating informants, including confidential informants. 
These should be part of the baseline services provided and budgeted by 
local law enforcement agencies;
    (8) 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.

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

[[Page 11992]]

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, 85, 
and/or 761.40, 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. Federal labor standard provisions are applicable when grant 
funds are used to undertake physical improvements to increase security. 
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 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 may 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 (LOCS/VRS) 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) Ranking and Selection Procedures. 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) All applications will be evaluated competitvely and ranked 
against applications in the same Field Office. Only those applications 
that have a base score of at least 70 points (excluding the EZ/EC and 
Dallas bonus points) will be eligible for selection and will be placed 
in ranked order.
    (2) This year HUD will distribute funds to each Multifamily Housing 
Hub Office based on the fair share allocation formula. (See Section II-
A for a thoroughly detailed discussion of the fair share allocation 
formula). 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 Office will conduct the selection process as follows: Where 
a Multifamily Hub covers more than one

[[Page 11993]]

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. 
Hub Offices must not skip over any applications in order to select one 
based on the remaining funds.
    Any funds still remaining after Hub Office distribution by rank 
must be forwarded to Headquarters. Headquarters will use these funds 
for selecting applications based on field offices' ranking, beginning 
with the highest rated application nationwide. Only one application 
will be selected per Hub Office from the national residual amount. 
However, if there are no approvable applications in other Hub Office, 
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.
    (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.
    (4) HUD will evaluate all eligible applications based on the 
factors for award identified in this Section V.
    (B) Factors For Award Used To Evaluate and Rate 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 (6), 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(s) 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, 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

[[Page 11994]]

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 the 
targeted 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.
    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. 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.

[[Page 11995]]

    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 include 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 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:

[[Page 11996]]

    (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 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, 2001 (Pub.L. 106-377, approved October 18, 2000), 
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.

Appendix B

    The non-standard forms, which follow, are required for your New 
Approach Anti-Drug application.
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[[Page 12003]]

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 23, 2001.
    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 23, 2001 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/grants.
    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 Housing Assistance and Grants 
Administration, Department of Housing and Urban Development, 451 
Seventh Street, SW, Room 6146, Washington, DC 20410; (202) 708-2866, 
extension 2487 (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/grants.

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,        $1,219,019
 Louisville)...............................................
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         1,161,687
 Rock, New Orleans, San Antonio, Shreveport)...............
 Greensboro Hub (Greensboro, Columbia).....................      811,246
Jacksonville Hub (Jacksonville, Birmingham, Jackson).......    1,006,891
Kansas City Hub (Kansas City, Des Moines, Oklahoma City,       1,183,903
 Omaha, St. Louis, Tulsa)..................................
Los Angeles Hub............................................      761,080
Minneapolis Hub (Minneapolis, Milwaukee)...................      999,008
New York Hub...............................................      599,118
Philadelphia Hub (Philadelphia, Pittsburgh, Charleston,        1,138,754
 Newark)...................................................
San Francisco Hub (San Francisco, Honolulu, Las Vegas,           909,427
 Phoenix, Sacramento)......................................
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

[[Page 12004]]

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, 
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.

(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

[[Page 12005]]

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 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 funding 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 employment 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

[[Page 12006]]

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 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.
    (H) Federal Labor Standards. In accordance with 24 CFR 761.40, when 
grant funds are used to undertake physical improvements to assisted 
multifamily housing, you must comply with Davis-Bacon prevailing wage 
requirements.

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 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

[[Page 12007]]

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 assessment score 
(24 CFR parts 901/902).

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

[[Page 12008]]

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 2001 
application in the FY 1998, 1999, or 2000 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 1998, 1999, or 2000, you will receive one point.

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).

[[Page 12009]]

    (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.

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 
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 B to this 
program section of the SuperNOFA: The items are as follows:

Standard Forms

--Standard Form for Application for Federal Assistance (SF-424) (which 
includes civil rights/fair housing certification);
--Federal Assistance Funding Matrix and Certifications (HUD-424M);
--Standard Form for Budget Information--Non-Construction Programs (SF 
424A);
--Standard Form for Assurances--Non-Construction Programs (SF-424B);
--Drug Free Workplace Certification (HUD-50070);
--Certification of Payments to Influence Federal Transactions (HUD-
50071) and if engaged in lobbying, the Disclosure Form Regarding 
Lobbying (SF-LLL):
--Applicant/Recipient Disclosure/Update Report Form (HUD-2880);
--Acknowledgment of Application Receipt (HUD-2993)

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

[[Page 12010]]

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.
    (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.

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 program are 
categorically excluded from NEPA and related environmental authorities 
under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant funds will be 
used to cover the cost of any activities which are not exempted from 
environmental review requirements--such as acquisition, leasing, 
construction, or building rehabilitation, HUD will perform an 
environmental review to the extent required by 24 CFR part 50, prior to 
grant award.

IX. 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-0AHM, 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, 0, Washington, DC 20012-4205, 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, SW, 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-0AHM, 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,

[[Page 12011]]

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

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, NW., 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. 5506, 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-0AHM, 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

[[Page 12012]]

Utah

Multifamily Housing Hub, HUD Denver Office, 633 17th Street, 14th 
Floor, Denver, 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-0AHM, 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

Appendix B

    The non-standard forms, which follow, are required for your 
Multifamily Housing Drug Elimination Program application.
BILLING CODE 4210-32-P

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FUNDING AVAILABILITY FOR THE ECONOMIC DEVELOPMENT INITIATIVE (EDI)

Program Overview

    Purpose of the Program. 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. 
HUD intends to make available $10,728,155 in EDI funds in FY 2001 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. An EDI grant must be used in conjunction with a new 
Section 108 guaranteed loan commitment. In FY 2001, HUD seeks to 
increase economic development opportunity for those areas of the 
country having the greatest distress.
    Available Funds. Although no new funds were appropriated for the 
EDI program in FY 2001, $10,728,155 from the past two fiscal years is 
unobligated and therefore HUD proposes to make these funds available 
for EDI grants in FY 2001. This amount includes $3,710,000 from the 
Community Empowerment Fund (CEF) Pilot. A notice announcing this pilot 
program was published in the Federal Register on June 30, 2000. On 
reconsideration, HUD has decided not to proceed with this pilot 
program. Please note that there is no separate category for regional 
economic development applications, unlike last year's SuperNOFA, in 
this year's competition. The maximum EDI grant awards will be in the 
amount of $1 million.
    Eligible Applicants. Any public entity eligible to apply for and 
receive loan guarantee assistance 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. (See Section III(B) below for additional information regarding 
eligible applicants.)
    Application Deadline. July 6, 2001.

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 three copies) on or before 12:00 midnight, Eastern 
time, on July 6, 2001, 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).
    Address for Submitting Applications. To HUD Headquarters: The 
completed application (an original and two copies) should be submitted 
by mail or hand delivery 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.
    To the Appropriate CPD Field Office: At the same time the EDI 
application and copies are submitted to HUD Headquarters, an additional 
copy should be submitted to the Community Planning and Development 
Division of the appropriate HUD Field Office for the applicant's 
jurisdiction.
    When submitting the application, please refer to EDI, and include 
the applicant's name, mailing address (including zip code) and 
telephone number (including area code), along with the contact person's 
name and phone number.
    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 the applicant's name, address (including zip code), 
and telephone number (including area code), along with the contact 
person's name and phone number. The application kit also will be 
available on the Internet through the HUD web site at http://www.hud.gov/grants. 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. Contact Bill 
Seedyke at (202) 708-1686, extension 4445, of the Office of Economic 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room 7158, Washington, DC 20410; (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 to the 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 EDI application. For more information about the date 
and time of the broadcast, please consult the HUD web site at http://www.hud.gov/grants.

II. Amount Allocated

    No new funds were appropriated for the EDI program under the FY 
2001 HUD Appropriations Act. However, $10,728,155 in funds appropriated 
for Fiscal Years 1999 and 2000 remain unobligated and available for the 
EDI program for FY 2001. This amount includes $3,710,000 that had been 
set aside administratively for the Community Empowerment Fund (CEF) 
Pilot. A notice announcing this pilot program was published in the 
Federal Register on June 30, 2000 (65 FR 40836). On reconsideration, 
HUD has decided not to proceed with this pilot program. For the EDI 
program, if any additional funds become available during Fiscal Year 
2001, HUD may either fund additional applicants in accordance with this 
program section of the SuperNOFA or may add these funds to any future 
EDI competitions.

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, as provided in 
the approved application.

[[Page 12018]]

In either case, EDI grant funds and the 108 proceeds must be used 
together to support the same eligible project.
    (1) Definitions. Terms used in this program section of the 
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, in accordance with the 
provisions of this program section of the SuperNOFA to finance an 
economic development project. An EDI application must be accompanied by 
a Section 108 loan guarantee request, which may consist of either a 
brief summary of the proposed use of 108 funds, or a full application, 
which may either be submitted at the same time as the EDI application 
or be provided within 60 days of EDI grant award, as more fully 
explained in Section IV(C) of this program section. Note that the 
Section 108 application must be submitted to the appropriate HUD field 
office concurrently with its submission to Headquarters.
    CDBG funds means those funds collectively so defined at 24 CFR 
570.3, including grant funds received pursuant to section 108(q) of the 
Act and this program section of the 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.
    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.
    Firm Commitment means either a written agreement or letter of 
understanding by which an applicant and/or its partner:
    (1) agrees to perform an activity specified in the application, and 
demonstrates its relationship to the proposed EDI project;
    (2) specifies the amount of the commitment, and demonstrates that 
it has the financial and organizational capacity to deliver the 
resources necessary to successfully complete the activity; if the 
committed activity is to be self-financed, the applicant's partner must 
evidence its financial capacity through a corporate or personal 
financial statement or other appropriate means; and
    (3) irrevocably commits the resources to the activity either 
through cash or in-kind services or contributions; if any portion is to 
be financed through a grant or loan from another public or private 
organization, that institution's grant or loan commitment must be 
firmly committed as well.
    Any such agreement or letter of understanding shall be understood 
as being contingent upon receipt of the EDI grant.
    In order for an applicant's commitment of CDBG funds to be counted 
by HUD, a resolution from the local governing body (e.g., city/borough 
council) authorizing the amount and permitted use(s) of the funds must 
be provided. Each agreement or letter of commitment must include the 
organization's name and proposed total level of commitment and 
responsibilities as they relate to the proposed EDI project. The 
commitment must be signed by an official of the organization legally 
authorized to make commitments on behalf of the organization and have 
an effective date not earlier than the publication date of the NOFA.
    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. 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.
    (a) The CDBG program provides grant funds (approximately $4.44 
billion in FY 2001) 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 the 
SuperNOFA.
    (b) For FY 2001, the Section 108 program is authorized at $1.26 
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 $7.0 
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

[[Page 12019]]

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 `` '' in the early 
stages of the project, i.e., potentially insufficient 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 directly 
and therefore 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 payments, allowing the 
businesses to be financially viable in the early start-up period, which 
might not otherwise be 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 in order to act 
as a catalyst for other development in the area.
    (e) Combination of Techniques. A combination of the above or other 
techniques could be employed in implementing an economic development 
project.
    (7) Additional Project Structure. HUD will consider funding an EDI 
proposal in which the related Section 108-guaranteed obligation would 
be used solely as security only under the following conditions:
    (a) If EDI funds are not the first source of funds injected into 
the project, and
    (b) If project funds are disbursed according to a ratio that equals 
the amount of EDI funds to the amount of private or public debt that is 
firmly committed to the project, as required under Rating Factor 4 
``Leveraging Resources'' below, and
    (c) If the grantee maintains in its records a listing of the amount 
of private funds being distributed by the private party (i.e., the 
financing institution) to the project.
    Grantees are reminded that the EDI grantee/Section 108 borrower's 
loan guaranteed obligation cannot remain undisbursed for more than five 
years following the year in which the Section 108 commitment is made. 
Consequently, the borrower's 108-guaranteed obligation cannot have a 
term that exceeds five years plus the remaining portion of the fiscal 
year in which the commitment is made.
    (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 evidence in the application 
from an authorized official of the State agency responsible for 
administering the State CDBG program stating its intention to support 
the related Section 108 loan with a pledge of its CDBG funds pursuant 
to the requirements of 24 CFR 570.705(b)(2). Such evidence shall take 
the form of the HUD Certification titled ``SECTION 108 LOAN GUARANTEES: 
State Certifications Related to Nonentitlement Public Entities'' which 
may be obtained either by downloading from the Internet or in the EDI 
Application Kit to be published shortly after publication of this 
SuperNOFA. Note that effective January 25, 1995, non-entitlement public 
entities in the State of 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 now 
eligible to participate in the Section 108 and EDI programs.
    (2) Applicants for economic development projects under this section 
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 the SuperNOFA. If the 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. The applicant must clearly identify in its narrative 
statement (as described in Section V(B) below) the CDBG national 
objective the proposed project will achieve and provide the appropriate 
CDBG national objective's regulatory citation found at 24 CFR 570.208. 
Also, the applicant must address, when applicable, how the proposed 
activities will comply with the

[[Page 12020]]

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, 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 the SuperNOFA, must comply 
with the CDBG primary objective requirement as described in Section 
101(c) of the Act and 24 CFR 570.200(a)(3), or 24 CFR 570.484 in the 
case of State grantees.

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 in Section III(C) above of this 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.
    (B) Compliance with Applicable Laws. An award of EDI funding does 
not in any way relieve grant recipients or third party users of EDI 
funds from compliance with all applicable Federal, State and local 
laws.
    (C) Related Section 108 Loan Guarantee Request.
    (1) Each EDI application must be accompanied by a request for new 
Section 108 loan guarantee assistance. Notwithstanding the form of the 
request for new Section 108 loan guarantee assistance under paragraphs 
(a), (b), (c), or (d) of this section below, the applicant must include 
citations to the specific regulatory subsections supporting activity 
eligibility and national objectives compliance for the project 
described in its 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 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. Such 
108 application must be submitted within 60 days of written 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 loan guarantee authority approved before HUD's 
announcement of an EDI grant for the same project is not eligible to be 
used in conjunction with an EDI grant 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) Prohibitions 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) Section 108 loan obligations may not be subordinated, directly 
or indirectly, to federally tax exempt obligations. Pursuant to Office 
of Management and Budget (OMB) Circular A-129 (REV.), Appendix A, 
Sections II c.2 and d. (Policies for Federal Credit Programs and Non-
Tax Receivables), Section 108 guaranteed loan funds may not directly or 
indirectly support federally tax-exempt obligations.
    (E) Time-frames. EDI grant awards will contain conditions requiring 
grantees to adhere to their stated time-frames for implementing 
proposed projects and drawing Section 108 and EDI funds. If the related 
Section 108 application has not been submitted and approved and the 
Note guaranteed within fifteen (15) months of written HUD notification 
of grant award, HUD may deobligate the EDI funds. If EDI grant funds 
and Section 108 loan proceeds have not been disbursed to the applicant 
within the timeframes specified in the EDI Grant Agreement and the 108 
Contract, HUD reserves the right to recapture the EDI funds, unless an 
extension of time has been authorized in writing by HUD, and either 
award them to the applicant that scored the next highest in that year's 
competition, provided that such applicant's application remains 
feasible and appropriate under this program section of the NOFA, or 
make them available as part of the next EDI NOFA.
    (F) Limitations on Grant Amounts. (1) HUD expects to approve EDI 
grant amounts for approvable applications with 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 an applicant proposes a 
leverage ratio of 1:1, it will not receive any points under Rating 
Factor 4, paragraph (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. Even with a ratio of 1:1, applications 
with higher ratios will receive more points under Rating Factor 4, 
``Leveraging Resources''. Because the proposed ratio of EDI funds to 
Section 108 funds represents an applicant's financial commitment, HUD 
will condition the EDI grant award on the grantee's achievement of that 
specific ratio. Its failure to meet that condition by obtaining timely 
HUD approval of a commitment for, and issuance of, the required Section 
108 guaranteed

[[Page 12021]]

obligations ratio may result in the cancellation and recapture of all 
or a proportionate share of the EDI grant award.
    HUD will cap EDI awards at a maximum of $1 million. An application 
in excess of $1 million will be reduced below the amount requested by 
the applicant to the extent HUD determines that such a reduction is 
appropriate.
    After selection, but prior to grant award, if HUD determines that 
an application can be funded at a lesser EDI grant amount than 
requested and still be feasible and consistent with the proposed plan 
and the purposes of the Act, it reserves the right to reduce the amount 
of the EDI award and/or increase the required Section 108 loan 
guarantee commitment, if appropriate.
    (4) If additional EDI grant funds become available to HUD (e.g., 
from recaptures or other appropriations), HUD reserves the right to 
award grants under this SuperNOFA during FY 2001 whose aggregate total 
may exceed the approximately $7 million announced in this program 
section of the SuperNOFA, up to the maximum amount authorized by law.
    (5) If an applicant is awarded an EDI grant that has been reduced 
below the original request (e.g., the application contained some 
activities that were ineligible, the grant request exceeded the funding 
cap, there were insufficient funds to reach all applications (as 
defined in Section V(A) below) at the full amount requested, or there 
were technical deficiencies that could not be resolved), it will be 
asked to modify its project plan 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 an 
applicant does not submit an approvable Section 108 loan guarantee 
application and issue Section 108-guaranteed obligations on a timely 
basis 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(F)(1) above of this program section of the SuperNOFA). Any 
modifications or amendments to an application approved pursuant to this 
SuperNOFA, whether requested by the grantee 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 scores above the level of the lowest funded 
application and is otherwise approvable under this SuperNOFA 
competition.
    (6) In the case of a 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.
    (7) Pursuant to another portion of this SuperNOFA, HUD is 
simultaneously announcing the availability of $25 million of 
Brownfields Economic Development Initiative (BEDI) funds.The BEDI 
program's principal purpose is to assist in the remediation of 
contaminated commercial and industrial sites, but economic development 
proposals that contain some limited amount of environmental site 
remediation as part of the overall cost may be submitted under the EDI 
portion of this SuperNOFA as well. 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) 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. 
Also, 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 Factor 4, paragraph (2). Further, if 
an applicant seeks both BEDI and EDI funds for the same project, it 
must include in its response to Rating Factor 3 a discussion of how the 
project can be financed and implemented if it fails to obtain either 
BEDI or EDI funds under this SuperNOFA.
    (G) Timing of Grant Awards. (1) If an applicant submits a full 
Section 108 application with its EDI grant application, HUD will 
evaluate the Section 108 application concurrently with the request for 
EDI grant funds. Note that the 108 application must be submitted to the 
appropriate HUD field office concurrently with submission to 
Headquarters. In addition, 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 a grant recipient 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 grantee 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.
    (I) Nondiscrimination. Section 109 of the Housing and Community 
Development Act of 1974, as amended (42 U.S.C. 5309), is applicable to 
EDI grant recipients. Applicants must therefore adhere to HUD 
regulations at 24 CFR parts 6 and 570, including, but not limited to, 
reporting and record-keeping requirements under 24 CFR 570.506 and 
570.507.

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 104. To be eligible for funding, an EDI application must 
obtain a total score of at least 20 points in Rating Factors 1 
(Capacity) and 3 (Soundness of Approach) combined.
    (2) All applications meeting program and threshold requirements 
will be scored under the selection criteria below. Applications will be 
selected for funding as follows:
    All EDI grant applications will be separately ranked in order of 
points assigned with the applications receiving more points ranking 
above those receiving fewer points.
    In the event two or more applications are given the same score, but 
there are insufficient funds for all, the application(s) with the 
highest score(s) on Rating Factor 2 (Distress/Extent of the Problem) 
shall be selected. If there is still a tie, the following Factors will 
be considered sequentially as follows, with the application having the 
high score on that Factor taking precedence until the tie is broken: 
Rating Factor 3 (Soundness of Approach), Rating Factor 1 (Capacity and 
Experience), Rating Factor 4 (Leveraging Resources), and Rating Factor 
5 (Comprehensiveness and Coordination).
    Fundable 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 the SuperNOFA. Economic development projects will be funded 
in rank order until the total aggregate

[[Page 12022]]

amount of the applications funded is equal to the maximum amount 
available in the competition (subject to the Department's discretion as 
described in Section IV(F) below).

Bonus Points

    An additional two points may be awarded for projects that are 
located either in federally-designated Empowerment Zones and Enterprise 
Communities; two points may also be awarded for qualifying projects in 
Dallas, Texas as mandated by a decision by the U.S. District Court for 
the Northern District of Texas, for a maximum of four points possible. 
For specific details, please see Section III(C)(1) in the General 
Section of the SuperNOFA, and Rating Factor 3, paragraph (6) below.
    (B) Narrative Statements.
    Applications must:
    (1) Provide a narrative statement describing the activities that 
will be carried out with the EDI grant funds. The EDI narrative 
statement must not exceed three (3) 8.5" by 11" pages, doubled-spaced.
    (2) Describe how the 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. Applications must 
include citations to the specific regulatory subsections supporting 
eligibility of activities and compliance with national objectives. (See 
Section III(C) of this program section of this SuperNOFA).
    (3) The applicant must also provide narrative statements in 
response to each of the rating factors below.
    (4) Print all narrative statements in 12 point type/font, and use 
sequentially numbered pages.
    (C) Factors for Award Used to Evaluate and Rate Applications. HUD 
will evaluate all applications for funding assistance based on the 
following factors, the responses to which demonstrate the quality of 
the proposed project or activities, and the applicant's capacity and 
commitment to use the EDI funds in accordance with the purposes of the 
Act. Responses to Rating Factors 1-5 below shall not exceed fifteen 
(15) pages combined.

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

    This factor addresses the extent to which the applicant has the 
organizational resources necessary to successfully implement its 
proposed activities in a timely manner. The rating of the ``applicant'' 
or the ``applicant's organization and staff'' will include any 
subcontractors, consultants, and subrecipients that are firmly 
committed (see definition in Section III(A)(1) above) to participate in 
the activities described in the application. In rating this factor, HUD 
will consider the following:
    (1) With regard to the EDI/Section 108 project, the applicant 
should demonstrate that it has the organization and the staff and 
financial resources in place to implement the specific steps required 
to successfully carry out its proposed EDI/Section 108 project. This 
includes factors such as:
    (a) Performance in the administration of its CDBG, HOME or other 
programs;
    (b) Performance, if any, in carrying out economic development 
projects similar to that proposed, including the ability to conduct 
prudent underwriting, if applicable;
    (c) Ability to carry out projects and programs in a timely manner; 
an applicant must address its performance in spending previously 
awarded funds, if any, in a timely manner, including, for CDBG 
entitlement recipients, the extent to which it has met the HUD standard 
of having no more than 1.5 times its entitlement amount undisbursed 
(see 24 CFR 570.902(a)(1)(i); and,
    (d) If applicable, capacity to manage projects under this program 
section of the 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) An applicant that has previously received an EDI or BEDI grant 
award 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 it is 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 award more rating points for 
applications providing evidence of achievement of specific measurable 
outcomes in carrying out activities funded with previous EDI or BEDI 
grant funds and the associated Section 108 guaranteed loan funds.
    (3) Experience and performance of subrecipients, nonprofit 
organizations and other entities that have a role in implementing the 
proposed program should be included in this review. Experience will be 
judged in terms of recent and successful performance of activities 
relevant to those proposed in the EDI application. The more recent and 
extensive the experience, the greater the number of points that will be 
awarded for this Factor.
    (4) In addition to the application, HUD also may rely on 
information from performance reports, financial status information, 
monitoring reports, audit reports and other available information in 
making its determination under this factor.

Rating Factor 2: Distress/Extent of the Problem (40 Points)

    This Factor addresses the extent to which there is need for funding 
the proposed activities based on levels of distress, and an indication 
of the urgency of meeting the need/distress in the applicant's target 
area. In responding to this Factor, applications will be evaluated on 
the extent to which the level of distress is documented and compared, 
vis-a-vis, the target area, the jurisdiction, and national data.
    (1) In applying this Factor, HUD will consider current levels of 
distress for the following areas affected by the project: first, in the 
area (i.e., Census Tract(s) or Block Groups) immediately surrounding 
the project site or the target area to be served by the proposed 
project; second, in the jurisdiction in which the project is to be 
located; third, relative to the similar measures of distress in the 
nation. Applicants may also provide data for the overall jurisdiction 
alongside comparable jurisdictions in the county and state, as 
appropriate to the activity, in order to demonstrate the various levels 
of distress in context. This means that an application that provides 
data that show levels of distress in the project area and the 
jurisdiction expressed as a percent greater than the national average 
will be rated higher under this Factor.
    Notwithstanding the above, an applicant proposing a project to be 
located outside the target area could still receive points under the 
Distress Factor if a clear rationale is provided linking the proposed 
project location and the benefits to be derived by persons living in 
more distressed area(s) of the applicant's jurisdiction.
    (2) Applicants should provide data that address all indicators of 
distress, if applicable, as follows:
    (a) Poverty rate (20 points)--data should be provided in both 
absolute and percentage form (i.e., whole numbers and percents) for 
both the target area(s) and the jurisdiction as a whole; an application 
that compares the local poverty rate in the following manner to the 
national average at the time of submission will receive points under 
this Section as follows:
    (i) Equal to but less than twice the national average--5 points;

[[Page 12023]]

    (ii) Twice but less than three times the national average--10 
points;
    (iii) Three or more times the national average--20 points.
    (b) Unemployment (15 points)--; for both the project area and 
jurisdiction; an application that compares the local unemployment rate 
in the following manner to the national average at the time of 
submission will receive points under this Section as follows:
    (i) Equal to but less than twice the national average--2 points;
    (ii) Twice but less than three times the national average--4 
points;
    (iii) Three but less than four times the national average--6 
points;
    (iv) Four but less than five times the national average--8 points;
    (v) Five or more times the national average--10 points.
    (c) Other Indicators of social and/or economic decline that best 
capture the applicant's local situation (5 points)--examples that could 
be provided under this Section are information demonstrating the 
jurisdiction's stagnant or falling tax base, including recent 
commercial or industrial closings, housing conditions, such as the 
number and percentage of substandard and/or overcrowded units, rent 
burden (defined as average housing cost divided by average income) for 
both the target area and jurisdiction, local crime statistics, etc.
    (3) To the extent that the applicant's Consolidated Plan, its 
Analysis of Impediments to Fair Housing choice (AI), and/or its Anti-
Poverty Strategy identify the level of distress in the jurisdiction and 
the neighborhood in which the project is to be carried out, references 
to such documents should be included in preparing the response to this 
Factor.
    (4) In rating applications under this Factor, HUD reserves the 
right to consider sources of available objective data other than, or in 
addition to, those provided by applicants, and to compare such data to 
those provided by applicants.
    (5) HUD requires use of sound and reliable data (e.g., U.S. Census 
data, State statistical reports, university studies/reports that are 
verifiable) to support distress levels cited in each application. A 
source for all information along with the publication or origination 
date must also be provided. Updated Census data are available as 
follows for the listed indicators:
    (a) Unemployment rate--estimated monthly for counties, with a two-
month lag;
    (b) Population--estimated for incorporated places and counties, 
through 1999;
    (c) Poverty rate--estimated every two years, with a three-year lag, 
with 1997 being the most recent available.

Rating Factor 3: Soundness of Approach (25 Points)

    This factor addresses the quality and cost-effectiveness of the 
proposed plan. The relationship between the proposed activities, 
community needs and purposes of the program funding must be clearly 
described, as follows, in order to receive points for this factor. In 
rating this factor, HUD will consider the following:
    (1) (5 Points) The quality of the plan/proposal for the use of EDI 
funds and Section 108 loan funds, including the extent to which the 
proposed plan for use of EDI grant/Section 108-guaranteed loan funds 
will address the needs described in Rating Factor 2 above regarding the 
distress and extent of the problem in the immediate target area and/or 
jurisdiction. As part of the response to this factor, an applicant 
should identify the specific eligible activities it will carry out and 
should fully describe how the project will achieve one of the national 
objectives under the Community Development Block Grant program. 
Applications should also demonstrate how the proposed project would 
mitigate or otherwise address the distress identified in Rating Factor 
2 above.
    (2) (5 Points) The extent to which the plan is logical, 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. The applicant should:
    (a) Demonstrate that it has a clear understanding of the steps 
required to implement its project, including the actions that all 
parties responsible for implementing the project must complete. For 
example, applications providing evidence that authority necessary to 
proceed with the project has been sought and/or received, in the form 
of any necessary zoning classification, waivers, general permits, 
special use permits, assessment district designation, public easements 
and rights-of-way, etc., will receive more points for this Factor.
    (b) Provide a specific time schedule for carrying out the project 
and identify measurable objectives to be accomplished. The timeline 
form contained in the Appendix A to this program section of the 
SuperNOFA should be included in the application.
    (3) The extent to which the proposed project addresses the 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 the 
project will be carried out; the extent to which the applicant 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 the project is expected to generate.
    (4) Financial feasibility. (10 Points) HUD will consider the extent 
to which the applicant demonstrates that its project is financially 
feasible. In responding to this subfactor, the applicant must clearly 
address the question of why the EDI funds are critical to the success 
of this project. The response should include these items, as 
applicable:
    (a) Project costs and financial requirements. A funding sources and 
uses statement must be provided, as well as justifications for project 
costs;
    (b) The amount of any debt service or operating reserve accounts 
that will be established 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) to be received each year 
during the repayment period for the guaranteed loan;
    (e) Interest rates on loans to third parties (other than 
subrecipients), if any, either as an absolute rate or as a plus/minus 
spread to the Section 108 rate;
    (f) The applicant's underwriting criteria that will be used in 
determining project feasibility.
    (5) The extent to which the project incorporates one or more 
elements that facilitate a successful transition of welfare recipients 
from welfare to work, including the number of living wage jobs (i.e., 
those that are part of career path or apprenticeship programs) 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. 
Such an element could include, for example, linking the 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.

[[Page 12024]]

    (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 
loan funds 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.

Rating Factor 4: Leveraging Resources (15 Points)

    In evaluating this factor, HUD will consider the extent to which 
the response demonstrates the likelihood that the project will leverage 
both Section 108 loan and other public or private funds as part of the 
total project resources. This factor has two subfactors, each with its 
own maximum point total:
    (1) Leverage of Section 108 funds (10 points).
    The minimum ratio of Section 108 funds to EDI funds in any project 
may not be less than 1:1. The extent to which the proposed project 
leverages an amount of Section 108 funds greater than a 1:1 ratio will 
result in that application's receiving a higher number of points. If 
the application has a ratio of 1:1, it will not receive any points 
under this subfactor. If an application proposes that the EDI funds 
will leverage additional new Section 108 commitments, it will receive 
more points under this subfactor.
    (2) Leverage of other financial resources (5 points). HUD will 
evaluate the extent to which other funds (public or private) are 
leveraged with EDI grant funds and Section 108 guaranteed loan funds, 
and the extent to which such other funds are firmly committed to the 
project. This could include the use of CDBG funds, other Federal or 
state grants or loans, local general funds, project equity or 
commercial financing provided by private sources or funds from non-
profits or other sources. Funds will be considered committed to the 
project if they meet the requirements of ``Firm Commitment'' as defined 
in Section III(A)(1) above, and shall be subject to completion of any 
environmental review required under 24 CFR part 58 for the project.

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

    This factor addresses the extent to which the applicant has 
coordinated its activities with other known organizations; that it 
participates or promotes participation in its or the State's 
Consolidated Planning process; and that it is 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 
the applicant demonstrates it has:
    (1) Coordinated its 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. Any 
written agreements or memoranda of understanding in place, or that will 
be in place after award, should be described in the application.
    (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 the project area.

VI. Application Submission Requirements

    (A) EDI Funding. An application for funding under the EDI funding 
allocation under this program section of the SuperNOFA must have the 
following items to be complete. The standard forms, certifications and 
assurances that are required for the EDI application (and listed in 
paragraph (I) 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.
    (B) Transmittal Letter signed by the authorized representative of 
the eligible applicant indicating that it is submitting the application 
for funding under the Economic Development Initiative Program and is 
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 the application 
(form HUD-40076-EDI/BEDI).
    (D) EDI Narrative Statement describing EDI funded eligible 
activities within the proposed project.
    (E) EDI/BEDI/Section 108 Funding Eligibility Statement. A completed 
EDI/BEDI Section 108 Funding Eligibility Statement (form HUD-40076-EDI/
BEDI).
    (F) 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.
    (G) Narrative Responses to Factors for Award:
    (1) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating the capacity of your 
organization and staff to perform the work for which it is 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 the statement of need. Optional form HUD-
40076-EDI/BEDI as a format to respond to this factor for award may also 
be used.
    (3) Rating Factor 3: Soundness of Approach. Include the activities, 
budget and time frame for conducting activities in the response (see 
form HUD 40076-EDI/BEDI).
    (4) Rating Factor 4: Leveraging Resources. The response should 
include a completed copy of form HUD-40076-EDI/BEDI, ``Rating Factor 4: 
Leveraging Resources Sources and Uses Statement.''
    (5) Rating Factor 5: Comprehensiveness and Coordination. Provide a 
narrative response to this factor.
    (H) Request for Funds. A single application must contain a request 
for funds for a single EDI/108 project. You may submit more than one 
application for each additional unrelated EDI/108 project. Each 
application will be rated and ranked individually. In no event will HUD 
rate and rank more than one EDI project per application.
    (I) Additional Application Forms and Certifications. In addition to 
any forms that have been submitted in response to the Factors for Award 
(which may be found at Appendix A, the following forms and 
certifications must also be submitted:
    (1) Application for Federal Assistance (Standard Form (SF) 424);
    (2) Federal Assistance Funding Matrix (HUD 424M);

[[Page 12025]]

    (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 applicant and/or participating parties are 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. Budget Information on Standard Forms 424B or 424C are 
not required under this EDI section of the SuperNOFA

    In addition to the fair housing and other civil rights assurance 
described under Section II(B) of the SuperNOFA General Section, 
applicants for EDI funds must provide assurance that they will comply 
with Section 109 of the Housing and Community Development Act of 1974, 
as amended, and must have resolved to HUD's satisfaction any letter of 
noncompliance findings under Section 109 before the deadline for EDI 
application submission.
    If an applicant wishes to receive an acknowledgment of HUD's 
receipt of its application, it should submit a completed Acknowledgment 
of Receipt of Application form.

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 grantee 
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.

Appendix A

    The non-standard forms for the EDI application follow.
BILLING CODE 4210-32-P

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[[Page 12033]]


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

2-26-01

Vol. 66    No. 38

Monday

Feb. 26, 2001

Book 2 of 2 Books

Pages 12033-12434




Separate Parts In This Issue




12033

Part II Continued--Department of Housing and Urban Development

12427

Part III--Department of Housing and Urban Development

12433

Part IV--Department of Health and Human Services

[[Page 12034]]

      

[[Page 12035]]

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. HUD intends to make available approximately $25 
million in BEDI funds in FY 2001 to stimulate economic development 
by local governments and private sector parties. 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. 
A BEDI grant must be used in conjunction with a new Section 108 
guaranteed loan commitment. In FY 2001, HUD seeks to increase 
economic development opportunity for those areas of the country 
having the greatest distress.
    Available Funds. Approximately $25 million. The maximum BEDI 
grant awards will be in the amount of $2 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. May 22, 2001.

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 three copies) on or before 12:00 midnight, Eastern 
time, on May 22, 2001, 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 two copies) 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: BEDI Grant, by 
mail or hand delivery.
    To the Appropriate CPD Field Office. At the same time the 
application and copies are submitted to HUD Headquarters, an 
additional copy should be submitted to the Community Planning and 
Development Division of the appropriate HUD Field Office for the 
applicant's jurisdiction.
    When submitting your application, please refer to BEDI, and 
include your name, mailing address (including zip code) and 
telephone number (include area code), along with the name and phone 
number of your contact person.
    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 the applicant's 
name, address (including zip code), and telephone number (including 
area code), along with the name and phone number of your contact 
person. 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/grants.
    For Further Information and Technical Assistance. Contact Lisa 
Peoples, Office of Economic Development, Department of Housing and 
Urban Development, 451 Seventh Street, SW, Room 7140, Washington, DC 
20410, telephone (202) 708-0614 ext. 4456 (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 to those provisions of the HUD Reform Act pertaining to 
competitions. HUD staff will be available to provide advice and 
assistance to develop your Section 108 loan application.
    Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program 
and preparation of BEDI 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 2001 HUD Appropriations Act for the 
purpose of assisting public entities in the redevelopment of 
brownfields. The maximum funding amount of a BEDI award is $2 
million.

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 provides funding to local governments to be used 
in conjunction with Section 108 loan guarantees to finance 
redevelopment of brownfields sites. A BEDI grant must 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. Such public entities may re-loan the Section 108 loan 
proceeds and provide BEDI funds to a business or other entity to 
carry out an approved brownfield economic development project, or 
the public entity may carry out the eligible project itself, as 
provided in the approved application. In either case, BEDI grant 
funds and the 108 proceeds must be used together to support the same 
eligible project.
    (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.).
    Application means a single set of documents submitted by an 
eligible applicant for BEDI grant funds, in accordance with the 
provisions of this program section of the SuperNOFA to finance a 
brownfield economic development project. A BEDI application must be 
accompanied by a Section 108 loan guarantee request, which may 
consist of either a brief summary of the proposed use of 108 funds, 
or a full application, which may either be submitted at the same 
time as the BEDI application or be provided within 60 days of BEDI 
grant award, as more fully explained in Section IV(C) of this 
program section. Note that the Section 108 application must be 
submitted to the appropriate HUD field office concurrently with its 
submission to Headquarters.
    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 
2001 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 so 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 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.
    Firm Commitment means either a written agreement or letter of 
understanding by which an applicant and/or its partner:

[[Page 12036]]

    (1) Agrees to perform an activity specified in the application, 
and demonstrates its relationship to the proposed EDI project;
    (2) Specifies the amount of the commitment, and demonstrates 
that it has the financial and organizational capacity to deliver the 
resources necessary to successfully complete the activity; if the 
committed activity is to be self-financed, the applicant's partner 
must evidence its financial capacity through a corporate or personal 
financial statement or other appropriate means; and
    (3) Irrevocably commits the resources to the activity either 
through cash or in-kind services or contributions; if any portion is 
to be financed through a grant or loan from another public or 
private organization, that institution's grant or loan commitment 
must be firmly committed as well.
    Any such agreement or letter of understanding shall be 
understood as being contingent upon receipt of the EDI grant.
    In order for an applicant's commitment of CDBG funds to be 
counted by HUD, a resolution from the local governing body (e.g., 
city/borough council) authorizing the amount and permitted use(s) of 
the funds must be provided. Each agreement or letter of commitment 
must include the organization's name and proposed total level of 
commitment and responsibilities as they relate to the proposed EDI 
project. The commitment must be signed by an official of the 
organization legally authorized to make commitments on behalf of the 
organization and have an effective date not earlier than the 
publication date of this NOFA.
    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 ($4.4 billion in FY 2001) 
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. 
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. BEDI grants must support Section 108 loan guarantees as 
generally described in this program section of this SuperNOFA.
    (c) For FY 2001, the Section 108 program is authorized at $1.26 
billion in loan guarantee authority. The full faith and credit of 
the United States is pledged to the payment of all guarantees made 
under Section 108. Under this program, communities (and States, as 
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 2001, Congress has made a specific 
appropriation of $25 million for the BEDI program to assist in 
financing ``brownfields'' redevelopment. HUD intends the $25 million 
in Brownfields (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 2001 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) 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 
BEDI 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.
    (8) 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 remediation 
costs as part of

[[Page 12037]]

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
    (8) Additional Project Structure. HUD will consider funding a 
BEDI proposal in which the related Section 108-guaranteed obligation 
would be used solely as security only under the following 
conditions:
    (a) If BEDI funds are not the first source of funds injected 
into the project, and
    (b) If project funds are disbursed according to a ratio that 
represents the amount of BEDI funds to the amount of private or 
public debt that is firmly committed to the project, as required 
under Rating Factor 4 ``Leveraging Resources'' below, and
    (c) If the grantee maintains in its records a listing of the 
amount of private funds being distributed by the private party 
(i.e., the financing institution) to the project.
    Grantees are reminded that the BEDI grantee/Section 108 
borrower's loan-guaranteed obligation cannot remain undisbursed for 
more than five years following the year in which the Section 108 
commitment is made. Consequently, the borrower's 108-guaranteed 
obligation cannot have a term that exceeds five years plus the 
remaining portion of the fiscal year in which the 108 commitment is 
made.
    (B) Eligible Applicants. (1) 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. For non-entitlement applicants 
other than those subject to 24 CFR 570, subpart F, applicants will 
be required to provide evidence in the application from an 
authorized official of the State agency responsible for 
administering the State CDBG program) stating its intention to 
support the related Section 108 loan with a pledge of its CDBG funds 
pursuant to the requirements of 24 CFR 570.705(b)(2). Such evidence 
shall take the form of the HUD Certification titled ``SECTION 108 
LOAN GUARANTEES: State Certifications Related to Nonentitlement 
Public Entities'' which may be obtained either by downloading from 
the Internet or in the BEDI Application Kit to be published shortly 
after publication of this SuperNOFA. Note that effective January 25, 
1995, non-entitlement public entities in the State of 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.
    (2) Applicants for BEDI projects must comply with the threshold 
requirements of Section II of the General Section of the SuperNOFA.
    (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) (BEDI) 
funds provided pursuant to this program section of this SuperNOFA, 
must comply with the CDBG primary objective requirements as 
described in section 101(c) of the Act and 24 CFR 570.200(a)(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 in Section III(C) of 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 Request. (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 subsection 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. 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).

[[Page 12038]]

    (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 written 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 Section 108 loan guarantee assistance 
(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 is not eligible to be used in conjunction 
with a BEDI grant 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 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) Prohibitions on Use of BEDI and Section 108 Funds. Certain 
restrictions shall apply to the use of BEDI and Section 108 funds:
    (1) BEDI 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 BEDI grant funds as 
a matter of security if other sources projected for repayment of 
principal prove to be unavailable.
    (2) Section 108 loan obligations may not be subordinated, 
directly or indirectly, to federally tax exempt obligations. 
Pursuant to Office of Management and Budget (OMB) Circular A-129 
(Rev.) Appendix A, sections II. 2.c. and d., (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) 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.
    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) Time-frames. BEDI grant awards will contain conditions 
requiring grantees to adhere to their stated time-frames for 
implementing proposed projects and drawing Section 108 and BEDI 
funds. If the related Section 108 application has not been submitted 
and approved and the Note guaranteed within fifteen (15) months of 
written HUD notification of grant award, HUD may deobligate the BEDI 
funds. If BEDI grant funds and Section 108 loan proceeds have not 
been disbursed to the applicant within the timeframes specified in 
the BEDI Grant Agreement and the 108 Contract, HUD reserves the 
right to recapture the BEDI funds, unless an extension of time has 
been authorized in writing by HUD, and either award them to the 
applicant that scored the next highest in that year's competition, 
provided that such applicant's application remains feasible and 
appropriate under this program section of the NOFA, or make them 
available as part of the next BEDI NOFA.
    (F) Limitations on Grant Amounts. (1) HUD expects to approve 
BEDI grant amounts for approvable applications with 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'' 
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. An 
application in excess of $2 million will be reduced below the amount 
requested by the applicant to the extent HUD determines that such a 
reduction is appropriate.
    (3) If additional BEDI grant funds become available to HUD 
(e.g., from recaptures or other appropriations), HUD reserves the 
right to award grants under this SuperNOFA during FY 2001 whose 
aggregate total may exceed the $25 million announced in this program 
of the SuperNOFA, up to the maximum amount authorized by law. 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, exceeded the $2 million cap, 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 
HUD will execute a grant agreement.
    (4) HUD also will proportionately reduce or deobligate the BEDI 
award if you do not submit an approvable Section 108 loan guarantee 
application and issue Section 108-guaranteed obligations 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.
    (5) In the case of a 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 
BEDI assistance approved with 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 approximately $7.02 
million of Economic Development Initiative (EDI) 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 12039]]

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 Factor 4, paragraph (2). Further, if an applicant seeks both 
BEDI and EDI funds for the same project, it must include in its 
response to Rating Factor 3 a discussion of how the project can be 
financed and implemented if it fails 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 the BEDI grant application, HUD will 
evaluate your Section 108 application concurrently with your request 
for BEDI grant funds. Note that the 108 application must be 
submitted to the appropriate HUD field office concurrently with 
submission to Headquarters. In addition, 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 must not be disbursed to the grantee 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.
    (I) Nondiscrimination. Section 109 of the Housing and Community 
Development Act of 1974, as amended (42 U.S.C. 5309), is applicable 
to BEDI grant recipients. Applicants must therefore adhere to HUD 
regulations at 24 CFR parts 6 and 570, including, but not limited 
to, reporting and record-keeping requirements under 24 CFR 570.506 
and 570.507.

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 104. To be eligible for funding, an application must 
have a minimum score of 20 points for Rating Factors 1 (Capacity) 
and 3 (Soundness of Approach) combined to be considered fundable.
    (2) Once scores are assigned, HUD will rank all applications 
meeting program and threshold requirements 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 $2 million will 
be reduced below the amount requested by the applicant to the extent 
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) In the event two or more applications are given the same 
score, but there are insufficient funds for all, the application(s) 
with the highest score(s) on Rating Factor 2 (Distress/Extent of the 
Problem) shall be selected. If there is still a tie, the following 
Factors will be considered sequentially as follows, with the 
application having the high score on that Factor taking precedence 
until the tie is broken: Rating Factor 3 (Soundness of Approach), 
Rating Factor 1 (Capacity and Experience), Rating Factor 4 
(Leveraging Resources), and Rating Factor 5 (Comprehensiveness and 
Coordination).
    Fundable 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 the SuperNOFA. Economic development 
projects will be funded in rank order until the total aggregate 
amount of the applications funded is equal to the maximum amount 
available in the competition (subject to the Department's discretion 
described in Section IV(F) below).

Bonus Points

    An additional two points may be awarded for projects that are 
located either in federally-designated Empowerment Zones, Enterprise 
Communities or Brownfields Showcase Communities; two points may also 
be awarded for qualifying projects in Dallas, Texas as mandated by a 
decision by the U.S. District Court for the Northern District of 
Texas, for a maximum total of four bonus points. For specific 
details, please see Section III(C)(1) in the General Section of the 
SuperNOFA, and Rating Factor 3, paragraph (6) below.
    (B) Narrative Statements.
    (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 problem(s) affecting the project. 
Your BEDI narrative statement must not exceed three (3) 8.5" by 11" 
pages, double-spaced.
    (2) In the foregoing narrative statement 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. Applications 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) The applicant must also provide narrative statements in 
response to each of the rating factors below.
    (4) Print all 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.
    Responses to Rating Factors 1-5 below shall not exceed fifteen 
(15) pages combined.

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. 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 that are 
firmly committed (see definition in Section III(A)(1) above) to 
participate in the activities described in the application. In 
rating this factor, HUD will consider the following:
    (1) With regard to the BEDI/Section 108 project you propose, you 
must demonstrate that you have the capacity to implement the 
specific steps required to successfully carry out the proposed BEDI/
Section 108 project. Evidence of capacity will be judged by your:
    (a) Performance in the administration of your CDBG, HOME or 
other programs;
    (b) Performance and capacity in carrying out economic 
development projects;
    (c) Performance and capacity with respect to Brownfields 
redevelopment projects similar to that proposed; including the 
ability to conduct prudent underwriting, if applicable; and
    (d) Capacity to carry out your projects and programs in a timely 
manner; an applicant must address its performance in spending 
previously awarded funds, if any, in a timely manner, including, for 
CDBG entitlement recipients, the extent to which the recipient has 
met the HUD standard of having no more than 1.5 times its 
entitlement amount undisbursed (see 24 CFR 570.902(a)(1)(i)); and,
    (e) 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) An applicant that has previously received an EDI or BEDI 
grant award(s), you must describe the status of the implementation 
of those project(s) assisted

[[Page 12040]]

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 award more rating points for 
applications providing evidence of achievement of specific 
measurable outcomes in carrying out activities funded with previous 
EDI or BEDI grant funds and the associated Section 108-guaranteed 
loan funds.
    The experience and performance of subrecipients, nonprofit 
organizations and other entities that have a role in implementing 
your proposed program will be included in this review.
    Experience and performance of subrecipients, nonprofit 
organizations and other entities that have a role in implementing 
your proposed program will be included in this review. Experience 
will be judged in terms of recent and successful performance of 
activities relevant to those proposed in the BEDI application. The 
more recent and extensive the experience, the greater the number of 
points that will be awarded for this Factor.
    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 (40 Points)

    This factor addresses the extent to which there is need for 
funding the proposed activities based on levels of distress, and an 
indication of the urgency of meeting the need/distress in the 
applicant's target area. In responding to this factor, applications 
will be evaluated on the extent to which the level of distress is 
documented and compared, vis-a-vis, the target area, the 
jurisdiction, and national data.
    In applying this factor, HUD will consider current levels of 
distress for the following areas affected by the project: first, in 
the area (i.e., Census Tract(s) or Block Groups) immediately 
surrounding the project site or the target area to be served by the 
proposed project; second, in the jurisdiction in which the project 
is to be located; third, relative to the similar measures of 
distress in the nation. Applicants may also provide data for the 
overall jurisdiction alongside comparable jurisdictions in the 
county and state, as appropriate to the activity, in order to 
demonstrate the various levels of distress in context. This means 
that an application that provides data that show levels of distress 
in the project area and the jurisdiction expressed as a percent 
greater than the national average will be rated higher under this 
Factor.
    Notwithstanding the above, an applicant proposing a project to 
be located outside the target area could still receive points under 
the Distress factor if a clear rationale is provided linking the 
proposed project location and the benefits to be derived by persons 
living in more distressed area(s) of the applicant's jurisdiction.
    Applicants should provide data that address all indicators of 
distress, if applicable, as follows:
    Poverty rate (20 points)--data should be provided in both 
absolute and percentage form (i.e., whole numbers and percents) for 
both the target area(s) and the jurisdiction as a whole; an 
application that compares the local poverty rate in the following 
manner to the national average at the time of submission will 
receive points under this section as follows:

 
 
 
Equal to but less than twice the national   5 points;
 average.
Twice but less than three times the         10 points;
 national average.
Three or more times the national average..  20 points.
 

    (b) Unemployment (15 points)--for both the project area and 
jurisdiction; an application that compares the local unemployment 
rate in the following manner to the national average at the time of 
submission will receive points under this Section as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Equal to but less than twice the national   2 points;
 average.
Twice but less than three times the         4 points;
 national average.
Three but less than four times the          6 points;
 national average.
Four but less than five times the national  8 points;
 average.
Five or more times the national average...  10 points.
------------------------------------------------------------------------

    (c) Other Indicators of social and/or economic decline that best 
capture the applicant's local situation (5 points)--examples that 
could be provided under this Section are information demonstrating 
the jurisdiction's stagnant or falling tax base, including recent 
commercial or industrial closings, housing conditions, such as the 
number and percentage of substandard and/or overcrowded units, rent 
burden (defined as average housing cost divided by average income) 
for both the target area and county, local crime statistics, etc.
    (3) To the extent that the applicant's Consolidated Plan, its 
Analysis of Impediments to Fair Housing choice (AI), and/or its 
Anti-Poverty Strategy identify the level of distress in the 
jurisdiction and the neighborhood in which the project is to be 
carried out, references to such documents should be included in 
preparing the response to this Factor
    In rating applications under this Factor, HUD reserves the right 
to consider sources of available objective data other than, or in 
addition to, those provided by applicants, and to compare such data 
to those provided by applicants.
    HUD requires use of sound and reliable data (e.g., U.S. Census 
data, State statistical reports, university studies/reports that are 
verifiable) to support distress levels cited in each application. A 
source for all information along with the publication or origination 
date must also be provided.
    Updated Census data are available as follows for the listed 
indicators:
    Unemployment rate--estimated monthly for counties, with a two-
month lag;
    Population--estimated for incorporated places and counties, 
through 1999;
    (d) Poverty rate--estimated every two years, with a three-year 
lag, with 1997 being the most recent available.

Rating Factor 3: Soundness of Approach (25 Points)

    This factor addresses the quality and cost-effectiveness of your 
proposed plan. There must be a sound 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) (5 Points) 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 target area 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) (5 Points) The extent to which your plan is logical, 
feasible, and 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. For example, the 
application should provide evidence that authority necessary to 
proceed with the project has been sought and/or received, in the 
form of any necessary zoning classification, waivers, general 
permits, special use permits, assessment district designation, 
public easements and right-of-way, etc.
    (3) 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.
    (4) 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 time frame consistent with HUD's desire for rapid 
progress in the use of BEDI and Section 108 funds.
    (5) The extent to which your projects will integrate 
environmental justice concerns and

[[Page 12041]]

provide demonstrable benefits for affected communities and their 
residents. The BEDI program is intended to promote the clean up and 
redevelopment of brownfields sites.
    (6) Financial Feasibility (10 Points). 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. A funding sources 
and uses statement must be provided, 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 loans to third parties, if any, (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.
    (7) 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.
    (8) The extent to which your project incorporates one or more 
elements that facilitate a successful transition of welfare 
recipients from welfare to work, including the number of living wage 
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, and that are part of a career path or 
apprenticeship programs. Such an element could include, for example, 
linking the 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.
    (9) 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 (15 Points)

    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 (10 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) Leverage of other financial resources (5 points). HUD will 
evaluate the extent to which other funds (public or private) are 
leveraged with BEDI grant funds and Section 108-guaranteed loan 
funds, and the extent to which such other funds are firmly committed 
to the project. This could include the use of CDBG funds, other 
Federal or state grants or loans, local general funds, project 
equity or commercial financing provided by private sources or funds 
from non-profits or other sources. Funds will be considered 
committed to the project if they meet the requirements of ``Firm 
Commitment as defined in Section III (A)(1) above, and shall be 
subject to completion of any environmental review required under 24 
CFR part 58 for the project.

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

    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 US Army Corps of Engineers, 
Economic Development Administration, U.S. Department of Treasury, 
EPA's various Brownfields initiatives, and those proposed or on-
going in the community.

VI. Application Submission Requirements

    (A) BEDI Funding. An application for funding under the BEDI 
funding allocation under this program section of the SuperNOFA must 
have the following items to be complete. The standard forms, 
certifications and assurances that are required for the BEDI 
application (and listed in paragraph (J) 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.
    (B) Transmittal Letter signed by the authorized representative 
of the eligible applicant indicating that it is submitting the 
application for funding under the Brownfields Economic Development 
Initiative Program and is 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) EDI Narrative Statements describing EDI funded eligible 
activities within the proposed project.
    (E) EDI/BEDI Funding Eligibility Statement. A completed EDI/BEDI 
Section 108 Funding Eligibility Statement (form HUD-40076-EDI/BEDI).
    (F) 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.
    (G) Narrative Response(s) to Factors for Award:
    (1) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating the relevant capacity of 
your organization and staff to perform the work for which it is 
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 the statement of need. 
Optional form HUD-40076-EDI/BEDI has a format to respond to this 
factor for award.
    (3) Rating Factor 3: Soundness of Approach. Include the 
activities, budget and time frame for conducting activities in the 
response (see form HUD-40076-EDI/BEDI).
    (4) Rating Factor 4: Leveraging Resources. Your response should 
include a completed copy of form HUD-40076-EDI/BEDI, ``Rating

[[Page 12042]]

Factor 4: Leveraging Resources/Sources and Uses Statement.''
    (5) Rating Factor 5: Comprehensiveness and Coordination. Provide 
a narrative response to this factor.
    (H) Request for Funds. 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.
    (I) Threshold Requirements. Your application must meet all of 
the applicable threshold requirements of Section II(B) of the 
General Section of this SuperNOFA.
    (J) Additional Application Forms and Certifications. In addition 
to any forms that have been submitted in response to the Factors for 
Award (which may be found at Appendix A), the following forms and 
certifications must also be submitted:
    (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 applicant and/or participating parties are 
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. The Budget Information on Standard Forms 424B or 
424C is not required under this BEDI section of the SuperNOFA.
    In addition to the fair housing and other civil rights assurance 
described under Section II(B) of the SuperNOFA General Section, 
applicants for EDI funds must provide assurance that they will 
comply with Section 109 of the Housing and Community Development Act 
of 1974, as amended, and must have resolved to HUD's satisfaction 
any letter of noncompliance findings under Section 109 before the 
deadline for BEDI application submission.
    If an applicant wishes to receive an acknowledgment of HUD's 
receipt of its application, it should submit a completed 
Acknowledgment of Receipt of Application form. In addition to the 
fair housing and other civil rights assurance described under 
Section II(B) of the SuperNOFA General Section, applicants for BEDI 
funds must provide assurance that they will comply with Section 109 
of the Housing and Community Development Act of 1974, as amended, 
and must have resolved to HUD's satisfaction any letter of 
noncompliance findings under Section 109 before the deadline for 
BEDI application submission.

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 BEDI grantee 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 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); 24 CFR part 570.

Appendix A

    The non-standard forms for your BEDI application follow.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12050]]


      

[[Page 12051]]

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. May 29, 2001.
    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 
May 29, 2001.
    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. There is no separate application kit. This 
notice contains all the information necessary for submission of your 
application. 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 standard forms, you should refer to SHOP and 
provide your name and address (including zip code) and telephone number 
(including area code). See Section VI for application submission 
requirements. You may also access the application requirements on the 
Internet through HUD's web site at www.hud.gov.
    Further Information and Technical Assistance. 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 or consortium 
member under your FY 2001 application is not also seeking funding from 
another SHOP applicant for FY 2001 funds.
    (C) Eligible Activities. The only eligible activities are: (1) land 
acquisition (including financing and closing costs), which may include 
reimbursing an organization, consortium, or affiliate, upon approval of 
any required environmental review, for nongrant amounts of the 
organization, consortium, or affiliate advanced to acquire land before 
completion of the review; (2) infrastructure improvements (installing, 
extending, constructing, rehabilitating, or otherwise improving 
utilities and other infrastructure, including removal of environmental 
hazards); and (3) 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. Funding of 
eligible activities may be used for both single-family and multifamily 
dwellings.
    (D) Ineligible Costs: 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

[[Page 12052]]

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 obligations under your grant agreement, 
including timely development of the appropriate number of dwelling 
units. Grant funds must be expended within 24 months, except that grant 
funds provided to affiliates that develop five or more units must 
expend funds within 36 months.
    (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 in 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 EZ/EC bonus 
points) will be eligible for selection, and HUD will place them in rank 
order. After adding any bonus points for EZ/EC, HUD will consider rank 
order and funds availability in the selection and funding of 
applications.
    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 Section II(B) of the General Section 
of the SuperNOFA and must submit all forms, certifications, and 
assurances identified in Section II(G) of 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 affiliates 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 for 
acquiring properties and completing housing construction were met and 
performance reports were submitted, 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

[[Page 12053]]

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 
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 affiliates only 
after you receive SHOP funding, you must demonstrate how you plan to 
identify need prior to your selection of affiliates.
    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 timeline 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 the Departmental 
initiatives noted in Section VI of the General Section. These 
initiatives are:
    (i) Promoting healthy homes and educating homeowners on what is a 
healthy home;
    (ii) Providing educational and job training opportunities through 
Neighborhood Networks, and linking programs to AmeriCorps activities;
    (iii) Encouraging universal design when developing housing and when 
communicating with community residents at public meetings or events;
    (iv) Encouraging visitability in new construction and substantial 
rehabilitation activities; and
    (v) Employing 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, reducing maintenance costs; 
increasing safety and disaster resistance; and improving energy 
consumption and reducing environmental impact.
    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 if they are not specified in the application.
    (3) Identify the housing type (single family or multifamily) you 
plan to develop and the form of ownership (fee simple, condominium, 
cooperative, etc.) you propose to use.
    (4) Submit a construction and completion schedule which expends 
SHOP funds and substantially fulfills your obligations, including the 
development of the appropriate number of dwelling units, within 24 
months, or in the case of affiliates that develop five or more units, 
within 36 months, and demonstrates that remaining housing construction 
will be completed within a reasonable period of time.
    (5) Submit a timeline listing milestones against which HUD is to 
measure your performance progress in expending funds, and completing 
acquisition, infrastructure and housing construction activities within 
the schedule in Item 4 above. These milestones should be at reasonable 
intervals (e.g., monthly, quarterly, etc.).
    (6) Describe how your proposed activities address the need or needs 
you have identified under Rating Factor 2, above.
    (7) 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.
    (8) 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.
    (9) 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 unit in SHOP funds, and your ability to carry out your proposed 
activities cost effectively.
    (10) Describe how the initiatives of the Department are furthered 
by your proposed activities.
    (11) 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).
    (12) Describe how activities will benefit eligible homebuyers and 
your selection factors for participating homebuyers.
    (13) 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.
    (14) 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.

[[Page 12054]]

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 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 identifying the leveraging sources that support your FY 2001 
SHOP application. The written agreement may be contingent upon your 
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. The 
following checklist helps to ensure that all of the required items have 
been submitted in order to receive consideration for funding:

____Standard Form 424, Application for Federal Assistance (signed by 
the authorized representative of the 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, Acknowledgment 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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[[Page 12056]]


      

[[Page 12057]]

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 distressed communities to complete 
their high school education, to provide on-site construction training 
experiences which also result in the rehabilitation or construction of 
housing for homeless persons and low- and very low-income families, to 
foster leadership skills, and to further opportunities for placement in 
apprenticeship programs and employment in living wage jobs.
    Available Funds. Approximately $52,925,000 is available for the 
Youthbuild Program.
    Adjustments to Funding. HUD reserves the right to utilize this 
year's funding to fund previous year's errors prior to rating and 
ranking this year's applications. HUD reserves the right to reallocate 
funds between categories to achieve the maximum allocation of funds.
    Eligible Applicants. Eligible applicants are public or private 
nonprofit agencies, State or local housing agencies or authorities, 
State or units of 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. May 30, 2001.
    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, and Technical Assistance

    Application Due Date. Completed applications (one original and two 
copies) must be submitted on or before 12:00 midnight, Eastern time, on 
May 30, 2001 to the HUD Headquarters 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).
    Addresses for Submitting Applications. Completed applications (one 
original signed application and two copies) must be submitted to the 
Processing and Control Unit, Office of Community Planning and 
Development, Department of Housing and Urban Development, 451 Seventh 
Street, SW, Room 7255, Washington, DC 20410, Attention: Youthbuild 
Program. When submitting your application, please include your name and 
mailing address (including zip code and telephone number and fax 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. 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 information concerning the HUD Youthbuild program, contact Ms. 
Donna Clarke, Community Planning and Development Specialist, Office of 
Rural Housing and Economic Development, Office of Economic Development, 
Office of Community Planning and Development, Department of Housing and 
Urban Development, 451 Seventh Street, SW, Room 7136, Washington, DC 
20410: telephone (202) 708-2035 (this is not a toll-free number). 
Persons with speech or hearing impairments may access this number via 
TTY by calling toll-free Federal Information Relay Service at 1-800-
877-8339.
    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. 
Prior to the application deadline, YouthBuild USA will be available to 
provide general guidance on the application submission process and 
location of information, but not guidance in actually preparing the 
application. HUD Economic Development Specialists located in HUD field 
offices will also be available to provide technical assistance.
    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

    (A) Available Funds. Approximately $52,925,000 in Fiscal Year (FY) 
2001 funding is being made available through this program section of 
this SuperNOFA for the Youthbuild program. The breakdown of funding is 
discussed below.
    The FY 2001 HUD Appropriations Act. The Department of Veterans 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, 2001 (Pub. L. 106-377 approved October 27, 2000) 
(the ``FY 2001 HUD Appropriations Act'') made $60,000,000 available of 
which $52,925,000 is allocated for grants.
    (B) Funding Categories. HUD will award up to $52,925,000 on a 
competitive basis. Funds will be divided between three categories of 
grants as described in Section II(C) of this program section of the 
SuperNOFA.
    (1) $10,000,000--Grants for up to $400,000 for new applicants that 
have not previously received grants since the inception of the Program 
for a period not to exceed 36 months.
    (2) $32,925,000--Grants for up to $500,000 for a period not to 
exceed 36 months.
    (3) $10,000,000--Grants for up to $400,000 for underserved and 
rural areas for a period not to exceed 36 months.

III. Program Description; Eligible Applicants; and Eligible 
Activities

    (A) Program Description. The purposes of the Youthbuild Program are 
to:
    (1) 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) Foster the development of leadership skills and commitment to 
community;
    (3) 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) 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; and
    (5) Give to the greatest extent feasible, job training, employment, 
contracting and other economic opportunities to low-income persons.
    HUD also focuses on the Youthbuild Program as a way to foster the 
development of nonprofit organizations which over time can provide the 
services mentioned above to disadvantaged youth and which at the same 
time rely less on HUD's financial support to carryout these activities.

[[Page 12058]]

    (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; 
Construction and rehabilitation costs must not exceed 10 percent of the 
grant award. HUD encourages you to use grant funds for outreach, 
recruitment, training and other services for the youth participants 
which facilitates program implementation;
    (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, 
apprenticeship opportunities and, 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
    (7) Administrative costs must not to exceed 10 percent of the grant 
award.
    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 Youthbuild program requirements:
    (A) Eligible Applicants. Eligible applicants as defined in HUD's 
regulation at 24 CFR 585.4.
    (B) 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, but must have educational 
needs, (such as lack of reading, writing and communication skills) that 
justify their participation in the program.
    (C) 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.
    (D) Response to NOFA--Page Limitation. The total narrative response 
to all factors identified in Section VI(C) of this program NOFA must 
not exceed 15 pages, and must be submitted on 8.5" by 11" paper, using 
a 12 point size, with lines double spaced and printed only on one side. 
Please note that submitting pages in excess of the page limit will not 
disqualify your application. However, HUD will not review or consider 
the information on any excess pages, which may result in a lower score 
or failure to meet a threshold.
    (E) Youthbuild Program Components. Applications that receive 
assistance under this Youthbuild Program section of the SuperNOFA must 
contain the three components described as follows:
    (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.
    (F) Access to Property. Your application must contain a letter from 
the property owner or management company(ies) allowing access to the 
housing site(s) for on-site construction training.
    (G) Training Requirement. 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.
    (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 the Youthbuild program. Please 
see Section II of the General Section of the SuperNOFA.

V. Desirable Elements of a Youthbuild Program

    You should document the extent to which HUD's initiatives are 
furthered by the proposed activities. Such initiatives include:
    (1) Promoting healthy and safe homes;
    (2) Providing opportunities for self-sufficiency, particularly for 
persons enrolled in welfare to work programs;
    (3) Providing educational, apprenticeship and job training 
opportunities and linking programs to Americorps activities;
    (4) Promoting welfare reform
    (5) Encouraging visitability in new construction and substantial 
rehabilitation activities;
    (6) Encouraging universal design; and
    (7) Participation in Partnership for Advancing Technology in 
Housing (PATH).
    First time applicants. If you are a first time applicant applying 
for funding under Category 1, HUD recommends that you should have a 
graduating class of not more than 20 students.

VI. 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 
and Section IV(A), (B), (C), (D), (E), (F), (G) and (H), of this 
program 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). HUD will award up to two (2) 
additional points, as described in the General Section of the 
SuperNOFA, to any application submitted by the City of Dallas, Texas, 
to the extent that Factor 3 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. 
This maximum includes two Empowerment Zone/Enterprise Community (EZ/EC) 
bonus points as described in the Section III(C) of the SuperNOFA.
    (A) Rating and Ranking. (1) General. To review and rate 
applications, HUD may establish panels including officials from other 
Federal agencies and outside experts or consultants to obtain certain 
expertise and other outside points of view.
    (2) Rating. All applications for funding will be evaluated against 
the rating factors described in Section (VI)G of this NOFA.
    (3) Ranking. Applications will be ranked separately within each of 
the 3 funding categories. Applications will be selected for funding in 
accordance with their rank order in each category.
    (4) To be eligible for funding, an application must have a minimum 
score of 25 points for the total combined number of points for Rating 
Factors 1 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

[[Page 12059]]

Rating Factor 2, Need/Extent of Problem. If two or more applications 
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 3 (Soundness of Approach), Rating Factor 1 
(Capacity and Experience), Rating Factor 5 (Comprehensiveness and 
Coordination), Rating Factor 4 (Leveraging of Resources).
    (B) Categories of Grants. HUD will make grants in three categories:
    (1) Category 1 Grants. Grants for new applicants that have not 
previously received funding under the Youthbuild program since the 
inception of the Program and that have elected not to apply under 
Category 2 or 3 Grants, below. HUD will make available approximately 
$10,000,000 to new applicants proposing grant(s) of $400,000 or less 
for activities not to exceed 36 months.
    (2) Category 2 Grants. HUD will make available approximately 
$32,925,000 to applicants proposing grant(s) of $500,000 or less for 
activities not to exceed 36 months.
    (3) Category 3 Grants. HUD will make available $10,000,000 for 
applicants proposing grant(s) of $400,000 or less to establish programs 
in underserved and rural areas not to exceed 36 months. Rural and 
Underserved areas are defined as follows:
    (a) Rural Area. A Rural area is 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 of 20,000 inhabitants or 
more.
    (iii) Rural portions of extended cities, as identified by the U.S. 
Census Bureau.
    (iv) Open country which is not part of or associated with an urban 
area. The United States Department of Agriculture (USDA) describes 
``open country'' as a site separated by open space from any adjacent 
densely populated urban area. Open space includes undeveloped land, 
agricultural land or sparsely settled areas but does not include 
physical barriers (such as rivers and canals), public parks, commercial 
and industrial developments, small areas reserved for recreational 
purposes, and open space set aside for future development.
    (v) Any place with a population not in excess of 20,000 and not 
located in a Metropolitan Statistical Area.
    (b) Underserved Area. An underserved area is defined as an area 
comprised of census tracts with the following distress criteria:
    (i) A census tract where the unemployment remains high (50 percent 
or more above the nation's unemployment rate) and
    (ii) A census tract where high rates of poverty (50 percent or more 
above the national average) persists.
    (C) Grant Period. You must expend funds awarded within 36 months of 
the effective date of the grant agreement, or such other period 
specified.
    (D) Maximum Awards. Under the competition established by this 
Youthbuild Program section of the SuperNOFA, the maximum award for a 
Youthbuild grant is $500,000. HUD will not make amendments to awards 
under this competition that will increase previously approved grant 
amounts.
    (E) 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 2C13a, 2C13b, or 2C13c and form 2C15 only if 
you are proposing to use Youthbuild funds for new housing construction 
or rehabilitation.
    (F) 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 negotiation and execution of the grant agreement by HUD.
    (G) Factors for Award Used To Evaluate and Rate Applications.

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

    This factor addresses the extent to which you have the resources 
necessary to successfully implement the proposed young adult education 
and training program in accordance with your work plan as further 
described in Factor 3. HUD will review and evaluate information 
provided documenting recent capacity. Experience within the last 5 
years will be considered recent. In reviewing this rating factor, HUD 
will review the following categories:
    (1) (5 points) Team Member Composition and Experience. Your 
experience and the experience of your project director, core staff 
competencies including your day-to-day program manager, consultants and 
contractors. You must demonstrate that your program manager has the 
background, experience and capacity to implement all of the program 
components of the proposed work plan, as evidenced by recent work 
experience (within the last 5 years) in managing projects of the same 
or similar size, dollar amount, types of activities and beneficiaries 
as those proposed in your work plan. If any gaps exist in your 
experience or organizational structure to carry out the program, 
describe how you will fill those gaps including the hiring of 
consultants or other outside parties.
    (2) (5 points) Organizational Structure. The structure of your 
organization, management structure, including reporting relationships 
of key staff, a system for coordinating with outside contractors or 
third party service providers, a mechanism for an internal and external 
auditing relationships, and an accounting system which meets Federal 
accounting system requirements. You should provide a clear description 
of how your organizational structure will operate to carry out your 
work plan.
    (3) (5 points) Relevant Experience. The objectives and 
accomplishments of your past experience in conducting similar 
activities. You must describe your past project objectives and 
accomplishments which are similar to those of your proposed work plan 
to show your effectiveness and timeliness in managing similar projects. 
If you have received similar grants including previous Youthbuild 
grants, you must describe your effectiveness of your administration 
including timeliness and completeness of your compliance in completing 
reporting requirements and your ability to have resolved problems which 
presented themselves during the grant period. In addressing timeliness 
of reports, you must compare when your reports were due with when they 
were actually submitted. You must describe your achievements, including 
those of previous Youthbuild grants, of specific measurable outcome 
objectives. Specific outcome objectives include: number of youth 
recruited, trained and received GEDs; number of youth obtaining living 
wage jobs, (i.e. those that are a part of a career path or 
apprenticeship programs), number of youth participating in 
apprenticeships and number of housing units rehabilitated or 
constructed and made available for low and moderate income persons.
    HUD will evaluate this Factor based upon your response including 
letters of commitment from all participating entities for any staffing 
or other resources to be contributed to the project. The more recent, 
relevant, and successful the experience of the proposed team members, 
organization

[[Page 12060]]

and other participating entities in relation to the work plan, the 
greater the number of points that you will receive. Applicants that can 
demonstrate a closer and greater linkage between the expected outcomes 
and the previously generated outcomes will also receive a higher amount 
of points for this Factor.

Rating Factor 2: Need/Extent of the Problem (40 Points)

    This Factor addresses the extent to which there is need for funding 
the proposed activities based on levels of distress, and an indication 
of the urgency of meeting the need/distress in the applicant's target 
area. In responding to this Factor, applications will be evaluated on 
the extent to which the level of need for the proposed activity and the 
urgency in meeting the need are documented and compared, vis-a-vis, the 
target area, the county and national data.
    (1) In applying this Factor, HUD will consider current levels of 
distress for the following areas affected by the project: first, in the 
area (i.e., Census Tract(s) or Block Groups) immediately surrounding 
the project site or the target area to be served by the proposed 
project; second, in the county in which the project is to be located, 
and third, in the nation. This means that an application that provides 
data that show levels of distress in the target area expressed as a 
percent greater than the national average, will be rated higher under 
this Factor.
    Notwithstanding the above, an applicant proposing a project to be 
located outside the target area could still receive points under the 
Distress Factor if a clear, rationale and linkage is provided linking 
the proposed project location and the benefits to be derived by persons 
living in more distressed area(s) of the applicant's target area.
    (2) Applicants should provide data that address indicators of 
distress, as follows:
    (a) Poverty (15 points)--data should be provided in both absolute 
and percentage form (i.e., whole numbers and percents) for both the 
target area(s) and the county; an application that compares the local 
poverty rate in the following manner to the national average at the 
time of submission will receive points under this section as follows:
(1) Equal to but less than twice the national average--5 points
(2) Twice but less than three times the national average--10 points
(3) Three or more times the national average--15 points
    (b) Unemployment (10 points)--for both the project area and county;
(1) Equal to but less than twice the national average--2 points
(2) Twice but less than three times the national average--4 points
(3) Three but less than four times the national average--6 points
(4) Four but less than five times the national average--8 points
(5) Five or more times the national average--10 points
    (c) High School Dropouts (10 points)--for both project area and 
county;
(1) Equal to but less than twice the national average--2 points
(2) Twice but less than three times the national average--4 points
(3) Three but less than four times the national average--6 points
(4) Four but less than five times the national average--8 points
(5) Five or more times the national average--10 points
    (d) Other Indicators of social and/or economic decline that best 
capture the applicant's local situation (5 points)--examples that could 
be provided under this section are information on the community's 
stagnant or falling tax base, including recent commercial or industrial 
closings, housing conditions, such as the number and percentage of 
substandard and/or overcrowded units, rent burden (defined as average 
housing cost divided by average income) for both the target area and 
county, urgency in addressing problems facing youth, local crime 
statistics, etc.
    (3) In rating applications under this Factor, HUD reserves the 
right to consider sources of available objective data other than, or in 
addition to, those provided by applicants, and to compare such data to 
those provided by applicants and local crime statistics for both the 
project site and the county, etc.
    HUD requires use of sound and reliable data (e.g., U.S. Census 
data, State statistical reports, university studies/reports that are 
verifiable) to support distress levels cited in each application. A 
source for all information along with the publication or origination 
date must also be provided.
    Updated Census data are available as follows for the listed 
indicators:
    (a) Unemployment rate--estimated monthly for counties, with a two-
month lag;
    (b) Population--estimated for incorporated places and counties, 
through 1999;
    (c) Poverty rate--estimated every two years, with a three-year lag, 
with 1997 data being the most recent available.

Rating Factor 3: Soundness of Approach (25 Points)

    Youthbuild Program Work Plan. 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 Youthbuild program. HUD will consider the overall 
quality and feasibility of your proposed work plan and budget which 
must be consistent with the Youthbuild program as measured by your 
specific activities and outcomes. HUD is also interested in applicants 
becoming self-sustaining so that activities can continue in the future 
without relying on further assistance from the Department.
    Specifically, HUD will consider the following categories when 
assessing your proposed work plan:
    (1) (10 points) Program components.
    (a) Outreach, recruitment and selection activities. HUD will 
determine the extent to which you demonstrate a clear linkage with the 
following work plan activities and proposed outcomes and results. 
Points will be awarded based upon overall quality and feasibility of 
the outreach, recruitment and selection activities, the number and 
types of outreach activities, number of youth to be recruited including 
eligible participants who are harder to reach and comprehensiveness of 
the local selection process.
    Letters describing specific resources or services to be contributed 
by non-applicant organizations must be included in your application. In 
evaluating this category, HUD will consider:
    (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 and one-stop centers, community-based 
organizations, etc. You will receive a greater number of points if your 
outreach and recruitment arrangements are consistent with the purpose 
of the Youthbuild program and your project goals and the resources 
provided.
    (b) Educational and job training services and activities. HUD will 
evaluate the extent to which you demonstrate a clear linkage with the 
following work plan activities and proposed outcomes and results.
    Letters describing specific resources or services to be contributed 
by non-applicant organizations must be

[[Page 12061]]

included in your application. Points will be awarded based upon the 
quality and feasibility of your proposed curriculum, qualifications of 
instructors and proposed wages and stipends for youth participants. In 
evaluating this category, HUD will consider:
    (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; and
    (iv) Reasonable payments of participants' wages, stipends, and 
incentives. You will receive a greater number of points if your 
educational and job training services are consistent with the purpose 
of the Youthbuild program and your project goals and the resources 
provided.
    (c) Leadership development. HUD will determine the extent to which 
you demonstrate a clear linkage with work plan activities and proposed 
outcomes and results. Letters describing specific resources or services 
to be contributed by non-applicant organizations must be submitted in 
your application. Points will be awarded based upon the quality and 
feasibility of your proposed leadership curriculum, qualifications of 
instructors and the impact of the proposed leadership activities on the 
target area. You must describe the leadership development training you 
will offer to participants, and strategies for providing the training 
to build group cohesion and peer support. You will receive a greater 
number of points if your leadership development activities are 
consistent with the purpose of the Youthbuild program and your project 
goals and the resources provided.
    (d) Support services. HUD will determine the extent to which you 
demonstrate a clear linkage with work plan activities and proposed 
outcomes and results.
    Letters describing specific resources or services to be contributed 
by non-applicant organizations must be included in your application. 
Points will be awarded based upon the quality and feasibility of your 
proposed support services strategy and stipends for youth participants. 
You must assess the need for counseling and referral services during 
each stage of program implementation: outreach, recruitment, youth 
interviewed and not selected for the program, program participants, 
youth who drop out of the program and graduates of the program. 
Describe how the participant needs will be addressed, document 
counseling and referral services to be offered to participants, the 
type of counseling, social services, and/or need-based stipends you 
will provide. You will receive a greater number of points if your 
support service activities are consistent with the purpose of the 
Youthbuild program and your project goals and the resources provided.
    (e) Follow-up assistance and support activities to program 
graduates. HUD will evaluate the extent to which you provide assistance 
to Youthbuild program participants after graduation. Letters describing 
specific resources or services to be contributed by non-applicant 
organizations must be included in your application. Points will be 
awarded based upon the quality and feasibility of your proposed 
strategy. You must describe the type of proposed assistance and support 
which should be based upon an assessment of the needs of the program 
graduates and should include continued linkage to the local Youthbuild 
program, counseling and social service referral services. You will 
receive a greater number of points if your follow-up assistance and 
support service activities to program graduates are consistent with the 
purpose of the Youthbuild program and your project goals and the 
resources provided.
    (f) On-site training. HUD will evaluate the extent to which the 
work plan provides for quality and comprehensive on-site construction 
training by addressing the categories below. Letters describing 
specific resources or services to be contributed by any non-applicant 
organizations must be included in your application. Points will be 
awarded based upon the quality and feasibility of your proposed 
curriculum, experience of proposed instructors, number of youth to be 
trained and wages or stipends for youth participants. HUD will 
consider:
    (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 as provided in the training 
curriculum and methodology for carrying out on-site training;
    (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. You will receive a greater number of 
points if your on-site training plan is consistent with the purpose of 
the Youthbuild program and your project goals and the resources 
provided.
    (2) (5 points) Strategy for job placement. HUD will evaluate the 
quality and feasibility of your proposed strategy to place youth 
participants in permanent jobs.
    Letters describing specific resources or services to be contributed 
by non-applicant organizations must be included in your application. 
You will be rated on the following factors: (a) proposed number of 
youth to obtain a living wage job (i.e. those that a part of career 
paths or apprenticeship programs); (b) proposed number of youth 
continuing on to be enrolled in post or secondary education; (c) 
proposed number of youth to receive entrepreneurship training; (d) 
proposed placement of youth in apprenticeships. Two points of this 
factor will be awarded based upon the comprehensiveness and feasibility 
of your strategies and procedures to place youth participants in 
related apprenticeships and commitments from construction trade unions. 
You will receive a greater number of points if your strategy for job 
placement is consistent with the purpose of the Youthbuild program, 
your proposed project and the resources provided.
    (3) (10 points) Expected outcomes. Describe the number of youth to 
be trained and the number of housing units to be rehabilitated or 
constructed. As a part of this evaluation, HUD will assess the cost 
effectiveness of your stated outcomes as compared to the funds that you 
are requesting in the Youthbuild Grant Budget. You will receive a 
greater number of points if your proposed outcomes are consistent with 
the purpose of the Youthbuild program, your proposed project and the 
resources provided.

Rating Factor 4: Leveraging Resources (15 Points)

    This factor addresses the ability of the applicant to secure non-
HUD resources. This factor measures the extent to which you have 
established partnerships with other entities to secure resources for 
your proposed program. Each commitment described in the narrative for 
this Factor must have a firm commitment letter.
    HUD will evaluate the extent to which firm commitment of resources 
are obtained from Federal, State, local, and private and nonprofit 
sources in an amount of at least 50% of the Youthbuild budget. The 
greater the amount of resources leveraged, the higher the points that 
will be awarded. In assigning points for this criterion, HUD will 
consider the level of non-applicant resources obtained for cash or

[[Page 12062]]

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) Hard costs for rehabilitation and construction;
    (5) 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-applicant resources proposed based on their 
importance to the total program. Leveraging will only be counted if you 
have secured a firm financial commitment. A firm commitment letter 
means the agreement by which an applicant's partner or contributing 
entity agrees to perform an activity specified in the application and 
demonstrates the financial capacity to deliver the resources necessary 
to carry out the activity, and commits the resources to the activity 
either in cash, through in-kind services or contributions and is 
irrevocable, subject only to approval and receipt of a FY 2001 
Youthbuild grant. Each letter of commitment should include the 
organization's name, the applicant's name, the proposed program, the 
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 and not earlier than the date that this NOFA is 
published. In documenting a firm commitment, the applicant's partner or 
contributing entity must:
    (i) Specify the authority by which the commitment is made, the 
amount of the commitment and the use of funds. If the committed 
activity is to be self-financed, the applicant's partner or 
contributing entity must evidence its financial capability through a 
corporate or personal financial statement or other appropriate means. 
If any portion of it is to be financed through a lending institution, 
the participant must evidence the institution's commitment to fund the 
loan;
    (ii) State the amount and use of the commitment, and the 
relationship of the commitment to the proposed investment; and
    (iii) Affirm that its investment is contingent only upon receipt of 
FY 2001 Youthbuild funds and state a willingness on the part of the 
signatory to sign a legally binding commitment (conditioned on HUD 
environmental review and approval of a property, where applicable) upon 
award of the grant.
    Resources from other Federal, State, Local governments or Private 
Entities. HUD encourages use of existing housing and homeless 
assistance programs administered by HUD or other Federal, State, local 
governments, or private and nonprofit housing programs as part of your 
Youthbuild program. In addition, HUD encourages use of other non-
Youthbuild funds available for vocational, adult, and bilingual 
education programs or for job training under the Workforce Investment 
Act and the Personal Responsibility and Work Opportunity Reconciliation 
Act of 1996.
    The greater the number of resources leveraged for each of the 
categories presented below, the applicant will receive a greater number 
of points.
    (1) (8 points) Public sector sources--Federal, State, or local 
government sources to provide resources to carry out Youthbuild 
activities.
    (2) (7 points) Private or nonprofit sector sources to provide 
resources to carry out Youthbuild activities.

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

    HUD will evaluate the extent to which you:
    (1) Have coordinated among third parties dealing with youth issues 
including community based organizations and partners that provide 
assistance as you prepared your proposal and Work Plan. Indicate your 
success in actively participating in the Consolidated Planning process, 
the Public Housing Authority Five Year Comprehensive Plan process, 
local Workforce Investment Board Youth Council and other information 
networks; and
    (2) Will maintain your coordinating efforts over the grant period.
    The more comprehensive, relevant and successful your coordination 
activities conducted to date and those projected for the future, the 
greater points you will receive for this Factor.

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
    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 of the 
General Section of the SuperNOFA.
    (B) Category 3 applicants only. You must state that the proposed 
project to be established will be located in an underserved or rural 
area as defined in Section (V)(B)(3) of this notice.
    (C)) Application Items. Your application must contain the items 
listed in this Section VI(C). 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.
    (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.

[[Page 12063]]

    (13) Narrative Response to Factors for Award.
    Factor 1--Capacity
    Factor 2--Need
    Factor 3--Soundness of Approach, including the following non-
narrative items: (a) completed Youthbuild Grant Budget (Exhibit 4A), 
(b) housing site description (Exhibit 2C), (c) Youthbuild Grant 
individual housing site estimate (Exhibit 2C10), (d) letters from non-
applicant resource providers describing contributions or support, (e) 
documentation necessary to complete environmental review (Exhibit 
2C15), and description of relocation, if applicable.
    Factor 4--Leveraging, including your letters(s) evidencing the 
leveraged commitment(s), which will not be counted in the 15 page 
limitation.
    Factor 5--Coordination, include HUD-2991, Certification of 
Consistency with the Consolidated Plan.
    (14) HUD-2990, Certification of Consistency with the EZ/EC 
Strategic Plan (if applicable);
    (D) The total narrative response to all factors identified in 
Section VI(C)(13) of this program NOFA must not exceed 15 pages, and 
must be submitted on 8.5" by 11" paper, using a 12 point size, with 
lines double spaced and printed only on one side. Please note that 
submitting pages in excess of the page limit will not disqualify your 
application. However, HUD will not review or consider the information 
on any excess pages, which may result in a lower score or failure to 
meet a threshold.

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 decision making 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 decision making 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 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).

[[Page 12064]]

    (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.
    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

[[Page 12065]]

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 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

[[Page 12066]]

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 SHPO's 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 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

[[Page 12067]]

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.

Appendix B

    The non-standard forms, which follow, are required for your 
Youthbuild application.
BILLING CODE 4210-32-P

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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. 
Indian Tribes (Tribes) and Tribally Designated Housing Entities (TDHEs) 
are eligible for grants under the Technical Assistance/Training Support 
for resident organizations and Resident Service Delivery Models (RSDM) 
funding categories.
    Application Deadline. May 24, 2001, for Resident Management and 
Business Development;
    May 24, 2001, for Capacity Building or Conflict Resolution;
    June 26, 2001, for Resident Service Delivery Models; and
    After publication of this SuperNOFA, Service Coordinator grant 
renewals under the Service Coordinator category will be accepted until 
all funds are awarded or June 28, 2001, whichever occurs first.
    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.
    May 24, 2001, for Resident Management and Business Development;
    May 24, 2001, for Capacity Building or Conflict Resolution;
    June 26, 2001, for Resident Service Delivery Models; and
    After publication of this SuperNOFA Service Coordinator grant 
renewals under the Service Coordinator Category will be accepted until 
all funds are awarded or June 28, 2001, whichever occurs first.
    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.
    In the case of tribes/TDHEs, please submit your completed 
application (the original and one copy) to ONAP, Denver Program Office, 
1999 Broadway, Suite 3390, Denver, CO 80202.
    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.
    In the case of tribes/TDHEs, please submit your completed 
application (the original and one copy) to ONAP, Denver Program Office, 
1999 Broadway, Suite 3390, Denver, CO 80202. All applications must be 
received and postmarked by the specific program application due date to 
the ONAP Denver Program Office before 12:00 midnight, Mountain Standard 
Time.
    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/grants.
    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. In the case of tribes/TDHEs, 
please contact the Local Area ONAP or Tracy Outlaw, ONAP, Denver 
Program Office at 1-800-561-5913 or (303)675-1600 (this is not 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 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/grants.

II. Amount Allocated

    (A) Total Amount. For FY 2001, 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), Tribes/TDHEs on behalf of Tribal residents 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 of which $500,000 
is for Tribes/TDHEs that partner with Tribal ROs and Tribal RMCs.
    (i) Grants will be made directly to site-based resident 
associations, Resident Management Corporations (RMCs), CWROs, and to 
Tribes/TDHEs that partner with Tribal resident organizations (ROs) and 
Tribal resident

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management corporations (RMCs) 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 allocated for this funding subcategory, of which $400,000 is 
for Tribes or TDHEs These are two separate funding categories that are 
described below:
    (i) Capacity Building (CB). Grants to Intermediary Resident 
Organizations (IROs) and Tribes/TDHEs on behalf of tribal housing 
residents, Tribal ROs, Tribal RMCs and non-profits which operate 
associations and networks that administer programs benefiting resident 
organizations. These grants provide or assistance to site-based 
resident associations who do not yet have the capacity to administer a 
welfare-to-work program or conduct management activities. You may apply 
for funding that will be used to assist public and Tribal 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), Tribes/
TDHEs on behalf of tribal housing residents, Tribal ROs, Tribal RMCs 
and non-profits which operate associations and 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 at least two-thirds of 
the total grant to direct funding of CB or CR activities for Site-Based 
Resident Associations (RAs) and/or Tribal ROs. CWROs are required to 
serve a minimum of 3 RAs and/or Tribal ROs. All other applicants are 
required to serve a minimum of 10 RAs and/or Tribal ROs.
    (2) Resident Service Delivery Models (RSDM). A total of $24 million 
is allocated for this second category of funding of which $1,200,000 is 
for Tribes/TDHEs.
    (i) The Resident Service Delivery Models (RSDM) funding category 
provides grants to Public Housing Agencies (PHAs), Tribes/TDHEs 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 Persons with 
Disabilities Grants for independent living for the elderly and persons 
with disabilities.
    (iii) For RSDM, the maximum grant amounts are as follows:
    For PHAs applying for family grants, the maximum grant application 
award will be based on the number of occupied family conventional 
public housing units. For PHAs applying for elderly and persons with 
disabilities grants, the maximum grant application award will be based 
on the number of occupied elderly and persons with disabilities 
conventional public housing units.
    (B) For the RSDM family category, PHAs must use the number of 
occupied conventional family public housing 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 $250,000.
--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.

    (C) For the Elderly and Persons with Disabilities RSDM Category, 
PHAs must use the number of occupied elderly conventional public 
housing units to determine the maximum awards listed below:

--For 1 to 217 units occupied by elderly residents and persons with 
disabilities, the maximum grant award is $100,000.
--For 218 to 1,155 units occupied by elderly residents and persons with 
disabilities, the maximum grant award is $200,000.
--For 1,156 or more units occupied by elderly residents and persons 
with disabilities, the maximum grant award is $300,000.

    (D) The maximum grant award is $100,000 for each RA.
    (E) Nonprofit entities supported by residents or RAs/ROs are 
limited to $100,000 for each RA/RO. A non-profit may submit a single 
application for no more than three different RAs for a maximum grant 
award of $300,000.
    (F) Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for Fiscal Year 1999 as defined in 24 CFR 
1000.316. Tribes who have not previously received funds from the 
Department under the 1937 Housing Act should count housing units under 
management that are owned and operated by the Tribe and are identified 
in their housing inventory as of September 30, 1998.
    (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 persons with disabilities. Service coordinators help residents 
obtain supportive services that are needed to maintain independent 
living. Only renewals of prior FY 1995 Public Housing Elderly and 
Persons with Disabilities 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 Service Coordinator renewal application will be accepted 
until all funds are awarded under this Service Coordinator Category or 
until June 28, 2001, whichever occurs first. No new

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Service Coordinator renewal applications will be accepted after June 
28, 2001.
    (F) Transfer of Funds. If all funds are not awarded in one funding 
category, funds are transferable to other ROSS funding categories in 
this competition.
    (G) 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, RA, RO or nonprofit may 
not 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 or tribal 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 persons with disabilities 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 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 the amount of resources and their dedication 
to ROSS-funded activities must be explicit and in writing. The writing 
must be signed by a person authorized to make the commitment or certify 
the commitment by an authorized body or person. 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
Public housing residents representing unincorporated Resident Councils 
within the jurisdiction of the single housing agency must comprise the 
majority of the board of directors.
    Tribally Designated Housing Entity (TDHEs) is an entity authorized 
or established by one or more Indian tribes to act on behalf of each 
such tribe authorizing or establishing the housing entity.
    Indian Tribe means a tribe that is a federally recognized tribe or 
a State recognized tribe or a Federally recognized tribe means any 
tribe, band, nation, or other organized group for a community of 
Indians, including any Alaska native village or regional or village 
corporation as defined in or established pursuant to the Alaska Native 
Claims Settlement Act, that is recognized as eligible for the special 
programs and services provided by the United States to Indians because 
of their status as Indians pursuant to the Indian Self Determination 
and Education Act of 1975.
    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 a 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-

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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 RC 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 RC 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 RC 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 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.
    Resident Organization (RO) for tribal entities means an 
incorporated or nonprofit tribal organization or association that meets 
each of the following criteria: (1) It shall consist of residents only, 
and only residents may vote; (2) If it represents residents in more 
that one development or in all of the developments of the tribal/TDHE 
community, it shall fairly represent residents from each development 
that it represents; (3) It shall adopt written procedures providing for 
the election of specific officers on a regular basis; (4) It shall have 
democratically elected a governing board. The voting membership of the 
board shall consist solely of the residents of the development or 
developments that the tribal RO represents.
    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), 
Tribes/TDHEs that partner with Tribal ROs or Tribal RMCs and City-Wide 
Resident Organizations (CWROs). If you are an RA/RO that is a 
beneficiary or recipient of proposed grant activities by a CWRO/TDHE, 
then you cannot also apply under this category. You may only

[[Page 12085]]

submit one application under this funding category.
    (2) Eligible participants. Program participants must be residents 
of conventional public housing. 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 or resident organizations on youth 
initiatives and program activities;
    (p) Physical improvements to facilities at public or tribal 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 or modifications for accessibility 
for persons with disabilities. 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 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 or tribal 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 or tribal 
development to accommodate the provision of supportive services.
    (iv) The renovation or repair of facilities located near the 
premises of one or more PHA or tribal developments to accommodate the 
provision of supportive services.
    (v) If renovation, conversion, or repair is done off-site, the PHA, 
tribe 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, including Section 504 requirements at 24 CFR 8, 
Architectural Barriers Act at 24 CFR 40, the Americans with 
Disabilities Act and the Fair Housing Act.
    (q) Establishing and operating Neighborhood Networks Centers that 
use computer technology and telecommunications for job training, after-
school youth programs, educational, and health 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

[[Page 12086]]

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 or Area ONAP 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, ROs or RAs. All 
such exceptions must be authorized in writing by the HUD Field Office 
or Area ONAP 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 or 
ONAP staff, or the local PHA or tribe /TDHE. 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 or tribe/TDHE 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 
or ONAP 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, RO 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 or RO 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 or RO 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;
    (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 or Indian housing residents, which include 
Public Housing Site-Based Resident Councils , Resident Organizations 
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 or Indian 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)

[[Page 12087]]

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 resident organizations 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)(4) 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.
    (E) Resident Service Delivery Models (RSDM).
    (1) Eligible Applicants. (a) Family. This funding category provides 
grants to PHAs, Tribes/TDHEs, resident management corporations, 
resident councils, resident organizations, and nonprofit entities 
supported by residents, to enable them to establish and implement 
comprehensive programs that assist residents in becoming self-
sufficient
    (b) Elderly and Persons with Disabilities. PHAs, Tribes/TDHEs and 
non-profits supported by a duly elected resident council are the only 
eligible applicants in providing supportive services for the elderly 
and persons with disabilities.
    (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 or 
RCs 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 or Indian 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. Both lead and non-lead applicants are subject to 
threshold requirements. Joint applications may include PHAs, RAs, IROs, 
Tribes/TDHEs, and nonprofit entities on behalf of residents 
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. Program participants must be residents 
of conventional public or Indian housing. You must provide a 
certification that at least 51 percent of those served by your proposed 
activities are residents affected by welfare reform.
    (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 either proposed family or elderly 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) or modification 
for accessibility for persons with disabilities. 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

[[Page 12088]]

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) Individual development accounts. Activities or programs that 
encourage residents to contribute to matched savings accounts known as 
Individual Development Accounts (IDAs). These programs include 
financial counseling and education activities. (RSDM funds cannot be 
used as matching funds for the actual savings account).
    (h) Employment training and counseling (e.g., job training, 
establishing registered apprenticeship programs, preparation and 
counseling, job search assistance, job development and placement, and 
supportive services to support job training and apprenticeship 
activities.
    (i) Employer linkage and job placement.
    (j) 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 Neighborhood Network Centers that 
use computer technology and telecommunications for job training, after-
school youth programs, educational, and health 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.
    (5) Elderly and persons with disabilities--supportive services 
activities may include, but are not limited to:
    (i) A Program Coordinator (See Section III(E) for a description);
    (ii) Meal service adequate to meet nutritional need;
    (iii) Assistance with daily activities;
    (iv) Housekeeping aid;
    (v) Transportation services;
    (vi) Wellness programs, preventive health education, referral to 
community resources;
    (vii) Personal emergency response;
    (viii) Congregate services--includes supportive services that are 
provided in a congregate setting at a conventional public housing 
development; and
    (viii) Case management.
    (h) 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. 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.
    (F) 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

[[Page 12089]]

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) Section 109. In addition to the fair housing and other civil 
rights assurances described under Section II(B) of the General Section 
of the SuperNOFA, applicants for ROSS must provide assurance that they 
will comply with section 109 of the Housing and Community Development 
Act of 1974, as amended. Implementing regulations for section 109 are 
found under 24 CFR part 6 and part 570, including , but not limited to, 
reporting and record-keeping requirements under 24 CFR 570.506 and 
570.507.
    (D) Certifications and Assurances. You must comply with the 
certifications and assurances contained in Section II(G) of the General 
Section of the SuperNOFA.
    (E) 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.
    (F) 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. 
Eligibility will be determined by applications that meet the threshold 
requirements of Section VI of this program section of the SuperNOFA. 
HUD will accept for funding the first five eligible applications from 
each of the ten federal regions and ONAP on a first-come, first-serve 
basis for this SuperNOFA. Any funds remaining after making awards to 
the first five eligible applications from each region and ONAP 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 VI of this program section of the SuperNOFA. HUD will accept 
for funding the first two eligible applications from each of the ten 
federal regions and ONAP on a first-come, first-serve basis for this 
SuperNOFA. Any funds remaining after making awards to the first two 
eligible applications from each region and ONAP 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. 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 70 is required to be 
considered for funding. If you are not the PHA, where physical 
development activities are proposed, HUD will perform an environmental

[[Page 12090]]

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 and 
ONAP for funding. After this ``round,'' HUD will select the second 
highest ranked application in each of the ten federal regions and ONAP 
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 104. This includes two EZ/EC bonus points and two 
bonus points for apprenticeship programs, 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 and 
apprenticeship program bonus points and a listing of federally 
designated EZs and ECs. A RSDM application must receive a total of 70 
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 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.

[[Page 12091]]

    (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. If you are not proposing to 
use RSDM funding for these activities, you must show that you will 
provide these services with other funds or through specific commitments 
from partners.
    (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, we are 
interested in achievements that are performance outcomes such as the 
number of residents employed or business started, in addition to, 
process descriptions, such as the number of residents receiving 
training.
    (iii) For Elderly and/or 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.
    (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)

[[Page 12092]]

    (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 and/
or Local Welfare Plan (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 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.

VI. Application Submission Requirements

    (A) All Applications. All applications for assistance under the 
ROSS

[[Page 12093]]

competition for all 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, Acknowledgment 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) You must provide assurance that you will comply under section 
109 of the Housing and Community Development Act of 1974 and that you 
have resolved to the satisfaction of the Department before the 
application deadline any letter of noncompliance findings under section 
109.
    (6) Match Requirement. (a) You 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 persons with disabilities 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) or Neighborhood Networks 
Centers.
    (b) You 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) or Neighborhood Networks 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. A threshold review, 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 
1-9 are threshold requirements used to determine awards for this 
category; items 10-13 will be used for grant administration):
    (1) Your application must contain a written certification that at 
least 51 percent of the public housing residents 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 the PHA or the RO/RMC and the 
Tribe/TDHE 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 
or tribe/TDHE and RA or RO, 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 or RO and PHA or tribe/
TDHE. 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 
or RO and PHA or tribe/TDHE upon submission of the application.
    (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 or tribe/TDHE) 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 or tribe/TDHE. 
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.

[[Page 12094]]

    (5) For applicants other than Tribes/TDHEs, 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 or tribes/TDHEs 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 or tribe/TDHE, the Contract Administration 
responsibilities can be incorporated into the MOU discussed above.
    (6) Except for Tribes/TDHEs, 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 ROs 
board election as required by HUD, signed by the local PHA or tribe/
TDHE and/or an independent third party monitor and notarized;
    (8) List of RAs or ROs participating with the City-Wide Resident 
Organization (CWRO). You must list in your application, the name(s) of 
RAs or ROs that will receive services and you must submit letters of 
support from each RA or RO 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 or 
RO, 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. Only threshold requirements, an 
not application submission requirements, will be used for determining 
eligibility for funding. (Please note that items 1-8 are threshold 
requirements for a threshold review that will be used to determine 
awards for this category; items 9-13 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) Except for Tribes/TDHEs, 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 or ROs Receiving Support. In CB and CR 
applications, you must list in your application the name of the RAs or 
ROs 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.
    (6) For applicants other than Tribes/TDHEs, 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 part 85, 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 below.
    (7) Your application must contain a signed Memorandum of 
Understanding (MOU) between the RA or RO and PHA or tribe/TDHE 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 or tribe/TDHE 
and IRO/nonprofit, 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 IRO/nonprofit and PHA or tribe/TDHE. 
The MOU must be precise and outline the specific duties and objectives 
to be accomplished under the grant. All MOUs must be finalized,

[[Page 12095]]

dated and signed by duly authorized officials of both the IRO/nonprofit 
and PHA or tribe/TDHE upon submission of the application.
    (8) You must provide written evidence (e.g., through an executed 
space use agreement if the facility is to be provided by an entity 
other than the PHA or tribe/TDHE) that proposed CB/CR activities or 
training will take place. The community facilities must be 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 or tribe/TDHE. 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.
    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.
    (9) Explanations for proposed grant activities must be provided by 
narrative statements or descriptions as well as the forms indicated 
below:
    (10) 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, ROs or 
RMCs included in the application;
    (ii) A description of the public housing community;
    (iii) A detailed description of the issues or problems involved 
with each RA or RO to be served by the grant; and
    (iv) The resources that are currently being devoted to the problem 
or issue under consideration.
    (11) Proposed Program Activities. CB/CR 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;
    (12) Experience and Staffing. Your CB/CR grant application must 
provide information about the your organization, 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

    (13) 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 1-10 are threshold requirements for a threshold review 
will be used to determine scoring of rating and ranking factors for 
this category):
    (1) Your application must contain a written certification that at 
least 51 percent of the public housing residents 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 Persons with Disabilities 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 or tribe/TDHE) 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 or tribe/TDHE. 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) Except for PHA's or tribes/TDHEs, 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 85, 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 below.
    (7) Applicant Non-Profit Status. Except for PHAs or tribes/TDHEs, 
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 or ROs Receiving Support. In RSDM applications you 
must list in your application the name of the RAs or ROs 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

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Bonus Points
Certification of Consistency with the EZ/EC Strategic Plan
Certification of an Apprenticeship Program

    (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 for a threshold review to be 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 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 58.34(a)(3) or (a)(9), 
58.35(b)(2) or (b) (4), 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 or tribes/TDHEs, 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 or tribe/TDHE, 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 and 24 CFR 964.

Appendix A

    The non-standard forms, which follow, are required for the ROSS 
application.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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Notices  

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[[Page 12189]]

FUNDING AVAILABILITY FOR THE RURAL HOUSING AND ECONOMIC DEVELOPMENT 
PROGRAM

Program Overview

    Purpose of Program: The purpose of the Rural Housing and Economic 
Development (RHED) program is to build capacity at the State and local 
level for rural housing and economic development and to support 
innovative housing and economic development activities in rural areas. 
The funds made available under this program will be awarded 
competitively, through a selection process conducted by HUD in 
consultation with the United States Department of Agriculture (USDA).
    Available Funds: Approximately $24 million in Fiscal Year (FY) 2001 
funding. Adjustments to Funding. HUD reserves the right to utilize this 
year's funding to fund previous year's errors prior to rating and 
ranking this year's applications. HUD reserves the right to reallocate 
funds between categories to achieve the maximum allocation of funds in 
both categories.
    Eligible Applicants: Local rural non-profit organizations, 
community development corporations, Indian tribes, State housing 
finance agencies, and State economic development or community 
development agencies.
    Application Deadline: April 6, 2001.
    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 
application submission requirements. You should note that the total 
narrative response to all rating factors described under Section V(C) 
should not exceed 15 pages, and must be submitted on 8.5" by 11" paper 
using a 12 point size, with lines double spaced and printed only on one 
side. 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 addition, please review the following 
information:

I. Application Due Date, Further Information and Technical 
Assistance

    Application Due Date: Completed applications (one original and two 
copies) must be submitted on or before 12:00 midnight, Eastern time, on 
April 6, 2001, to the HUD Headquarters 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: Completed applications (one 
original and two copies) must be submitted to: Processing and Control 
Unit, Room 7255, Office of Community Planning and Development, 
Department of Housing and Urban Development, 451 Seventh Street, SW, 
Washington, DC 20410; ATTN: Office of Rural Housing and Economic 
Development. When submitting your application, please include your 
name, mailing address (including zip code), telephone number, and fax 
number (including area code).
    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 the Rural Housing and Economic Development 
Program.
    For Further Information and Technical Assistance. All information 
and materials required to submit an application for funding under the 
HUD Rural Housing and Economic Development program are included in the 
Appendix to this NOFA.
    For information concerning the HUD Rural Housing and Economic 
Development program, contact Mr. Marty Horwath, Community Planning and 
Development Specialist, Office of Rural Housing and Economic 
Development (RHED), Office of Economic Development, Office of Community 
Planning and Development (CPD), Department of Housing and Urban 
Development, 451 7th Street, SW, Room 7136, Washington, DC 20410; 
telephone (202) 708-2035 (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 an application. For more information about the date and 
time of this broadcast, you should consult the HUD web site at http://www.hud.gov.
    Prior to the application deadline, HUD staff at the numbers above 
and local CPD field office Economic Development (ED) Specialists will 
be available to provide general guidance, but not guidance in actually 
preparing the application. Following selection, but prior to award, HUD 
staff will be available to assist in clarifying or confirming 
information that is a prerequisite to the offer of an award by HUD.

II. Amount Allocated

    (A) Available Funds. Approximately $24 million in Fiscal Year (FY) 
2001 funding is being made available through this program section of 
the SuperNOFA. The breakdown for this funding is discussed below.
    (B) The FY 2001 HUD Appropriations Act. The Departments of Veterans 
Affairs and Housing and Urban Development, and Independent Agencies 
Appropriations Act, 2001 (Pub. L. 106-377 approved October 27, 2000 ) 
(the ``FY 2001 HUD Appropriations Act'') made $25 million in FY 2001 
funds available under the Rural Housing and Economic Development 
program.
    (C) Funding Categories/ Maximum Award Amounts. HUD will award up to 
approximately $24 million on a competitive basis in the following 
funding categories.
    (1) Capacity Building. HUD will award up to approximately $12 
million to build capacity. This amount will go directly to local rural 
nonprofits, community development corporations (CDCs) and Indian tribes 
to support innovative housing and economic development activities to 
increase capacity. The maximum amount awarded to a successful applicant 
in this category will be $150,000. If you received a RHED grant in 
either FY 1999 or FY 2000 for capacity building, the maximum amount you 
can receive in this category will be $100,000.
    (2) Support for Innovative Housing and Economic Development 
Activities. HUD will award up to approximately $12 million to Indian 
tribes, State Housing Finance Agencies (HFA)s, state community and/or 
economic development agencies, local rural non-profits and CDCs to 
support innovative housing and economic development activities in rural 
areas. The maximum amount awarded to a successful applicant in this 
category will be $400,000.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. (1) Background. There is a great need for 
expanding the supply of housing in rural America, particularly 
affordable housing for low income families and individuals. There are a 
number of rural areas which have experienced rapid in-migration as a 
result of a growth in employment opportunities, but which have a 
shortage of affordable housing. In addition, because of out-migration 
from rural areas, and other factors causing

[[Page 12190]]

economic dislocation, many rural areas suffer from severe economic 
distress. There has been a growing national recognition of the need to 
enhance the capacity of Indian tribes, local rural nonprofits, CDCs, 
and State community and economic development agencies to expand the 
supply of affordable housing and to engage in economic development 
activities in rural areas.
    A number of resources are available from the Federal government to 
address these problems, including programs of the United States 
Department of Agriculture (USDA), the Economic Development 
Administration (EDA), the Appalachian Regional Commission (ARC), the 
Department of Interior (for Indian Tribes) and HUD. The Rural Housing 
and Economic Development program has been developed to supplement these 
resources and to focus specifically on capacity building and innovative 
approaches to housing and economic development in rural areas. In 
administering these funds, HUD will encourage coordination between all 
Federal agencies in support of the program objectives.
    (2) Definitions. Appalachia's Distressed Counties means those 
counties in Appalachia that the Appalachian Regional Commission (ARC) 
has determined to have unemployment and poverty rates that are 150 
percent of the respective U.S. rates and per capita income that is less 
than 67 percent of the U.S. per capita income, and counties with 200 
percent of the U.S. poverty rate and one other indicator. Appendix B to 
this notice identifies the ARC's list of distressed counties.
    Colonia means any identifiable community that:
    (i) Is located in the State of Arizona, California, New Mexico, or 
Texas;
    (ii) Is located in the U.S.-Mexico border region (that is, within 
150 miles of the border between the U.S. and Mexico);
    (iii) Meets objective criteria, including lack of potable water 
supply, lack of adequate sewage systems, and lack of decent, safe, 
sanitary, and accessible housing
    Farmworker means a farm employee of an owner, tenant, labor 
contractor, or other operator raising or harvesting agricultural or 
aquacultural commodities; or a worker in the employment of a farm 
operator, handling, planting, drying, packing, grading, storing, 
delivering to storage or market, or carrying to market agricultural or 
aquacultural commodities produced by the operator. Seasonal farmworkers 
are those farm employees who typically do not have a constant year 
round salary. Migrant farmworkers are those farm employees whose work 
requires travel that prevents the employee from returning to his or her 
permanent place of residence within the same day.
    A firm commitment means the agreement by which an applicant's 
partner agrees to perform an activity specified in the application and 
demonstrates the financial capacity to deliver the resources necessary 
to carry out the activity, and commits the resources to the activity 
either in cash or through in-kind contributions and is irrevocable, 
subject only to approval and receipt of a FY 2001 RHED grant. Each 
letter of commitment should include the organization's name, the 
applicant's name, the proposed program, the 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 and 
dated not earlier than the date of publication of this NOFA. In 
documenting a firm commitment, the applicant's partner must:
    (i) Specify the authority by which the commitment is made, the 
amount of the commitment and the use of funds. If the committed 
activity is to be self-financed, the applicant's partner must evidence 
its financial capability through a corporate or personal financial 
statement or other appropriate means. If any portion of it is to be 
financed through a lending institution, the participant must evidence 
the institution's commitment to fund the loan;
    (ii) State the amount and use of the commitment, and the 
relationship of the commitment to the proposed investment; and
    (iii) Affirm that the commitment is not contingent upon another 
program or other pending commitments, and state a willingness on the 
part of the signatory to sign a legally binding commitment (conditioned 
on HUD environmental review and approval of a property, where 
applicable) upon award of the grant.
    Indian tribe means any entity eligible to apply for funding under 
the Indian Community Development Block Grant (ICDBG) program (see 24 
CFR 1003.5(a)). The list of federally recognized Indian tribes can be 
found notice published by the Department of the Interior on March 13, 
2000, at 65 FR 13299, and is also available from HUD.
    Innovative housing activities means projects, techniques, methods, 
combinations of assistance, construction materials, and financing 
institutions or sources new to the eligible area, or its population. 
The innovative activities can also build upon and enhance a model that 
already exists.
    Local rural non-profit or community development corporation means 
either:
    (i) Any private entity with tax exempt status recognized by the 
Internal Revenue Service (IRS) which serves the eligible rural area 
involved in the application (including local affiliates of national 
organizations that provide technical and capacity building assistance 
in rural areas); or
    (ii) Any public non-profit such as a Council of Governments that 
will serve specific local non-profit organizations in the eligible 
area.
    Lower Mississippi Delta Region means the seven state, 219 county/
parish region defined by Congress in the Lower Mississippi Delta 
Development Act, Pub.L. 100-460. Appendix C to this notice identifies 
the counties referenced in the Act.
    Rural area 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 of 20,000 inhabitants or 
more.
    (iii) Territory, persons, and housing units in the rural portions 
of ``extended cities.'' 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) describes 
``open country''as a site separated by open space from any adjacent 
densely populated urban area. Open space includes undeveloped land, 
agricultural land, or sparsely settled areas, but does not include 
physical barriers (such as rivers and canals), public parks, commercial 
and industrial developments, small areas reserved for recreational 
purposes, and open space set aside for future development.
    (v) Any place with a population not in excess of 20,000 and not 
located in a Metropolitan Statistical Area.
    State economic development or community development agency means 
any state agency which has promotion of statewide or local community/
economic development as its primary purpose.
    State Housing Finance Agency means any state agency created to 
assist local communities and housing providers with financing 
assistance for development of housing in rural areas, particularly for 
low and moderate income people.

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    (3) Eligible applicants. Eligible applicants for each of the 
funding categories are as follows:
    (a) For capacity building funding. If you are a local rural non-
profit, CDC, or Indian tribe, you are eligible for capacity building 
funding to carry out innovative housing and economic development 
activities which may also enable an applicant to become self-sustaining 
in the future.
    (b) For support for innovative housing and economic development 
activities funding. If you are a local rural non-profit, CDC, Indian 
tribe, State HFA, or State economic development or community 
development agency, you may apply for funding to support innovative 
housing and economic development activities in rural areas.
    (4) Eligible activities. The following are examples of eligible 
activities under the Rural Housing and Economic Development program. 
These examples are illustrative and are not meant to limit the 
activities that you may propose in your application. Any activity that 
meets the objective of the Rural Housing and Economic Development 
program will be considered eligible.
    (a) For capacity building funding. Capacity building for innovative 
rural housing and economic development involves the enhancement of 
existing organizations to carry out new functions and/or perform more 
effectively existing functions. For organizations, this could also 
include ``up front'' money for acquiring space and support facilities, 
as well as other types of administrative expenses. This should also 
focus on activities which enable the applicant to become self-
sustaining in the future.
    Activities in connection with strengthening existing organizations 
include hiring qualified staff, supporting and training existing staff, 
providing software and other tools to provide networking and research 
capability, and obtaining expertise from outside sources. They also 
include training to improve management capability, including 
development of accounting systems, Management Information Systems (MIS) 
support, apprenticeship programs and related activities. Eligible 
activities also include arranging for technical assistance to conduct 
need assessments, conduct asset inventories, and develop strategic 
plans. These activities also include the promotion of fair housing by 
training specific local organizations and residents in fair housing 
issues, and by helping them to file fair housing complaints with HUD, 
when warranted.
    (b) For support of innovative housing and economic development 
activities. (i) This category is intended to support, but not be 
limited to, other costs for innovative housing and economic development 
activities. Eligible activities include preparation of plans, 
architectural and engineering drawings and reports, financial 
assistance for acquisition of land and buildings, demolition, provision 
of infrastructure, purchase of materials, construction costs, the use 
of local labor markets, and job training.
    Additionally, eligible activities include homeownership counseling, 
application of innovative construction methods encouraging building 
design which reflects terrain, weather, and availability of indigenous 
materials. Besides meeting applicable civil rights requirements such as 
the Americans with Disabilities Act, section 504 of the Rehabilitation 
Act of 1973, and the Federal Fair Housing Act (42 U.S.C. 3601 et seq.), 
HUD also strongly recommends that all housing designs be made 
``accessible and visitable.'' In addition, HUD encourages the use of 
universal design in designing and constructing units so that the 
housing can meet the needs of the largest number of individuals.
    (ii) Other eligible activities include establishing Community 
Development Financial Institutions (CDFIs), lines of credit, revolving 
loan funds, microenterprises, small business incubators, provision of 
direct financial assistance to homeowners/businesses/developers, etc. 
This can be in the form of establishing default reserves, pooling/
securitization mechanisms, loans, grants, etc. Grantees should 
demonstrate that their activities will continue to serve the 
populations that are in need and that beneficiaries will have a choice 
of innovative housing and economic development opportunities as a 
result of these activities.

IV. Program Requirements

    (A) General. To be eligible for funding under this program section 
of this SuperNOFA, you must meet the requirements and procedures 
applicable to all programs set forth in Section II of the General 
Section of the SuperNOFA, and particularly the civil rights threshold 
requirements set forth in Section II(B) of the General Section. In 
addition to these general requirements, you must meet the following 
program specific requirements.
    (B) Accounting System Requirements. RHED requires that successful 
applicants have in place an accounting system that meets the policies, 
guidance, and requirements as described in the following applicable OMB 
Circulars and Code of Federal Regulations:
    (1) OMB Circular No. A-87 (Cost Principles Applicable to Grants, 
Contracts and Other Agreements with State and Local Governments);
    (2) OMB Circular No. A-122 (Cost Principles for Nonprofit 
Organizations), OMB Circular No. A-133 (Audits of States, Local 
Governments, and Non-Profit Organizations);
    (3) 24 CFR part 84 (Grants and Agreements with Institutions of 
Higher Education, Hospitals, and other Non-Profit Organizations); and
    (4) 24 CFR part 85 (Administrative Requirements for Grants and 
Cooperative Agreements to State, Local, and Federally recognized Indian 
tribal governments).
    These documents apply to the award, acceptance and use of 
assistance under the Rural Housing and Economic Development program 
NOFA, and to the remedies for noncompliance, except when inconsistent 
with the provisions of the FY 2001 HUD Appropriations Act, other 
Federal statutes or the provisions of this NOFA.
    (C) Environmental Review. 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 part, in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or that proposed sites be rejected. Applicants are particularly 
cautioned not to undertake or commit funds for acquisition or 
development of proposed properties (including establishing lines of 
credit that permit financing of such activities or making commitments 
for loans that would finance such activities from a revolving loan fund 
capitalized from funds under this NOFA) prior to HUD approval of 
specific properties or areas. Each application shall contain an 
assurance that you, the applicant, will assist HUD to comply with part 
50; will supply HUD with all available, 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, 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, grantees are to use the same guidance as provided in the 
HUD Handbook entitled ``Field Environmental Review Processing for HUD 
Colonias Initiative (HCI) grants'' issued January 27, 1998.

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    (D) Grant Period. Recipients will have 36 months from the date of 
funding to complete all project activities except the final evaluation 
and reporting, fulfillment and audit requirements and final project 
close-out.
    (E) Lead-Based Paint Hazard Control. All property assisted under 
the Rural Housing and Economic Development program is covered by the 
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846) and 
HUD's implementing regulations at 24 CFR part 35.

V. Application Selection Process

    (A) Rating and Ranking. (1) General. To review and rate 
applications, HUD may establish panels including outside experts or 
consultants to obtain certain expertise and outside points of view, 
including views from other Federal agencies.
    (2) Rating. All applicants for funding will be evaluated against 
the criteria below.
    (3) Ranking. Applicants will be ranked separately within each of 
the two funding categories. Applicants will be selected for funding in 
accordance with their rank order in each category. If two or more 
applications are rated fundable and have the same score, but there are 
insufficient funds to fund all of them, the applications(s) with the 
highest score for Rating Factor 2 (Need and Extent of the Problem) 
shall be selected. If applications 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 3 (Soundness 
of Approach), Rating Factor 1 (Capacity and Experience), Rating Factor 
5 (Comprehensiveness and Coordination) and Rating Factor 4 (Leveraging 
of Resources). To be eligible for funding in the Innovative category, 
an application must have a minimum score of 25 points for the total 
combined number of points for Rating Factors 1 and 3. To be eligible 
for funding in the Capacity Building category, an application must have 
a minimum score of 20 points for Rating Factor 3.
    (B) Initial screening. During the period immediately following the 
application deadline, HUD will screen each application to determine 
eligibility. Applications will be rejected if they:
    (1) Are submitted by ineligible applicants (including applicants 
and subrecipients that do not meet the fair housing and civil rights 
threshold requirement described in Section II(B) of the General Section 
of the SuperNOFA);
    (2) Do not serve an eligible rural area; or
    (3) Propose a program for which significant activities are 
ineligible. Such activities may include, but are not limited to, use of 
RHED grant funds for income payments to subsidize individuals or 
families, political activities, or general governmental expenses other 
than expenses related to the administrative cost of the grant.
    (C) Rating 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.
    (D) Notification of Approval and 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 negotiation and execution of the grant agreement by HUD.

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

    This rating factor addresses the extent to which you have the 
organizational resources necessary to successfully implement your 
proposed work plan as further described in Rating Factor 3 in a timely 
manner within the 36 month award period.
    Rating standards applicable to individual funding categories. The 
two funding categories have different objectives. Accordingly, in 
addition to the generally applicable rating standard discussed above, 
different standards will be used to judge the experience and 
qualifications of the applicants and any partners for each of the two 
funding categories. HUD fully supports emerging organizations who 
desire to develop internal capacity. Therefore, the following 
categories will be evaluated:
    (1) For Capacity Building. (15 points) Team members, composition, 
experience, organizational structure and management capacity. HUD will 
evaluate the experience of your project director, core staff, any 
outside consultants, contractors, subrecipients, and members of 
coalitions to implement all of the work activities in your workplan as 
they relate to innovative housing and economic development activities. 
In evaluating your capacity to do the work, HUD will assess the recent 
and relevancy of the prior work experience of each of the parties 
listed above to execute the prescribed activities; the services the 
consultants or other parties will provide which fill gaps in your 
staffing structure to enable you to carry out the proposed workplan; 
the experience of your project director in managing projects of similar 
size, scope, and dollar amount; the lines of authority and procedures 
that you have in place for ensuring that consultants and workplan goals 
and objectives are being met and that beneficiaries are being 
adequately served. In judging your response to this factor, HUD will 
only consider work experience gained within the last 3 years. When 
responding, please be sure to provide the dates, job titles and 
relevancy of the past experience to work undertaken by the employee or 
contractor under your proposed RHED application. The more recent, 
relevant, and successful the experience is of your team members in 
relationship to the workplan activities, the greater the number of 
points that you will receive.
    (2) For Support for Innovative Rural Housing and Economic 
Development Activities. (15 points)
    (a) (5 points) Team members, composition, and experience. HUD will 
evaluate the experience of your project director, core staff, any 
outside consultants, contractors, subrecipients, and members of 
coalitions to implement all of the work activities in your workplan. In 
evaluating your capacity to do the work, HUD will assess the recent and 
relevancy of the prior work experience of each of the parties listed 
above, to execute the prescribed activities; the services the 
consultants or other parties will provide which fill gaps in your 
staffing structure to enable you to carry out the proposed workplan; 
the experience of your project director in managing projects of similar 
size, scope, and dollar amount; the lines of authority and procedures 
that you have in place for ensuring that consultants and workplan goals 
and objectives are being met and that beneficiaries are being 
adequately served. In judging your response to this factor, HUD will 
only consider work experience gained within the last 7 years. When 
responding, please be sure to provide the dates, job titles and 
relevancy of the past experience to work undertaken by the employee or 
contractor under your proposed RHED application. The more recent, 
relevant, and successful the experience is of your team members in 
relationship to the workplan activities, the greater the number of 
points that you will receive.
    (b) (5 points) Organizational structure and management capacity. 
HUD will evaluate the extent to which you can

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demonstrate your ability to manage a workforce composed of full time 
and/or part-time staff as well as consultant staff and your ability to 
work with community-based groups or organizations in resolving issues 
related to affordable housing and economic development. In evaluating 
this sub-factor, HUD will take into account your experience in working 
with community-based organizations to design and implement programs 
which address the above housing and economic development issues. The 
more recent, relevant, and successful the experience is of your 
organization and any participating entities, the greater the number of 
points that you will receive.
    (c) (5 points) Experience with performance based funding 
requirements. HUD will evaluate your experience in producing timely 
products and reports in any previous grant programs undertaken with HUD 
funds or other Federal, state, local or non-profit or for-profit 
organization funds. In assessing points for this sub-factor, HUD 
reserves the right to take into account your past performance in 
meeting performance and reporting goals on any previous HUD awards. 
Specific outcomes will be measured in terms of the number of living 
wage jobs created or retained, housing units rehabilitated or 
constructed and made available for low and moderate income persons, or 
other relevant objective performance measures related to your previous 
job experience and/or grant programs. Applicants that can demonstrate a 
closer and greater linkage between the expected outcomes and the 
previously generated outcomes will receive higher points for this sub-
factor.

Rating Factor 2--Need and Extent of the Problem (40 points)

    The Rural Housing and Economic Development program has been 
designed to address the problems of rural poverty, inadequate housing 
and lack of economic opportunity. This Factor addresses the extent to 
which there is need for funding the proposed activities based on levels 
of distress, and an indication of the urgency of meeting the need/
distress in the applicant's target area. In responding to this Factor, 
applications will be evaluated on the extent to which the level of need 
for the proposed activity and the urgency in meeting the need are 
documented and compared, vis-a-vis, the target area, the county(ies) 
and national data.
    (1) In applying this Factor, HUD will compare current levels of 
need for the following areas affected by the project: first, in the 
area (i.e. Census Tract(s) or Block Groups), immediately surrounding 
the project site or the target area to be served by the proposed 
project; second, in the county in which the project is to be located, 
and third, in the nation. This means that an application that provides 
data that show levels of need in the project area and the county, 
expressed as a percent greater than the national average, will be rated 
higher under this Factor. Notwithstanding the above, an applicant 
proposing a project to be located outside the target area could still 
receive points under the Need Factor if a clear rationale and linkage 
is provided linking the proposed project location and the benefits to 
be derived by persons living in more distressed area(s) of the 
applicant's target area.
    (2) Applicants should provide data that address indicators of need 
as follows:
    (a) Poverty Rate (15 points)--data should be provided in both 
absolute and percentage form (i.e., whole numbers and percents) for 
both the target area(s) and the county; an application that compares 
the local poverty rate in the following manner to the national average 
at the time of submission will receive points under this section as 
follows:
    (i) Equal to but less than twice the national average = 5 points;
    (ii) Twice but less than three times the national average = 10 
points;
    (iii) Three or more times the national average = 15 points.
    (b) Unemployment (10 points)--for both the target area and county:
    (i) Equal to but less than twice the national average = 2 points;
    (ii) Twice but less than three times the national average = 4 
points;
    (iii) Three but less than four times the national average = 6 
points;
    (iv) Four but less than five times the national average = 8 points;
    (v) Five or more times the national average = 10 points.
    (c) Other indicators of social and/or economic decline that best 
capture the applicant's local situation (5 points)--examples that could 
be provided under this section are information on the community's 
stagnant or falling tax base, including recent commercial or industrial 
closings, housing conditions, such as the number and percentage of 
substandard and/or overcrowded units, rent burden (defined as average 
housing cost divided by average income) for both the target area and 
county, local crime statistics, etc. To the extent that the applicant's 
Consolidated Plan, its Analysis of Impediments to Fair Housing choice 
(AI), and/or its Anti-Poverty Strategy identify the level of distress 
in the community and the neighborhood in which the project is to be 
carried out, references to such documents should be included in 
preparing the response to this Factor.
    (3) In rating applications under this Factor, HUD reserves the 
right to consider sources of available objective data other than, or in 
addition to, those provided by applicants, and to compare such data to 
those provided by applicants and local crime statistics for both the 
project site and the county, etc.
    (a) HUD requires use of sound and reliable data (e.g., U.S. Census 
data, State statistical reports, university studies/reports that are 
verifiable) to support distress levels cited in each application. A 
source for all information along with the publication or origination 
date must also be provided.
    (b) Updated Census data are available as follows for the listed 
indicators:
    (i) Unemployment rate--estimated monthly for counties, with a two-
month lag;
    (ii) Population--estimated for incorporated places and counties, 
through 1999;
    (c) Poverty rate--estimated every two years, with a three-year lag, 
with 1997 data being the most recent available.
    (d) Demographics of Distress--Special Factors (10 points). Because 
of the concern of HUD with meeting the needs of certain underserved 
areas, you will be awarded a total of ten points if you are located in 
or propose to serve one or more of the following populations, your 
application demonstrates that 100 percent of the beneficiaries as 
supported by RHED funds are one or more of the following populations, 
and you specifically identify how they will be served, provided that 
the proposed service area meets the definition of ``eligible rural 
area'' as described in Section III(A)(2) of this NOFA:
    (i) Areas with very small populations in non-urban areas (2,500 
population or less);
    (ii) Migrant and seasonal farmworkers;
    (iii) Indian Tribes;
    (iv) Colonias;
    (v) Appalachia's Distressed Counties; or
    (vi) the Lower Mississippi Delta Region (7 States and 219 counties/
parishes). For these underserved areas, you should ensure that the 
populations that you serve and the documentation that you provide is 
consistent with the information described in the above paragraphs under 
this rating factor.

Rating Factor 3--Soundness of Approach (30 points)

    This factor addresses the overall quality of your proposed 
workplan,

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taking into account the project and the activities proposed to be 
undertaken; the cost-effectiveness of your proposed program; and the 
linkages between identified needs, the purposes of this program and 
your proposed activities and tasks. In addition, this factor addresses 
your ability to ensure that a clear linkage exists between innovative 
rural housing and economic development. In assessing cost-
effectiveness, HUD will take into account staffing levels, 
beneficiaries to be served, a timetable for delivery of products and 
reports and anticipated products. HUD is also interested in applicants 
becoming self-sustaining so that activities can continue in the future 
without relying on further assistance from the Department. You will 
receive a greater number of points if your workplan is consistent with 
the purpose of the RHED program, your program goals and the resources 
provided.
    (a) (10 points) Management Plan. A clearly defined management plan 
which identifies each of the projects and activities you will carry out 
to further the objectives of this program; describes the linkage 
between rural housing and economic development activities; and 
addresses the needs identified in Factor 2, including needs that had 
been previously identified in a statewide or local Analysis of 
Impediments to Fair Housing Choice (AI) or Consolidated Plan. The 
populations which were described in demographics that documented need 
should be the same populations which will receive the primary benefit 
of the activities, both immediately and in the long run. You should 
address the timetable with measurable goals and objectives for carrying 
out these activities; the method you will use for evaluating and 
monitoring program progress on the activities and ensuring that the 
activities will be completed on time and within your proposed budget 
estimates. Applicants that have a clearly defined management plan and 
which can produce results in less than 36 months will receive higher 
rating points for this sub-factor. Your management plan should include 
the budget breakout for each line item. You are required to provide 
documented projected cost estimates from outside sources. Applicants 
should submit their workplan on a spreadsheet showing each project, 
activities under the project, and tasks (to the extent necessary or 
appropriate) in your workplan with your associated budget estimate per 
activity/task. Your workplan should provide the rationale for your 
proposed activities and any assumptions used in determining your 
project timeline and budget estimates. Failure to provide your 
rationale may result in an application receiving zero points for lack 
of clarity in the proposed management plan. Applicants that propose as 
part of their workplan activities that address and support HUD's policy 
priority areas for using technology advances in the construction or 
design of homes produced with these funds, incorporates accessibility, 
visitability and universal design principles in the design, 
construction, or rehabilitation of home produced with these funds; or 
creates and uses apprenticeship programs to create long term career 
path opportunities for community residents, will receive higher rating 
points under this sub-factor.
    (b) (10 points) Expected Outcomes. HUD will be assessing outcomes 
resulting from your proposed workplan for the likelihood it will result 
in measurable and achievable outcomes that will alleviate or address 
the needs described in Rating Factor 2. You must include in this sub-
factor a qualitative or quantitative description of estimated outcomes 
in order to receive points for this sub-factor. Outcomes may be 
described in terms of the estimated number of new units constructed or 
units rehabilitated; jobs retained or created with accompanying living 
wages; loans financed; individuals trained, counseled or assisted; and/
or number of persons on welfare or under-employed trained in a career 
path or apprenticeship program. The exact nature of the expected 
outcomes will vary according to your proposed workplan. Applicants that 
can demonstrate clearly identified outcomes and the means for ensuring 
that outcomes will be tracked and are likely to be achieved will 
receive a greater number of points. Applicants that propose activities 
to increase their capacity to carry out innovative rural housing and 
economic development activities should include among their projected 
outcomes performance measures for maintaining the financial health and 
integrity of the organization. Your proposed workplan and budget should 
demonstrate a decreasing amount of RHED program funds over the life of 
your program as a percentage of the total operating budget and should 
include alternate sources of funding for producing desired outcomes. 
Applicants that demonstrate a reduced dependence on RHED funding over 
the life of their award will receive a greater number of rating points 
for this sub-factor.
    (c) (10 points) Self-monitoring and Program Evaluation. Your 
workplan will be evaluated to ensure that you have a mechanism for 
monitoring and self-assessing your progress in meeting program goals 
and objectives, ensuring that the integrity of the use of funds is in 
accordance with OMB Cost Principles and record-keeping requirements and 
the approved program budget. Therefore, your workplan should describe 
and identify the specific steps that you will take to carry out a self-
monitoring function that meets these requirements. Applicants that 
clearly define roles and responsibilities and steps to be taken to meet 
this requirement will receive a greater number of rating points in the 
evaluation.

Rating Factor 4--Leveraging Resources (10 points)

    This factor addresses the extent to which applicants for any of the 
two funding categories have obtained firm commitments of financial or 
in-kind resources from other Federal, State, local, and private sources 
in an amount of at least fifty percent (50%) of the total project 
budget. For every RHED dollar anticipated, you should provide the 
specific amount of dollars leveraged. In assigning points for this 
criterion, HUD will consider the level of outside resources obtained 
for cash or in-kind services that support activities proposed in your 
application. Fewer points will be awarded depending on the extent of 
the percentage of leveraging in comparison with the total project 
budget. This criterion is applicable to both funding categories under 
this NOFA. The level of outside resources for which commitments are 
obtained will be evaluated based on their importance to the total 
program. You must provide evidence of leveraging by including in the 
application letters of firm commitment to participate from any entity, 
including your own organization, that will be providing matching funds 
to the project. Each commitment described in the narrative of this 
factor must be in accordance with the definition of ``firm commitment'' 
as defined in Section III(A)(2) of this NOFA.

Rating Factor 5--Comprehensiveness and Coordination (5 points)

    This factor addresses the extent to which your proposed program is 
coordinated with other ongoing and related activities in the area you 
propose to serve as well as your future strategy for continuing this 
activity. The purpose of this factor is to ensure that whenever 
possible, activities are not operated in isolation, but rather are 
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improve the overall effectiveness of all efforts being undertaken as 
part of your total effort. In evaluating this factor, HUD will consider 
the extent to which you have coordinated your activities with other 
known organizations, have participated or promoted participation in the 
state or relevant jurisdiction's Consolidated Planning process and/or a 
statewide or local Analysis of Impediments to Fair Housing Choice, and 
have addressed your described need in a holistic and comprehensive 
manner through linkages with other activities in the area or approved 
plans and programs funded by other local organizations, state or local 
governments, national non-profits or foundations. The more 
comprehensive and relevant your activities are coordinated with other 
ongoing and related innovative rural housing and economic development 
activities in your service area, the more points you will receive.
    (a) (3 points) Describe the coordination of your proposed plan of 
activities or future strategies for this proposed project with other 
groups or organizations in order to best complement and mutually 
support others' ongoing efforts or programs.
    (b) (2 points) Identify specific actions that have been taken or 
will be taken to coordinate comprehensive solutions through meetings, 
outreach efforts, information networks, planning processes and other 
mechanisms with:
    (i) Other HUD funded projects/activities; and
    (ii) Other Federal, State or locally funded activities, including 
those proposed or ongoing in the area.

EZ/EC Bonus Points (2 points)

    HUD will award two bonus points to all applications that include 
documentation stating that the proposed eligible activities/projects 
will be located in and serve Federally designated Rural Empowerment 
Zones or Enterprise Communities (Rural EZs/ECs). A listing of Federally 
designated Rural EZs and ECs is available on the Internet at http://www.ezec.gov.

VI. Application Submission Requirements

    (A) Form of Application. You must submit a separate and distinct 
application for each funding category for which you are applying under 
this NOFA. All pages of the application shall be numbered sequentially. 
Your application must include an original and two copies of the items 
listed below.
    (B) Application Items. Your application must contain the items 
listed in this section. 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''). The remaining 
application items are forms (i.e., excluding such items as narratives), 
referred to as the ``nonstandard'' forms, that can be found in the 
Appendices to this program section of the SuperNOFA. The items are as 
follows:
    (1) A transmittal letter;
    (2) A table of contents;
    (3) A signed SF-424 (application form);
    (4) A budget for all funds (Federal and Non-Federal) and a 
breakdown of all Federal funds requested, in the format provided in the 
Appendix to this NOFA;
    (5) Documentation of funds pledged in support of Rating Factor 4--
``Leveraging Resources'' (which will not be counted in the 15 page 
limitation);
    (6) The required certifications (signed, as appropriate, and 
attached as an Appendix);
    (7) Acknowledgment of the Application Receipt form (submitted with 
application and returned to you as verification of timely receipt).
    (8) If you are a private nonprofit organization, a copy of your 
organization's IRS ruling providing tax-exempt status under section 501 
of the IRS Code of 1986, as amended.
    (9) The attached forms specifying:
    (a) Which category of funds, as described in Section II(C), you are 
applying for. You must submit a separate and distinct application in 
each category for which you applied;
    (b) Which of the five definitions of the term ``rural area'' set 
forth in Section III(A)(2) of this NOFA applies to the proposed service 
area and accompanying documentation as indicated on the form; and
    (c) Which special populations, as set forth in Rating Factor 2(d), 
you intend to serve.
    (10) The Environmental Review Assurance.
    (11) Narrative Response to Factors for Award.
    (a) You must describe your organization and the assignment of 
responsibilities for the work to be carried out under the grant (Rating 
Factor 1).
    (b) You must describe the need and extent of the problem (Rating 
Factor 2).
    (i) If you propose to create a new organization or institution 
under the capacity building funding category, you must provide evidence 
documenting that no existing organization or institution exists which 
serves the need identified in the area.
    (c) You must submit a workplan which describes your soundness of 
approach and the clear linkage between rural housing and economic 
development (Rating Factor 3). In addressing this submission 
requirement, you must:
    (i) Describe the activities you propose to undertake to address the 
needs which have been identified, the linkage between rural housing and 
economic development, and describe the specific outcomes you expect to 
achieve.
    (ii) Include a management plan which identifies the specific 
actions you will take to complete the proposed activities on time and a 
budget in the format provided which explains the uses of both Federal 
and non-Federal funds and the period of performance under the grant and 
your ability to be self-sustaining, should you not be funded by HUD in 
future RHED competitions.
    (iii) Include a discussion of the process by which the work 
accomplished with the grant will be evaluated to determine if the 
objectives of the grant were met. Be specific regarding the 
qualifications of the evaluator and the process to be used.
    (d) You must identify the resources which will be leveraged by the 
amount of this grant's funding that you are requesting and explain 
their importance to the program (Rating Factor 4). To receive the 
maximum number of points under Rating Factor 4 you must provide 
evidence of firm commitments. The commitment can be contingent upon HUD 
site approval following environmental review.
    (e) You must describe the extent to which your program reflects a 
coordinated, community based process of identifying needs and building 
a system to address these needs (Rating Factor 5).
    The total narrative response to all factors should not exceed 15 
pages and must be submitted on 8.5" by 11" paper, using a 12 point 
size, with lines double spaced and printed only on one side. Please 
note that although submitting pages in excess of the page limit will 
not disqualify your application, HUD will not consider or review the 
information on any excess pages, which may result in a lower score or 
failure to meet a threshold.

VII. Corrections to Deficient Applications

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

VIII. Environmental Requirements

    Applications under this program NOFA are subject to the National

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Environmental Policy Act of 1969 and applicable related Federal 
environmental authorities. (See 24 CFR part 50, as applicable). An 
environmental review will be completed by HUD before the award of any 
grant under this program.

IX. Authority

    The Departments of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, 2001 Pub. L. 
106-377, approved October 27, 2000).

Appendix A

    The non-standard forms, which follow are required for your RHED 
application.
BILLING CODE 4210-32-P

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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 
to 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, 2001.
    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, 2001 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. 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 
2001. 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 2001 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 Congressional action, not less than 30 percent 
of this year's total Homeless Assistance Grants appropriation of $1.025 
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.) Since this permanent housing set-aside 
requirement is expected to continue to be part of future competitions 
and may affect project funding selections as described below, you are 
strongly encouraged to begin planning as soon as possible for new 
permanent housing projects to be included as part of your submission in 
this and future competitions.
    In addition, Congress has established a fund separate from the 2001 
Homeless Assistance Grants appropriation for the purpose of renewing 
for one year eligible Shelter Plus Care Program grants whose five-year 
terms are expiring in FY2002 and Shelter Plus Care Program grants that 
have been extended beyond their original five-year terms but which are 
projected to run out of funds in FY 2002. For Shelter Plus Care Program 
renewal grants expiring or, if having had its grant term extended, 
running out of funds, during the period October 1 through December 31, 
2002 (the first quarter of FY 2003), it is anticipated that the FY 2002 
HUD appropriation will again establish a separate fund to renew them 
non-competitively. However, if such a separate fund is not established 
or is insufficient, then some or all of these

[[Page 12210]]

renewal grant requests will be included in and subject to all rules 
pertaining to this competition. In order to meet the expressed 
Congressional intent not to divorce these Shelter Plus Care renewals 
from the accountability requirements that are needed to preserve the 
financial integrity of the projects, and to ensure that these projects 
continue to meet the needs of the homeless, all Shelter Plus Care 
renewals must be submitted as part of a community's Continuum of Care 
submission. However, these S+C renewal projects will not count against 
your continuum's pro rata need amount. On the other hand, no S+C 
renewal adjustment will be made to a Continuum of Care's pro rata need 
amount since these projects are being funded outside of the 
competition. Please be advised that Shelter Plus Care renewal 
applications which are not submitted as part of either a 
``consolidated'' or ``associated'' Continuum of Care application will 
not be considered as eligible for funding. (See Section VI for a 
description of the three options for submitting applications.)
    Should Congress pass and the President sign legislation prior to 
this year's grant announcement permitting eligible SHP permanent 
housing component renewals selected for funding in the 2001 competition 
to be funded non-competitively, HUD reserves the right to exercise this 
authority. Should this authority be exercised, HUD will skip over the 
SHP permanent housing renewals in choosing projects from Continuum of 
Care priority lists for funding in this year's competition. These non-
competitively funded SHP permanent housing renewals will not count 
against your continuum's pro rata need amount, thus increasing the 
funds available for other projects. You should plan for this 
eventuality when developing your Continuum of Care priority list. SHP 
permanent housing renewal applications which are not submitted as part 
of either a ``consolidated'' or ``associated'' Continuum of Care 
application will not be considered as eligible for non-competitive 
funding under this authority, should it be exercised.

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 to 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 
businesses and foundations, 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 who will be 
homeless, you should seek to include persons knowledgeable on this 
issue in the planning process.
    Your application is more likely to be given a high score under the 
Continuum of Care scoring factors if the application demonstrates the 
achievement of three 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 fill gaps between 
the current inventory and existing needs. This coordinated effort must 
appropriately address all aspects of the continuum, especially 
permanent housing.
     That you have instituted a Continuum of Care-wide strategy 
to coordinate homeless assistance with mainstream health, social 
services and employment programs for which homeless individuals and 
families may be eligible. These mainstream programs include Medicaid, 
Children's Health Insurance Program, Temporary Assistance for Needy 
Families, Food Stamps, and services funding through the Mental Health 
Block Grant and Substance Abuse Block Grant, Workforce Investment Act 
and the Welfare-to-Work grant program.
    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 to 
follow locally established or accepted procedures governing the conduct 
of that process or has failed to provide for a fair process, including 
a project priority selection process that gives equal consideration to 
projects proposed by non profit organizations, HUD reserves the 
authority to impose sanctions up to and

[[Page 12211]]

including a prohibition on 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. This authority cannot be exercised until 
after a description of procedural safeguards, including an opportunity 
for comment and appeal, and the specific process and procedures for 
imposing a prohibition or debarment, have been published 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 it essentially competes with another, projects in the 
application/Continuum of Care that receives 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 strategy 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.
    (2) Prioritizing. In HUD's view, project priority decisions are 
best made through a local process, which includes nonprofit 
organizations, and are key to the ultimate goal of reducing 
homelessness. Again this year, you must list all projects proposed for 
funding 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 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. Please be advised that since you are now able to closely 
calculate your Continuum of Care's total pro rata need amount using 
information provided to you from HUD, and now that you no longer need 
to carry the large cost burden imposed by Shelter Plus Care five-year 
renewals, the tiering of projects (splitting into two or more projects 
by year or by units) on your priority list is no longer permitted.
    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 or Shelter Plus Care 
grant will be expiring in calendar year 2002, or if your Shelter Plus 
Care Program grant has been extended beyond its original five-year term 
and is projected to run out of funds in FY 2002, 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 2002, and you 
must assign a priority to those SHP projects requesting competitive 
renewal. HUD will not fund competitive renewals out of order on the 
priority list except as may be necessary to achieve the 30 percent 
overall permanent housing requirement. HUD reserves the authority to 
use FY 2002 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 would not otherwise 
receive funding for these projects.
    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. To the extent your community desires to have SHP 
projects renewed, you should give them the top priorities on the 
priority projects listing in the application. It is also important that 
they and Shelter Plus Care non-competitive renewals meet minimum 
project eligibility and capacity standards identified in this program 
section of the SuperNOFA or they will be rejected from consideration 
for either competitive or non-competitive funding.
    For the renewal of a Supportive Housing Program 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 will be one (1) 
year as specified by Congress. For S+C renewals, you may request up to 
the amount determined by multiplying the number of units under lease at 
the time of your application for renewal funding by the applicable 
current Fair Market Rent(s) by 12 months, except that for Shelter Plus 
Care grants having been awarded one-year of renewal funding in 2000, 
the number of units requested for renewal this year may not exceed the 
number of units funded in 2000. 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 previous grant period 
when it renews a grant. The one-year term of non-competitively awarded 
Shelter Plus Care renewal projects may not be extended.
    This program section of the SuperNOFA is not applicable to the 
renewal of funding under the SRO program. For further guidance on SRO

[[Page 12212]]

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. (See Section VI for a 
description of the three options for submitting an application.) Only 
public housing authorities and private nonprofits are eligible 
applicants for the Section 8 Moderate Rehabilitation for Single Room 
Occupancy program. If you are a unit of general local government acting 
as an applicant for a consolidated application and plan to include a 
request for Section 8 SRO funds, you must have a public housing 
authority or nonprofit listed as the Section 8 SRO applicant and they 
must submit a signed HUD Form SF-424, along with all necessary 
certifications and assurances applicable to the Section 8 SRO project.
    (B) Eligible Applicants. See Appendix A.
    (C) Eligible Activities. See Appendix A.

IV. Program Requirements

    (A) Statutory and Regulatory Requirements. If your project is 
selected for funding as a result of the competition, you will be 
required to coordinate and integrate your homeless program with other 
mainstream health, social services, and employment programs for which 
homeless populations may be eligible, including Medicaid, Children's 
Health Insurance Program, Temporary Assistance for Needy Families, Food 
Stamps, and services funding through the Mental Health Block Grant and 
Substance Abuse Block Grant, Workforce Investment Act and the Welfare-
to-Work grant program. In addition, as a condition for award, any 
governmental entity serving as an applicant must agree to develop and 
implement, to the maximum extent practicable and where appropriate, 
policies and protocols for the discharge of persons from publicly 
funded institutions or systems of care (such as health care facilities, 
foster care or other youth facilities, or correction programs and 
institutions) in order to prevent such discharge from immediately 
resulting in homelessness for such persons. This condition for award is 
intended to emphasize that States and units of general local government 
are primarily responsible for the care of these individuals, and to 
forestall attempts to use scarce McKinney-Vento Act funds to assist 
such persons in lieu of State and local resources. Program specific 
requirements follow:
    (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-Vento 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 2001 
funding, the cost limitation is raised from $17,850 to $18,200 per unit 
to take into account increases in construction costs during the past 
12-month period.
     The SRO Program is subject to the Federal labor standards 
provisions at 24 CFR Part 882, subpart H.
     Individuals assisted through the SRO Program must meet the 
definition of homeless individual found at Section 103 of the McKinney-
Vento Act.
    (2) Shelter Plus Care/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 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 2001 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.
    (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, since by law 
SHP can pay no more than 75% of the total operating budget for 
supportive housing, you must provide at least 25% of the annual 
operating costs. In addition, you must provide a 25% match of all SHP 
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 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 occupancy requirements while ensuring that, in the case of 
Shelter Plus Care, the supportive service match requirement is met.
    (D) 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

[[Page 12213]]

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 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-Vento Act 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 the 
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;
--Participant safety in the proposed housing 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 or S+C 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 or S+C project 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. Tenants returning after having vacated their units during 
the rehabilitation period are not eligible to receive rental assistance 
under the SRO Program since they do not meet the McKinney-Vento Act 
definition of homeless individual; and
     For those projects proposed under the SHP innovative 
category: Whether or not a project is considered innovative

[[Page 12214]]

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, 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 explicit 
Continuum of Care-wide strategies to coordinate homeless assistance 
with mainstream health, social services and employment programs for 
which homeless populations may be eligible. These include Medicaid, 
Children's Health Insurance Program, Temporary Assistance for Needy 
Families, Food Stamps, and services funding through the Mental Health 
Block Grant 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 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 $500,000 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 
SHP project renewals and any Shelter Plus Care renewal projects funded 
under competitive rules.
    (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 15 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

[[Page 12215]]

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 and EZ/EC bonus points, if any, 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. (See V(A)(7) for additional 
selection information.)
    When insufficient funds remain to fund all projects in the 
competition 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 2001 Appropriation Act for HUD (Pub.L. 106-377, 
approved October 27, 2000; 114 Stat. 1441), HUD will use not less than 
30 percent of the total FY 2001 Homeless Assistance Grants 
appropriation to fund projects that meet the definition of permanent 
housing. Projects meeting the definition of permanent housing for this 
purpose are: (1) New Shelter Plus Care projects, (2) Section 8 SRO 
projects, and (3) new and renewal projects designated as permanent 
housing for homeless persons with disabilities under the Supportive 
Housing Program, that, in addition, have been assigned at least 15 Need 
points, and which are submitted as part of either a ``consolidated'' or 
``associated'' Continuum of Care application receiving at least 20 
points under the Continuum of Care scoring factor. However, no 
Continuum of Care application may receive more than 20 percent of its 
pro rata need, up to $3 million, for ``second-tier'' permanent housing 
projects assigned 15 Need points that are selected for funding under 
this procedure. (See Section V(A)(4)(c) for definition of ``second-
tier''.) Since the FY 2001 Homeless Assistance Grants appropriation is 
$1.025 billion, not less than $307.5 million, plus carry over from the 
FY 2000 competition, must be awarded to permanent housing projects 
unless an insufficient number of approvable permanent housing projects 
is submitted. 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. HUD will first skip 
over new non-permanent housing projects when making project selections 
in order to meet the 30 percent requirement. If the 30 percent 
requirement has not been met after skipping over the new non-permanent 
housing projects, then HUD will skip over non-permanent housing renewal 
projects. In skipping over new non-permanent housing projects, HUD will 
begin with the lowest rated, eligible new non-permanent project at the 
funding line and continue up the ranking until the 30 percent 
requirement is met. If HUD is required to skip over non-permanent 
housing renewal projects, HUD will proceed in the same way.
    In accordance with section 429 of the McKinney-Vento 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 
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-Vento 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-Vento 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-Vento 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

[[Page 12216]]

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 the following:

1. 2001 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 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 in Appendix B to this program section of the SuperNOFA).
    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 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, Local Resident Employment, and Relocation 
Requirements

    (A) Environmental Requirements. All Continuum of Care assistance is 
subject to the National Environmental Policy Act and applicable related 
Federal environmental authorities. Section 208 of Public Law 106-377 
(114 Stat. 1441, approved October 27, 2000) amended Section 443 of the 
Stewart B. McKinney-Vento Homeless Assistance Act to provide that for 
purposes of environmental review, Continuum of Care projects shall be 
treated as assistance for special projects that are

[[Page 12217]]

subject to Section 305(c) of the Multifamily Housing Property 
Disposition Reform Act of 1994, and shall be subject to HUD's 
regulations implementing that section. The effect of this provision is 
that environmental reviews for Continuum of Care activities are to be 
completed by responsible entities (States or units of general local 
government) in accordance with 24 CFR Part 58, whether or not the 
applicant is itself a State or a unit of general local government. 
Applicants (such as PHAs or nonprofit organizations) that are not 
States or units of general local government must request the unit of 
general local government to perform the environmental review. This 
statutory provision supersedes those portions of 24 CFR 582.230 and 
583.230 that provide for automatic HUD environmental review in the case 
of application from such entities. With this exception, conditional 
selection of projects under the Continuum of Care Program is subject to 
the environmental review requirements of 24 CFR 582.230, 583.230, and 
882.804(c), as applicable. Recipients may not commit or expend any 
Continuum of Care assistance or nonfederal funds on project activities 
(other than those listed in 24 CFR 58.34 or 58.35(b)) until HUD has 
approved a Request for Release of Funds and environmental certification 
from the responsible entity. The expenditure or commitment of Continuum 
of Care assistance or nonfederal funds for such activities prior to 
this HUD approval may result in the denial of assistance for the 
project under consideration.
    (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.
    (C) Relocation. The SHP, S+C, and SRO programs are subject to the 
requirements of the Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970, as amended (URA). These requirements 
are explained in HUD Handbook 1378, Tenant Assistance, Relocation and 
Real Property Acquisition. Any person or family that moves, even 
temporarily, as a direct result of acquisition, rehabilitation or 
demolition for a project that is assisted through one of these programs 
(whether or not HUD funded the acquisition, rehabilitation or 
demolition) is entitled to relocation assistance. Displacement that 
results from leasing a unit in a structure may also trigger relocation 
requirements. Relocation assistance can be expensive. To avoid 
unnecessary costs, it is important to provide occupants with timely 
information notices, including a general information notice to be sent 
at the time the application is submitted to HUD. HUD Handbook 1378 
contains guideform information notices. The HUD field office can 
provide a copy of the handbook and copies of appropriate information 
booklets to be provided to occupants. Accordingly, if the site is 
occupied, the applicant should contact the HUD field office in the 
planning stage to obtain advice, including help in estimating the cost 
of required relocation assistance.

IX. Authority

    The Supportive Housing Program is authorized by title IV, subtitle 
C, of the Stewart B. McKinney-Vento Homeless Assistance Act (McKinney-
Vento 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-Vento 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-Vento 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 12225]]

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 $25,542,000 (and under a related 
part of this SuperNOFA, up to $2,580,000 for technical assistance for 
the HOPWA program). As required by statute, the renewal of existing 
grants that will be expiring in 2001 or 2002, will be given priority in 
selection for funding as provided in Part A of the HOPWA section of 
this notice; if funds remain, new proposals will be selected under Part 
B.
    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 2001. Appendix C in this program section of the SuperNOFA 
identifies the formula areas.
    Application Deadline. April 24, 2001 for renewal requests under 
Part A; and June 13, 2001 for new proposal under Part B.
    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.

Part A. Renewal of Existing Grants that are Expiring

I. General Policies on Renewals--Purpose

    Under the provisions of the HUD Appropriation Act for FY2001, the 
Secretary is required to renew all expiring grants that were funded 
under prior HOPWA competitions, if the grant meets all program 
requirements, before awarding funds for new grants and activities under 
the HOPWA competition.

II. Eligibility of Applicants and Activities

    To implement this new requirement, HUD provides the following 
guidance to existing HOPWA competitive grantees:
    (A) Eligible Applicant for Renewals. To be eligible, the applicant 
must be the same entity, State, local government or nonprofit 
organization that was selected for funding in the prior competition. 
The project should also continue with the same project sponsors, 
although HUD will consider the merits for changing a project sponsor if 
the new sponsor evidences the capacity to enhance the project 
operations or improve responsiveness to clients. Such examples for 
changing a project sponsor may be that a new project sponsor has 
greater capacity to conduct program activities, a prior project sponsor 
is no longer in operation or has merged with another entity, or HUD 
approved such a sponsor change through a grant amendment.
    (B) Definition of Expiring Grant. The HOPWA grant must be expiring 
in the Federal Fiscal Year 2001 or 2002 and the project will not have 
sufficient funds to continue activities in 2002, if not awarded 
additional Federal funds. All funds awarded in an existing HOPWA 
competitive grant must be expended during the Federal Fiscal Year 2001 
or 2002 (as measured by reimbursements filed with HUD under the 
financial system, PAS). In addition, if the grant expired in the 
Federal Fiscal Year 2000 or earlier, i.e. all funds were expended (as 
measured by PAS) by September 30, 2000, or only a residual amount that 
is less than one percent of the amount of the prior grant remains, you 
are not eligible to apply for renewal funding under this notice.
    (C) Eligible Renewal Activities. The activities to be renewed must 
be on-going forms of support for HOPWA-eligible persons, such as rental 
assistance, short-term rent, mortgage and utility payments, operating 
costs for housing facilities, such as community residences and SRO 
dwellings, leasing, maintenance costs, supportive service costs, 
housing information services, and resource identification/technical 
assistance for community residences activities. If a prior grant was 
awarded funds for the acquisition of a site or building, for new 
construction or for rehabilitation costs, these capital development 
activities are not on-going or available for additional sites and 
funding for these cannot be renewed under Part A. Projects that seek to 
undertake additional capital development activities or to add funding 
for new HOPWA activities, such as operating costs and services, must 
apply under Part B as a new project.
    (D) Amount of Renewals. Renewal projects may only request renewal 
funds for continuing a previously approved project at the same level of 
housing and/or services provided in the previous grant. Proposals to 
expand or significantly alter a funded-project must apply under Part B 
for new projects for the new activities or the expanded part of the 
project. The level of renewal funding must not exceed an amount that is 
comparable (i.e. not more than 120% of an activity) or may be less than 
the amount originally awarded by HUD for the HOPWA activity, including 
any amendments affecting this amount that were approved by HUD prior to 
FY2001. As an applicant for renewal funding, you must specify the 
annual amount needed to continue each activity and specify the number 
of years, up to three, for your request by completing the HOPWA Renewal 
Budget Form (Appendix A). You should describe your plan for continued 
operations in the Executive Summary section of your application, 
including any significant reduction to your prior award level. HUD will 
allow you to request up to the same amount as previously awarded per 
activity, with the allowance that projects may add up to 20 percent 
more by activity, except that activity costs may not exceed $1,200,000 
in total. The limits on administrative costs, three percent for 
grantees and seven percent for project sponsors, continue to apply. In 
addition, renewal grantees may add, or HUD may add, up to $50,000 to 
the renewal award for the purpose of the collection of data on program 
outcomes.
    (E) Ineligible Prior Grants. Grants awarded under the 1992-1995 
HOPWA competitions are not eligible to seek renewals as these projects 
were required to operate and complete activities under the requirement 
that funds be used within three years of the grant agreement. Grants 
selected in 1996 were required to operate and complete activities 
before the end of Fiscal Year 2000. Similarly, these 1996 grants are 
not eligible for renewal, unless the grantee documents that HUD 
approved a grant extension of the project that would allow for its 
continued operations in the Federal Fiscal Year 2001 or 2002.
    It is HUD's expectation that Part A renewals will be awarded to 
HOPWA grants that were awarded funds in 1997, 1998 and 1999. Such 
projects should be in operation and expect to complete activities in 
the Federal Fiscal Year 2001 or 2002 to qualify for renewal.

[[Page 12226]]

    (F) Failing or Weak Performance. Grantees that were subject to 
deobligation or other sanctions by HUD or that evidence weak 
performance in carrying out activities will not be eligible for renewal 
grants. HUD will consider that weak performance is evidenced if there 
are unresolved monitoring findings during the active competitive 
period, from the date of this notice until the selection of grants, or 
other HUD knowledge of unresolved problems, for example, that planned 
activities remain delayed in their implementation, a significant number 
of units are vacant, or annual progress reports were not filed with HUD 
at the time of the due date for renewals, or significant citizen 
complaints are unresolved or not responded to with justified reasons. 
HUD will also consider that weak performance is evident if more than 50 
percent of grant funds remain unexpended at that beginning of the month 
for the due date for renewals (as measured by reimbursements filed with 
HUD's financial system, PAS).

III. Selection Criteria and Process

    (A) Selection Process. The Department will select for funding all 
renewal requests from applicants that meet program requirements and 
pass a threshold review for a need for renewal to the degree that funds 
are available. In the case that the amount requested for renewal is 
less than the amount available under this notice, HUD will apply the 
remaining funds to new projects that will be selected under Part B. If 
the amount of the request for renewal activities is greater than the 
amount made available by this notice, HUD will select all of the 
approvable applications and allocate awards to each based on a prorata 
reduction to the amount available under this notice to ensure that all 
eligible and performing renewal projects receive funding that allows 
their continued operation.
    (B) Selection Criteria and Application Contents. Renewal applicants 
must comply with the requirements noted above in Part A, Section II, 
for example in establishing the amount of their request to continue 
approved activities for one to three additional years, and meet the due 
date requirement. Applicants must also use the Need for Renewal 
narrative to demonstrate program performance in carrying out activities 
in a timely manner, in response to client needs, in meeting program 
requirements, such as filing annual progress reports, and in meeting 
benchmarks that were established by the notice for their original 
grant. Further, the applicant must provide the documentation of any 
amendment or other program adjustment that was approved by HUD prior to 
2001, in carrying out the previously approved activities. HUD will 
review all renewal applications based on the following criteria:
    (1) Eligibility: HUD will review your eligibility to apply for 
renewal funding under this program as described above under Part A, 
Section II, Eligibility of Applicants and Activities.
    (2) Organizational Capacity: If a new project sponsor is added, HUD 
will review the project sponsor's capacity to conduct program 
activities as described under Rating Factor 1: Capacity of Applicant 
and Project Sponsors and Relevant Organizational Experience (Part B, 
Section V).
    (3) Need for Renewal: HUD will conduct a threshold review on your 
need for renewal, as described below in Part A, Section III(D), and how 
this project has operated with measurable progress. A project will pass 
this threshold if it demonstrates measurable progress. Measurable 
progress is defined as not failing or not evidencing weak performance 
in (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 the application, (iii) 
submitting timely performance reports, and; (iv) expending over 50% of 
prior funding at the beginning of the month for the due date for 
renewals (as measured by reimbursements filed with HUD's financial 
system, PAS.).
    (4) Threshold Requirements: HUD will also review your application 
to ensure that your project meets the standard eligibility threshold 
requirements as described in Part B, Section V(A) of this program NOFA. 
Such as, completing the Consolidated Plan Certification.
    Applicants are requested to submit the following information:
    (1) The renewal application should include the items A (SF-424) and 
F (Statutory Certifications) as described under Part B, Section VI, 
Application Submission Requirements.
    (2) Executive Summary and Synopsis: On no more than five (5) double 
spaced pages, please provide an Executive Summary of the renewal 
project. In the Executive Summary, please provide the name of the 
grantee and any project sponsors. Include at the beginning of the 
Executive Summary a two to three sentence synopsis of the renewal 
project.
    (3) Narrative Statements. Your application must include the 
following narrative statements:
    (a) Organizational Capacity Narrative: If a new project sponsor(s) 
is added to the proposal, please describe the capacity of the project 
sponsor(s) to conduct program activities as described under Rating 
Factor 1: Capacity of Applicant and Project Sponsors and Relevant 
Organizational Experience (Part B, Section V). Please provide this 
information on no more than three double-spaced typed pages. If you are 
adding more than one Project Sponsor, you may add two (2) additional 
pages per Project Sponsor.
    (b) Need for Renewal Narrative: Please address the following on no 
more than five (5) double-spaced pages. Please demonstrate the need for 
renewal funding and how this project has operated with measurable 
progress. Measurable progress is defined as not failing or not 
evidencing weak performance in (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 the 
application, (iii) submitting timely performance reports; (iv) 
expending over 50% of prior funding at the beginning of the month for 
the due date for renewals (as measured by reimbursements filed with 
HUD's financial system, PAS.). Additionally, you should complete the 
HOPWA Need for Renewal Chart, as described below in Part A, Section 
III(C) and found in Appendix A.
    (4) HOPWA Renewal Budget: Please complete the HOPWA Renewal Budget 
Form (Appendix A). See Part A, Section II(D), Amount of Renewals, for 
details on renewal funding.
    (5) HOPWA Renewal Project Form (Appendix A). Complete the form 
including the following:
    (a) Project Sponsor: You must identify any organization that will 
receive HOPWA funds as a project sponsor and the amount of funds to be 
received.
    (b) Non-profit Status: If not previously submitted to HUD through 
the prior HOPWA application or if a change occurred in non-profit 
status, non-profit grantees or project sponsors must submit 
documentation verifying your non-profit status, as outlined under Part 
B, Section III, Eligible Applicants and Project Sponsors, in this 
program section of the SuperNOFA.
    (c) Service Areas. Your application must identify the area(s) in 
which you are proposing to offer housing and other assistance.

[[Page 12227]]

    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 Renewal Application 
Checklist found in Appendix A to this program section of the SuperNOFA. 
Attached the HOPWA Renewal Application Checklist to the front of your 
application.
    (C) Need for Renewal. The application must demonstrate that prior 
grant funds will expire in the Federal Fiscal year 2001 or 2002. You 
must complete the HOPWA Need for Renewal Chart (Appendix A), as 
described below:

Line 1.   Indicate the amount of the prior HOPWA award: ________
Line 2.   Indicate the amount expended as of 9-30-00: ________
Line 3.   Subtotal: subtract line 2 from line 1: ________
Line 4.   Indicate the amount to be expended in FY2001: ________
Line 5.   Indicate the amount to be expended in FY2002: ________
Line 6.   Subtotal: subtract lines 4 and 5 from line 3: ________

    Notes: If the subtotal on Line 6 is greater than zero, you are 
not eligible to apply for renewal funding under this notice. Also 
note that continued use of prior funds may require that you file an 
extension request with the area CPD Field Office. Further if the 
subtotal on Line 3 is zero or a residual amount that is less than 
one percent of the amount on Line 1, you are not eligible to apply 
for renewal funding under this notice. In reviewing the information 
that you provide in this chart, HUD will determine your eligibility 
for renewal funding based on financial records for reimbursement of 
expenditures that are filed under HUD's financial system (PAS).


    (D) Example of potential renewal request, XYZ Nonprofit. In this 
case, a 1998 grant to the XYZ nonprofit involved the award of HOPWA 
competitive funds for a community residence for persons living with 
AIDS (PLWAs), with $300,000 for acquisition of the residence, $200,000 
for facility operations, $250,000 for supportive services and $100,000 
planned for rental assistance for clients who transition out of the 
facility, and grant administration $25,500 (total of $875,500). Under 
this notice, the following is eligible for renewal funding for XYZ: 
Facility operations, supportive services, rental assistance, grant 
administration, data collection on project outcomes (added). Funds for 
additional acquisition are not eligible for renewal. Also, if the site 
now needs rehabilitation, the grantee must apply under Part B for a new 
project for that activity or seek other public or private funding. To 
calculate the amount for this renewal request, XYZ could ask for these 
maximum amounts or less to continue for three more years:

Facility Operations--base of $200,000 + 20% for renewal grant = 
$240,000
Supportive Services--$250,000 + 20% = 300,000
Rental assistance--$100,000 + 20% = 120,000
Subtotal for renewal funding: 660,000
Grantee administrative costs (3%) based on subtotal: 19,800
Data collection on outcomes--(added): 50,000
Total potential amount for renewal request for XYZ: $729,800


    Notes: Alternatively, XYZ may have found that clients did not 
leave and the rental assistance component is too large, based on 
actual utilization. XYZ should have requested HUD approval to 
reassign the excess rental assistance amount to some other eligible 
activity, such as maintenance and repair costs, prior to FY2001 and 
provide a copy of this documentation in its application. If in this 
alternative example, only $20,000 is needed, than the amendment to 
move $80,000 to repair costs could have been filed with the area HUD 
office. In this alternative example, the XYZ request must be 
adjusted downward based on the actual experience of this grant and 
the subtotal, administrative cost, and total would be decreased, 
accordingly. The reassigned $80,000 in repair costs would not be 
eligible for a renewal request.

IV. Additional Renewal Information

    (A) Application Kits, Further Information, and Technical 
Assistance. You must send your renewal application on or before 12:00 
midnight, Eastern Time, consistent with the specific due date for 
renewal applications as stated in the Program Overview section of this 
program NOFA, to 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). In addition, please see Part B, Section I 
for the following information: address and instructions for submitting 
renewal applications, application kits, technical assistance, and 
technical assistance broadcasts. Please note HOPWA renewal information 
will be provided along with HOPWA competitive program information in 
the HOPWA Application Kit.
    (B) Award Modifications. See Part B, Section II(B) for a 
description of the process for award modifications.
    (C) Availability of Other Funds and Use of Technical Assistance. 
Applicants seeking renewal are encouraged to read Part B, Section IV(D) 
on the availability of formula funding. In addition, the paragraphs 
addressing (E) the availability of HOPWA technical assistance and (F) 
the prohibition on the use of TA funds to draft applications apply to 
renewal applications.
    (D) Applicable Provisions of Part B. The following sections of Part 
B of this program NOFA apply to applicants of renewal funding: Part B, 
Section VII (Corrections to Deficient Applications), Section VIII 
(Other Requirements), and Section IX (Authority).

Part B. New Projects

    If funds remain after the selection of renewal grants under Part A, 
HUD will consider applications under this part.

I. Application Kits, Further Information, and Technical Assistance

    Where to Send Your Application. You must send your application on 
or before 12:00 midnight, Eastern time, consistent with the specific 
due date for new projects as stated in the Program Overview of this 
program NOFA, to 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 three copies. Submit the 
original application and one copy 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 additional 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, 
email , 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

[[Page 12228]]

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/grants.
    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 Office of 
HIV/AIDS Housing, HUD at (202) 708-1934. HUD staff may assist with 
program questions, but may not assist in preparing your application.
    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/grants.

II. Amount Allocated

    Approximately $ 25,542,000 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), 
irrespective of the number of applications that you submit. 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 of the amount that they receive 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 the amount requested for program activities. Additionally, 
after rating each application HUD reserves the right to add up to 
$50,000 to a HOPWA application for the purposes of the collection of 
data on program outcomes, if an applicant fails to request this level 
of funding for this activity.
    (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 2001 
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 2001 formula allocations 
found in Appendix C 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 2001. A list of the formula areas 
and a list of the areas not eligible to receive HOPWA Formula funds, 
can be found in Appendix C of this program section of this SuperNOFA. 
Nonprofit 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. Project Sponsors can not be identified at 
a later date through such processes as an RFP or other selection 
process.
    (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 
U.S.C. 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

[[Page 12229]]

    (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, 
persons living in rural areas, youth and post-incarcerated populations. 
One example of this disparity is found in our experience in assisting 
HIV-infected young people. A report from the Office of National AIDS 
Policy, Youth and HIV/AIDS 2000: A New American Agenda, released on 
October 2, 2000, notes that:

    Beyond medical care, stable housing is one of the most important 
parts of the safety net for persons living with HIV and AIDS and 
their families. Youth who are homeless or who run away from home are 
at greater behavioral risk of HIV infection. Youth who are infected 
with HIV are more likely to be able to follow complex treatment 
regimens if they have a reliable address where they can be reached 
by care providers, a safe place to keep medications, refrigeration 
for drugs that require it, and other necessities that many of us 
take for granted. * * * [T]wo tragic realities have not changed. 
Some 20,000 young people are still becoming infected every year, and 
most of them are not receiving the medical care they need. The 
programs that provide HIV prevention, care and support services to 
youth must be broader in vision, larger in scope, and better 
coordinated.

    The report also recommended that ``Federal agencies should use 
existing resources to expand youth-specific initiatives.''
    The Department encourages you to develop an initiative on youth 
under this notice. In an effort to meet this need to reach and serve 
persons who are part of populations that have been underserved by past 
efforts and to 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 grantees and a project sponsor(s) that are 
experienced in developing or operating housing facilities and housing 
assistance programs with community-based organizations, serving as 
project sponsors, 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

[[Page 12230]]

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 and HUD reserves 
the right to include in these awards at least one application that 
targets unmet needs in an underserved youth population.
    To be considered as a collaboration, in your application you must:
    (1) Identify and evidence the experience of all collaborating 
organizations, either as grantee or project sponsor(s), 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;
    (2) 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, 
youth, post-incarcerated populations, 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
    (3) 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
    (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 D of this program section 
of the SuperNOFA.
    (D) Availability of FY 2001 Formula Allocations. You are also 
encouraged to consider seeking funds for your

[[Page 12231]]

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 FY2001, a total of $229.372 million was 
allocated by formula to the qualifying cities for 71 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 $2,580,000 
in HOPWA funds to organizations for technical assistance support on a 
national or regional basis.
    (F) Seeking Technical Assistance in Developing a HOPWA Application. 
HOPWA TA providers may not provide technical assistance in the drafting 
of responses to HUD's NOFA due to the unfair advantage such assistance 
gives to one organization over another. If HUD determines that HOPWA 
technical assistance has been used to draft a HOPWA application, HUD 
reserves that right to reject the application for funding.

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 an appendix to the General 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. For each project sponsor, you may add two 
additional pages under this section. 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 evaluated in terms of the 
ability to attain demonstrated measurable progress in the 
implementation of your 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 prior funding as outlined in the prior proposal with 
no outstanding audit or monitoring issues.

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

[[Page 12232]]

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. Within the points 
available under this criterion, HUD will award five points, if your 
SPNS application proposes to serve clients in an area that does not 
qualify for HOPWA formula allocation.
    (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 and include the HOPWA Budget Forms following 
this section. 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 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 Part B, Section 
IV(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 have access to 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

[[Page 12233]]

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) 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.
    (d) 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.
    (e) 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 Part B, 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. You must complete the HOPWA 
Project Budget Form as described in Part B, Section VI(E). Please note 
that only the forms are required and an additional narrative under the 
Model Qualities Section is not required.

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, but not including funds designated for data collection.
    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 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

[[Page 12234]]

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 
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 
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

[[Page 12235]]

under each category of assistance. In selecting projects that target 
resources to underserved populations as outlined in Part B, 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 and HUD reserves the 
right to include in these awards at least one application that targets 
unmet needs in an underserved youth population.
    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 D 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 HUD-SF-424M and the HOPWA 
Project Budget Form. Please make sure that both the Total Amount on 
HUD-SF-424M 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) Executive Summary and Synopsis. Please provide a two to three 
sentence synopsis of the proposed program, followed by an Executive 
Summary of the proposed project on no more than two double-spaced, 
typed pages. 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 Part B, 
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. Applications failing to submit any of the narrative 
statements will be rated as zero during the rating process.
    (D) Proposed HOPWA Project Information Form. See Appendix D 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 Part B, 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. You must complete the HOPWA Project Budget Form found 
in Appendix D of this program section of the SuperNOFA which lists the 
amount of requested HOPWA funds designated for each type of HOPWA-
eligible activity. For more information, please see Part B, Section 
IV(C), Program Requirements, and Paragraph (2)(e) of Rating Factor 3, 
Soundness of Approach.
    (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 the General 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;

[[Page 12236]]

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 D 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 D 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 and applicable related Federal 
environmental authorities. In accordance with Section 856(h) of the 
AIDS Housing Opportunities Act, as added by Section 203 (c) of Public 
Law 106-377 (114 Stat. 1441, approved October 27, 2000), environmental 
reviews for HOPWA activities are to be completed by responsible 
entities (including units of general local government, States, Indian 
tribes and Alaska Native villages) in accordance with 24 CFR Part 58. 
Applicants or grantees that are not States or units of general local 
government must request, the unit of general local government to 
perform the environmental review. This statutory provision supersedes 
the environmental provisions in the HOPWA regulation at 24 CFR 57.510. 
HOPWA grantees and project sponsors may not commit or expend any grant 
of nonfederal funds on project activities (other than those listed in 
24 CFR 58.34 or 58.35 (b)) until HUD has approved a Request for Release 
of Funds and environmental certification from the responsible entity. 
The expenditure or commitment of HOPWA or nonfederal funds for such 
activities prior to this HUD approval may result in the denial of 
assistance for the project under consideration.
    (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,as amended, 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 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. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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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 $495.9 million.
    Eligible Applicants. Private nonprofit organizations and nonprofit 
consumer cooperatives (see Section III(B) of this NOFA). (See Section 
IX of this NOFA for information regarding the formation of the Owner 
corporation).
    Eligible Activities. New construction, rehabilitation, or 
acquisition of housing with or without rehabilitation (see Section 
III(C) of this NOFA).
    Application Deadline. May 25, 2001.
    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 25, 2001, 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, 
Evelyn Berry 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 2001, $495,915,966 is available for capital advances for the 
supportive housing for the elderly program. The FY 2001 HUD 
Appropriations Act (HUD Appropriations Act) provides $679,000,000 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. Of this amount, $500,000 shall be transferred to the Working 
Capital Fund for the development and maintenance of information 
technology systems.
    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 2001 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

[[Page 12270]]

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 
advance funds to 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 with or 
without rehabilitation (including structures 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 with or without 
rehabilitation. Capital advance funds may also be used in combination 
with other non-Section 202 funding sources to develop additional units 
for a mixed-finance or mixed-used project. 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.


    Note: For purposes of approving Section 202 capital advances, 
HUD will consider proposals involving mixed-financing or a mixed-use 
purpose for additional units. However, you must obtain funds to 
assist the additional units with other than PRAC funds. HUD will not 
provide PRAC funds for non-Section 202 units.


    (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 X 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:
    $41,238 per family unit without a bedroom;
    $47,548 per family unit with one bedroom;
    $57,344 per family unit with two bedrooms;

For elevator structures:
    $43,398 per family unit without a bedroom;
    $49,748 per family unit with one bedroom;
    $60,493 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

[[Page 12276]]

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 which provide economic opportunities to low and very low 
income persons. To comply with section 3 requirements, you are required 
to certify that you will strongly encourage your general contractor and 
subcontractors to participate in local apprenticeship programs or 
training programs registered with or certified by the Department of 
Labor's Bureau of Apprenticeship and Training or recognized State 
Apprenticeship Agency (see section VI(B)(7)(k)(ii) of this program 
section of the SuperNOFA).
    (F) Applicability of Acquisition of Sites under the Uniform 
Relocation Assistance and Real Property Acquisition Act of 1970, as 
amended. The acquisition of sites, with or without existing structures, 
is subject to the Uniform Relocation Assistance and Real Property 
Acquisition Act of 1970, as amended (URA). However, you are exempt from 
complying with the site acquisition requirements of the URA if you do 
not have the power of eminent domain and prior to entering into a 
contract of sale, option to purchase or any other method of obtaining 
site control, you inform the seller of the land (1) that you do not 
have the power of eminent domain and, therefore, you will not acquire 
the property if negotiations fail to result in an amicable agreement, 
and (2) of the estimate of the fair market value of the property. An 
appraisal is not required to meet this requirement, however, your files 
must include an explanation, with reasonable evidence, of the basis for 
the estimate.

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

[[Page 12277]]

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. 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 five units.
    Funds remaining after these processes are completed will be 
returned to Headquarters. HUD Headquarters will use these residual 
funds first to fund Mercy Charities Housing California, Cathedral City, 
California, in the jurisdiction of the HUD Los Angeles HUB, a FY 2000 
Section 202 application which was not funded due to HUD error. Second, 
HUD Headquarters will use these funds to restore units to projects 
reduced by HUD offices as a result of the instructions for using their 
residual funds. Finally, HUD Headquarters will use these funds for 
selecting applications based on field offices' rankings beginning with 
the highest rated application nationwide. However, after restoring 
units to projects where necessary, priority will be given to those 
applications for projects in non-metropolitan areas, if necessary to 
meet the statutory requirement pertaining to Section 202 funding in 
non-metropolitan areas. 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 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)

[[Page 12278]]

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,
--In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its 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
    (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

[[Page 12279]]

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 three funding 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 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)(c)(iii) If applicable, a description of any plans and the 
actions you have taken to create a mixed-finance/mixed-use project by 
developing additional

[[Page 12280]]

units (i.e., in addition to the Section 202 units) with the use of 
Section 202 capital advance funds in combination with other funding 
sources. Specify the number of Section 202 units and the number of 
additional units from non-Section 202 funding sources. Provide copies 
of any letters you have sent seeking outside funding for the non-
Section 202 units and any responses thereto. You also must demonstrate 
your ability to proceed with the development of a Section 202 project 
that will not involve mixed-financing or a mixed-use purpose, as 
proposed in your application, in the event you are later unable to 
obtain the necessary outside funding or HUD disapproves your proposal 
for mixed-financing or a mixed-use.


    Note: Approval of the Section 202 capital advance will not 
necessarily be approval of the mixed-finance/mixed-use proposal. If 
approved for a reservation of capital advance funds, you will be 
required to submit, after reservation of capital advance funds, a 
detailed proposal outlining how you will fund both development and 
operation of the additional units in accordance with HUD 
instructions that will be issued later. Based on the strength of 
your organization and HUD's prior experience with your projects, as 
well as your outline of your intentions, at time of making the fund 
reservation, HUD will determine whether you will be permitted to 
submit a mixed-finance/mixed-use proposal at a later time. Only 
those Sponsors that indicate in their application for a fund 
reservation an intention to propose additional units will be 
eligible to submit, at a later time, a mixed-finance/mixed-use 
proposal for additional units. (A mixed-finance/mixed-use project, 
as used here, does not include the development of Section 202 units 
using secondary/supplemental financing or the development of a 
mixed-use project in which the Section 202 units are mortgaged 
separately from the other uses of the structure).


    (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.


    Note: For this funding cycle, New York City-owned sites that are 
designated as community gardens will not meet site control 
requirements due to litigation involving those sites.


    (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 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

[[Page 12281]]

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 (ESA), in 
accordance with the American Society for Testing and Material (ASTM) 
Standards E 1527-97, as amended. The Phase I ESA must be completed and 
submitted with the application. In order for the Phase I ESA to be 
acceptable, it must have been completed, or updated, no earlier than 
six months prior to application deadline date. Therefore, it is 
important that you start the Phase I ESA process as soon after 
publication of this SuperNOFA as possible.
    If the Phase I ESA 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 Phase I 
ESA process identified above must be followed for the new site. NOTE: 
You are not limited to acquiring properties from the FDIC/RTC. However, 
if the property is to be acquired from the FDIC/RTC, include a copy of 
the FDIC/RTC prepared Transaction Screen Checklist or Phase I ESA, and 
applicable documentation, per the FDIC/RTC Environmental Guidelines.
    If you choose to continue with the original site on which the Phase 
I ESA indicated contamination or hazards, you must undertake a detailed 
Phase II Environmental Site Assessment (ESA) by an appropriate 
professional. If the Phase II ESA 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 2001 funding competition, you must submit this 
information to the local HUD office on or before June 25, 2001.


    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.
    (4)(e)(iv) A description of how the residents will be afforded 
opportunities for employment.
    (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 2000 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;
    (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

[[Page 12282]]

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), 
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, the resolution 
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, if 
nonaffiliated with a National Sponsor; one-half of one-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, 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) Section 3 of the Housing and Urban Development Act of 
1968 (12 U.S.C. 1701u). Certification of Compliance with Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and 
implementing regulations at 24 CFR part 135. Certification that you 
will strongly encourage your general contractor and subcontractors to 
participate in local apprenticeship programs or training programs 
registered with or certified by the Department of Labor's Bureau of 
Apprenticeship and Training or recognized State Apprenticeship Agency.
    (7)(k)(iii) 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)(iv) 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)(v) 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)(vi) Supportive Services. Certification that you will not 
require residents to accept any supportive services as a condition of 
occupancy; and,
    (7)(k)(vii) 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. Formation of Owner Corporation for Development of Section 202 
Projects and for Section 202 Projects Involving Mixed-Financing or 
a Mixed-Use Purpose

    Applicant eligibility for purposes of applying for a Section 202 
fund reservation under this NOFA has not changed; i.e., all Section 202 
Sponsors and Co-Sponsors must be private nonprofit organizations and 
nonprofit consumer cooperatives. However, the Owner corporation, when 
later formed by the Sponsor, may be (1) a single-purpose private 
nonprofit organization that has tax-exempt status under Section 
501(c)(3) or Section 501(c)(4) of the Internal Revenue Code of 1986, 
(2) nonprofit consumer cooperative, OR (3) for purposes of developing a 
mixed-finance/mixed-use project for developing additional units over 
and above the Section 202 units, a for-profit limited dividend 
organization with a nonprofit entity as the sole general partner.

X. Authority

    The Section 202 Supportive Housing for the Elderly Program is 
authorized by 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), the Rescissions Act (Pub. L. 104-19; enacted on July 27, 
1995); and the American Homeownership and Economic Opportunity Act of 
2000 (Pub. L. 106-569; approved December 27, 2000).

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.

[[Page 12283]]

    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.

Appendix B

    The non-standard forms, which follow, are required for your 
Section 202 Program application.

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Notices  

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

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[[Page 12303]]

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 Housing Opportunities for Persons with 
Disabilities, is found elsewhere in this SuperNOFA.)
    Available Funds. Approximately $121.2 million.
    Eligible Applicants. Nonprofit organizations that have a section 
501(c)(3) tax exemption from the Internal Revenue Service (See Section 
III(A) of this NOFA). (See Section IX of this NOFA for information 
regarding the formation of the Owner corporation.)
    Eligible Activities. New construction, rehabilitation, or 
acquisition of housing (see Section III(C) of this NOFA).
    Application Deadline. May 25, 2001.
    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 25, 2001, 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 2001 $121,249,712 for capital advances is available for the 
Section 811 Program of Supportive Housing for Persons with 
Disabilities. The FY 2001 HUD Appropriations Act (HUD Appropriations 
Act) provides $217,000,000 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. Of this amount, $500,000 shall be transferred to the Working 
Capital Fund for the development and maintenance of information 
technology systems.
    Twenty-five percent (25%) of the $217,000,000 or $54.25 million 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.

[[Page 12304]]

    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 2001 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 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:

BILLING CODE 4210-32-P

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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 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 may 
also be used in combination with other non-Section 811 funding sources 
to develop additional units for amixed-finance or mixed-use project, 
provided that the additional units: (1) do not exceed the project size 
limits for the type of project proposed (unless a request for an 
exception to the project size limits is requested and approved by HUD), 
or (2) will house people who do not have a disability. 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.


    Note: For purposes of approving Section 811 capital advances, 
HUD will consider proposals involving mixed-financing or a mixed-use 
purpose for additional units. However, you must obtain funds to 
assist the additional units with other than PRAC funds. HUD will not 
provide PRAC funds for non-Section 811 units.


    (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 independent living 
projects, dwelling units in multifamily housing developments, 
condominium and cooperative housing and small group homes.
    (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 X 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:
    $41,238 per family unit without a bedroom;
    $47,548 per family unit with one bedroom;
    $57,344 per family unit with two bedrooms;
    $73,400 per family unit with three bedrooms;
    $81,770 per family unit with four bedrooms.

For elevator structures:
    $43,398 per family unit without a bedroom;
    $49,748 per family unit with one bedroom;
    $60,493 per family unit with two bedrooms;
    $78,257 per family unit with three bedrooms;
    $85,902 per family unit with four bedrooms.

    (b) For group homes only:

                           Type of Disability
------------------------------------------------------------------------
                                                               Chronic
                # Residents                    Physical/       mental
                                             developmental     illness
------------------------------------------------------------------------
2..........................................       $166,022      $160,262
3..........................................        178,533       172,340
4..........................................        191,045       183,069
5..........................................        203,556       193,798
6..........................................        216,054       204,527
------------------------------------------------------------------------

    (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. 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

[[Page 12309]]

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 ten 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 17 points. Criterion (a)(i) is related to site approvability 
and is worth a maximum of 7 points. Five 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; or
    (iii) Indicates that the provision of supportive services will not 
enhance independent living success or promote the dignity of the 
persons with disabilities who will live in your proposed 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 3 or 4 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 addressing the housing needs of people 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) 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.
    (2) Exceptions--If you are submitting an application for an 
independent living project with site control, you may request an 
exception to the above project size limit 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.
    (3) Group home--The minimum number of persons with disabilities 
that can reside in a group home is two, and

[[Page 12310]]

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.
    (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. To 
comply with section 3 requirements, you are required to certify that 
you will strongly encourage the general contractor and subcontractors 
to participate in local apprenticeship programs or training programs 
registered with or certified by the Department of Labor's Bureau of 
Apprenticeship and Training or recognized State Apprenticeship Agency 
(see section VI(B)(7)(k)(ii) of this program section of the SuperNOFA).
    (I) Applicability of Acquisition of Sites under the Uniform 
Relocation Assistance and Real Property Acquisition Act of 1970, as 
amended. The acquisition of sites, with or without existing structures, 
is subject to the Uniform Relocation Assistance and Real Property 
Acquisition Act of 1970, as amended (URA). However, you are exempt from 
complying with the site acquisition requirements of the URA if you do 
not have the power of eminent domain and prior to entering into a 
contract of sale, option to purchase or any other method of obtaining 
site control, you inform the seller of the land (1) that you do not 
have the power of eminent domain and, therefore, you will not acquire 
the property if negotiations fail to result in an amicable agreement, 
and (2) of the estimate of the fair market value of the property. An 
appraisal is not required to meet this requirement, however, your files 
must include an explanation, with reasonable evidence of the basis for 
the estimate.
    (J) 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*
    (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
    (n) Certification for Single Room Occupancy in Section 811 Group
    Homes (if project will include a group home)

    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

[[Page 12311]]

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 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. HUD will use these residual funds first to 
fund United Cerebral Palsy of LA and Ventura, in the jurisdiction of 
the Los Angeles Multifamily Program Center, a FY 2000 application which 
was not funded due to HUD error. Second, HUD Headquarters will use 
these funds to restore units to projects reduced by HUD Offices as a 
result of the instructions for using their residual funds. Finally, HUD 
Headquarters 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, excluding the Los Angeles Multifamily 
Program Center, already funded. 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) (8 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) (5 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

[[Page 12312]]

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) (5 points) Integrated model--If your project will be an 
integrated model as described in Section IV(D) above, your application 
will receive 5 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) (8 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 
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
--In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its population. 
The term ``nonminority 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

[[Page 12313]]

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


    (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, incicate 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

[[Page 12314]]

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 units with bedroom 
distribution if independent living units (including dwelling units in 
multifamily housing developments, condominiums and cooperatives), 
number of bedrooms if group home, 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)(c)(iii) If applicable, a description of any plans and the 
actions you have taken to create a mixed-finance/mixed-use project by 
developing additional units (i.e., in addition to the Section 811 
units) with the use of Section 811 capital advance funds in combination 
with other funding sources. See Section III.A. for further informaiton 
regarding the additional units. sepcify the number of Section 811 units 
and the number of additional units from non-Section 811 funding 
sources. Provide copies of any letters you have sent seeking outside 
funding for the non-Section 811 units and any responses thereto. You 
must also demonstrate your ability to proceed with the development of a 
Section 811 project that will not involve mixed-financing or a mixed-
use purpose, as proposed in your application, in the event you are 
later unable to obtain the necessary outside funding, or HUD 
disapproves your proposal for mixed-financing or mixed-use.

    Note: Approval of the Section 811 capital advance will not 
necessarily be approval of the mixed-finance/mixed-use proposal. If 
approved for a reservation of capital advance funds, you will be 
required to submit, after reservation of capital advance funds, a 
detailed proposal outlining how you will fund both development and 
operation of the additional units in accordance with HUD 
instructions that will be issued later. Based on the strength of 
your organization and HUD's prior experience with your projects, as 
well as your outline of your intentions, at time of making the fund 
reservation, HUD will determine whether you will be permitted to 
submit a mixed-finance/mixed-use proposal at a later time. Only 
those Sponsors that indicate in their application for a fund 
reservation an intention to propose additional units will be 
eligible to submit, at a later time, a mixed-finance/mixed-use 
proposal for additional units. (A mixed-finance/mixed-use project, 
as used here, does not include the development of Section 811 units 
using secondary/supplementary financing or the development of a 
mixed-use project in which the Section 811 units are mortgage 
separately from the other uses of the structure).


    (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 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.

    Note: For this funding cycle, New York City-owned sites that are 
designated as community gardens will not meet site control 
requirements due to litigation involving those sites.


    (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

[[Page 12315]]

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 (ESA), 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 ESA must be 
completed and submitted with the application. In order for the Phase I 
ESA to be acceptable, it must have been completed or updated no earlier 
than six months prior to the application deadline date. The Phase I 
study is not a curable deficiency for the Section 811 Program. 
Therefore, it is important that you start the Phase I ESA process as 
soon after publication of this SuperNOFA as possible.
    If the Phase I ESA 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 Phase I 
ESA process identified above must be followed for the new site. NOTE: 
You are not limited to acquiring properties from the FDIC/RTC. However, 
if the property is to be acquired from the FDIC/RTC, include a copy of 
the FDIC/RTC prepared Transaction Screen Checklist or Phase I ESA, and 
applicable documentation, per the FDIC/RTC Environmental Guidelines.
    If you choose to continue with the original site on which the Phase 
I ESA indicated contamination or hazards, you must undertake a detailed 
Phase II ESA by an appropriate professional. If the Phase II ESA 
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 
25, 2001.

    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 
(for independent living projects only), 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

[[Page 12316]]

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.

    Note: If an application is submitted without evidence of site 
control and does not provide a specific street address for the 
identified site(s) (e.g, only an indication that the project will be 
developed in a particular part of town but a site(s) has not been 
chosen) the application will be rejected.


    (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);
    (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 
announcement of section 811 Program funding availability or the 
announcement of funding availability for the Section 202 Program of 
Supportive Housing for the Elderly, published elsewhere in this 
SuperNOFA. 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 2000 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

[[Page 12317]]

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, 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) Section 3 of the Housing and Urban Development Act of 
1968 (12 U.S.C. 1701u). Certification of Compliance with Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and 
implementing regulations at 24 CFR part 135. Certification that you 
will strongly encourage your general contractor and subcontractors to 
participate in local apprenticeship programs or training programs 
registered with or certified by the Department of Labor's Bureau of 
Apprenticeship and Training or recognized State Apprenticeship Agency.
    (7)(k)(iii) 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)(iv) 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)(v) 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)(vi) Supportive Services. Certification that you will not 
require residents to accept any supportive services as a condition of 
occupancy; and,
    (7)(k)(vii) 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) The provision of supportive services will enhance 
independent living success and promote the dignity of those who will 
access your proposed project;
    (7)(l)(iii) Supportive services will be available on a consistent, 
long-term basis; and
    (7)(l)(iv) Proposed housing is consistent with State or local plans 
and policies addressing the housing needs of people with disabilities 
if the State or

[[Page 12318]]

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.
    (7)(n) Single Occupancy Bedrooms in Group Homes. Certification that 
if you are developing a group home, all bedrooms will be occupied be 
one person with a disability unless that person chooses to share his/
her bedroom with another person with a disability or determines that 
he/she/ needs another person to share his/her bedroom.

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. Formation of Owner Corporation for Development of Section 811 
Projects and for Section 811 Projects Involving Mixed-Financing or 
a Mixed-Use Purpose

    Applicant eligibility for purposes of applying for a Section 811 
fund reservation under this NOFA has not changed; i.e., all Section 811 
Sponsors and Co-Sponsors must be nonprofit organizations. However, the 
Owner corporation, when later formed by the Sponsor, may be (1) a 
single-purpose nonprofit organization that has tax-exempt status under 
Section 501(c)(3) of the Internal Revenue Code of 1986 OR (2) for 
purposes of developing a mixed-finance/mixed-use project for developing 
additional units over and above the Section 811 units, a for-profit 
limited dividend organization with the nonprofit entity as the sole 
general partner.

X. 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); the Rescissions Act (Pub. L. 104-19, 
approved July 27, 1995); and the America Homeownership and Economic 
Opportunity Act of 2000 (Pub. L. 106-569, approved December 27, 2000) 
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 301, Thomas P. O'Neill, Jr., Federal Building, 10 Causeway 
Street, Boston, MA 02222-1092, (617) 994-8500, 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.

RICHMOND OFFICE

The 3600 Centre, 3600 West Broad Street, Richmond, VA 23230-4920, 
(804) 278-4500, TTY Number: (804) 278-4501.

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

40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-2806, (404) 
331-5001, 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.

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NASHVILLE OFFICE

Suite 200, 235 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

Medical Forum Building, 950 22nd St., North, Suite 900, Birmingham, 
AL 35203-5301, (205) 731-2630, TTY Number: (205) 731-2624.

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.

HUD--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) 
469-2540, 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) 297-23.

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 Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905, (817) 
978-5965, TTY Number: (817) 978-5595.

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

APPENDIX B

    The non-standard forms, which follow, are required for your 
Section 811 Program application
BILLING CODE 4210-32-P

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[[Page 12341]]

FUNDING AVAILABILITY FOR THE ASSISTED LIVING CONVERSION PROGRAM 
(ALCP) FOR ELIGIBLE MULTIFAMILY HOUSING PROJECTS

Program Overview

    Purpose of the Program. The purpose of this program is to provide 
grants for the conversion of some or all of the dwelling units in an 
eligible project into assisted living facilities (ALFs) for frail 
elderly persons.
    Available Funds. Approximately $75 million for conversion of 
eligible multifamily projects to ALFs. $50 million under Fiscal Year 
2001 Appropriation Act and $25 million in carryover funds).
    Eligible Applicants. Only nonprofit project owners of eligible 
developments (as described in Section III of this NOFA) may apply for 
and become the recipient of a grant.
    Application Due Dates. June 21, 2001 for applications to convert 
eligible multifamily development to ALFs.
    February 26, 2001 through June 21, 2001 for applications from 
nonprofit owners to convert unused or underutilized commercial 
properties to ALFs. (See additional information on application due 
dates in ``Application Due Date'' of Section I below.)
    Match. None required.

Additional Information

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

    Application Due Date. If you are an eligible project owner applying 
to convert your eligible multifamily assisted housing development to an 
ALF, your completed application (one original and four copies) is due 
on or before 6:00 pm, local time, on June 21, 2001, at the address 
shown below. If you are a nonprofit organization applying to convert an 
unused or underutilized commercial property to an ALF, your completed 
application (one original and four copies) will be accepted on or 
before 6:00 pm, local time, beginning on February 26, 2001, and ending 
on June 21, 2001, at the address shown below.
    See the General Section of the 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. The official place for 
receipt of your application is ONLY in the appropriate Multifamily Hub 
Office. Submit an original and four copies of the ALCP application to 
the Director of the appropriate HUD Multifamily Hub Office, as listed 
in Appendix A of this NOFA, with jurisdiction over your development.
    Appendix B to this NOFA lists the 18 Multifamily Hubs with the 
Program Centers under them, to facilitate applicants knowing the 
correct location to send the application.
    For Application Kits, Further Information, and Technical 
Assistance. For Application Kits. You may obtain an ALCP application 
kit and supplemental information by calling the SuperNofa Information 
Center at (voice) 1-800-HUD-8929 (1-800-483-8929). Persons with hearing 
or speech impairment may call the Center's TTY number at 1-800-HUD-
2209. Please be sure to provide your name, address (including zip 
code), and telephone number (including area code). The application kit 
is also available on the Internet through the HUD web site at http://www.hud.gov.

    Note: There is a separate application kit for service 
coordinator funds (which is necessary for those needing to enhance 
or add service coordination per Section III(B)(14) of this NOFA).

    For Further Information and Technical Assistance. You should 
contact the Multifamily Hub where you will be mailing your ALCP 
Application. (Please refer to Hub telephone numbers in Appendix A.)
    You also may contact Aretha Williams, Director, Grant Policy and 
Management Division, Room 6138, at (202)-708-2866 x2480 or Faye Norman, 
Housing Project Manager at (202) 708-2866 x2482 for questions regarding 
the ALF process. This is not a toll free number. Ms. Williams can be 
reached, by e:mail, at ``aretha_m. [email protected]'' and Ms Norman at 
``[email protected]. Both Ms. Williams and Ms. Norman are located 
at the Department of Housing and Urban Development, 451 Seventh Street, 
SW, Washington, DC 20410.
    If you have a hearing or speech impairment, you may access the 
telephone number via TTY by calling the Federal Information Relay 
Service at 1-800-877-8339.

II. Amount Allocated

    This NOFA makes available approximately $75,000,000 ($67,500,000 
for the physical conversion of eligible multifamily assisted housing 
projects or portions of projects to ALFs and $7,500,000 for the 
conversion of up to 3 unused or underutilized commercial properties to 
ALFs). The FY 2001 funding of $50 million is in the Departments of 
Veterans Affairs and Housing and Urban Development, and Independent 
Agencies Appropriations Act. The $75 million includes $25 million in 
carryover funds. The allocation formula used for the ALCP to fair share 
the $67,500,000 reflects demographic characteristics of age and 
incidence of frailty that would be expected for program participants. 
The Fiscal Year (FY) 2001 formula consists of three data elements from 
the 1990 decennial census:
    (1) The number of non-institutional elderly population aged 75 
years or older with a self-care limitation,
    (2) The number of non-institutional elderly population aged 75 or 
older with a mobility limitation, and,
    (3) The number of the non-institutional elderly population aged 75 
or older with both a mobility limitation and a self-care limitation. 
The data were taken from the 1990 Census Special Tabulation on Aging, 
STP-14, sponsored by the Administration on Aging, U.S. Department of 
Health and Human Services.
    A mobility limitation is defined as a health condition that has 
lasted for six (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 the doctor's office. A self-care limitation is 
defined as a health care limitation that has lasted for six (6) months 
or more which makes it difficult for the person to take care of his/her 
own personal needs such as dressing, bathing, or getting around in the 
home.
    A fair share factor for each state was developed by taking the sum 
of the three elements within each state as a percentage of the sum of 
the three elements for the total United States. The resulting 
percentage for each state was then adjusted to reflect the relative 
difference in the cost of providing housing among the states. The total 
of the grant funds available ($67.5 million) was multiplied by the 
adjusted fair share percentage for each state, and the resulting funds 
for each state were totaled for each Hub.
    The ALCP grant funds fair share allocations, based on the formula 
above, to the 18 multifamily Hubs are as shown on the following chart:

 Fiscal Year Allocation 2001 for the Assisted Living Conversion Program
            (ALCP) of Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
                         HUB                            Grant authority
------------------------------------------------------------------------
Boston...............................................         $4,004,982
Buffalo..............................................          1,916,188
New York City........................................          4,394,919
Philadelphia.........................................          7,727,208
Baltimore............................................          2,669,073
Greensboro...........................................          2,781,980
Atlanta..............................................          4,763,164

[[Page 12342]]

 
Jacksonville.........................................          6,167,612
Chicago..............................................          4,904,037
Columbus.............................................          2,572,294
Detroit..............................................          2,371,122
Minneapolis..........................................          2,333,387
Fort Worth...........................................          5,244,696
Kansas City..........................................          4,052,235
Denver...............................................          1,325,512
Los Angeles..........................................          4,108,700
San Francisco........................................          4,072,910
Seattle..............................................          2,089,981
                                                      ------------------
    Total............................................         67,500,000
------------------------------------------------------------------------

III. Program Description; Eligible and Ineligible Applicants, 
Developments, and Activities

    (A) Program Description. Assisted living facilities (ALF) are 
designed to accommodate frail elderly persons and people with 
disabilities who need certain support services (e.g., assistance with 
eating, bathing, grooming, dressing and home management activities). 
ALFs must provide support services such as personal care, 
transportation, meals, housekeeping, and laundry. Frail elderly person 
means an individual 62 years of age or older who is unable to perform 
at least three activities of daily living (ADLs) as defined by the 
regulations for HUD's Section 202 Program (Supportive Housing for the 
Elderly) at 24 CFR 891.205.
    Assisted living is defined in section 232(b)(6) of the National 
Housing Act (12 U.S.C. 1715w). The ALCP provides funding for the 
physical costs of converting some or all of the units of an eligible 
multifamily development into an ALF, including the unit configuration, 
common and services space and any necessary remodeling, consistent with 
HUD or the State's statute/regulations (whichever is more stringent).
    Typical funding will cover basic physical conversion of existing 
project units, common and services space. There must be sufficient 
community space to accommodate a central kitchen or dining facility, 
lounges, recreation and other multiple-areas available to all residents 
of the project, or office/staff spaces in the ALF. When food is 
prepared at an off-site location, the preparation area of the facility 
must be of sufficient size to allow for the installation of a full 
kitchen, if necessary. You must provide supportive services for the 
residents either directly or through a third party. Your application 
must include a firm commitment for the supportive services to be 
offered within the ALF as part of the application. You may charge 
assisted living residents for meals and/or service fees. Residents may 
contract with third party agencies directly for nursing, therapy or 
other services not offered by the ALF.
    (B) Program Requirements. The following program requirements apply: 
(Note: For applications requesting funds to convert commercial 
facilities, except (3), (8)(a) and (b), and (12):
    (1) Your ALF facility must be licensed and regulated by the State 
(or if there is no State law providing such licensing and regulation, 
by the municipality or other subdivision in which the facility is 
located). Each assisted living unit must include its own kitchen, 
bathroom, living/dining area (1 bedroom unit) or bedroom/living/dining 
area (efficiency unit) and must meet the state and/or local licensing, 
building, zoning and other requirements for an ALF.
    (2) Your ALF must be available to qualified elderly persons and 
persons with disabilities, consistent with the rules and payment plans 
of the State, who need and want the supportive services in order to 
remain independent and avoid premature institutionalization.
    (3) Your ALF's residents must be tenants or residents of the 
multifamily project and must comply with the requirements applicable to 
the project. Thus, you cannot charge additional rent over what is 
charged to residents in the non-ALF portion of the project. All 
admissions to the ALF must be through the applicable project admissions 
office. However, persons accepted into the ALF also must sign an ALF 
admissions agreement which shall be an addendum to the applicable 
project lease.
    (4) At a minimum, your ALF must provide room, board (as defined in 
Section III(B)(6)) of this NOFA) and continuous protective oversight 
(CPO). CPO involves a range of activities and services that may include 
such things as awareness by management and staff of the occupant's 
condition and location as well as an ability to intervene in a crisis 
for dependent and relatively independent occupants on a 24-hour basis. 
The two occupant groups in an ALF are:
    (a) Independent Occupants: Awareness by management and staff of the 
occupant's condition and whereabouts as well as the availability of 
assistance for the occupants as needed.
    (b) Dependent occupants: Supervision of nutrition, assistance with 
medication and continuous responsibility for the occupants' welfare.
    (5) Anyone moving into an ALF unit must agree to accept as a 
condition of occupancy the board and services required for the purpose 
of complying with state and local law and regulation. However, 
occupancy in an ALF unit may not be conditioned on receipt of other 
services or board not required by state or local requirements.
    (6) Your ALF must offer three meals per day to each resident.
    (a) Residents in projects which were originally constructed without 
kitchens in their units must take such meals as required by their 
mandatory meals agreement, or by the state's mandated requirements if 
more stringent (e.g., 2 meals, 2 snacks daily).
    (b) Residents whose apartments have kitchens must take at least the 
number of meals a day provided by the facility, per their mandatory 
meals requirement, or as required by state or local rules, if more 
stringent. If the facility does not have a mandatory meals plan, then 
state and local rules govern.
    In either case, ALF management must coordinate meals requirements 
with the needs of residents who are out part of the day, e.g., in day 
care. The meals program may not be operated at a profit by the project 
owner.
    (7) Your ALF's operation must be part of the project owner's 
management organization. Some or all of its functions may be contracted 
out. The ALF must predicate its budget on a two-tiered structure under 
which board and supportive service income and expenses must be 
maintained separately and independently from the regular income and 
expenses of the applicable project. The two components of ALF costs 
are:
    (a) Charges/payment for board, which may be on a sliding scale or 
any other equitable fee system; and
    (b) Charges/payment for necessary supportive services, which may 
include a combination of resident fees, Medicaid and/or other third 
party payments.
    (8) Priority admissions for ALF units are as follows:
    (a) Current residents desiring an ALF unit and meeting the program 
requirements (no resident can be required to accept an ALF unit).
    (b) Qualified individuals or families needing ALF services who are 
already on the project's waiting list;
    (c) Qualified individuals or families in the community needing ALF 
services wanting to be added to the project's waiting list; and

    Note: Qualified physically disabled non-elderly persons needing 
assisted living services are eligible to occupy these units on the 
same basis as elderly persons, except for

[[Page 12343]]

section 202 PRAC projects and unused/underutilized commercial 
properties.

    (9) The management of the project must set up a separate waiting 
list for ALF units. ALF units must be for eligible residents who meet 
the admissions/discharge requirements as established for assisted 
living by State and local licensing, or HUD frailty requirements under 
24 CFR 891.205 if more stringent.
    (10) Costs of meals and supportive services are NOT covered by this 
HUD grant. These items must be paid for through other sources, e.g., a 
mix of resident fees and/or third party providers. Evidence of third 
party commitment(s) must be included as part of the application. (See 
Section IV(B) of this NOFA.) The assisted living supportive services 
program must promote independence and provide personal care assistance 
based on individual needs in a home-like environment (see Section 
VI(B)(8)(b) through (c) of this NOFA).
    (11) Upon receipt of a grant under this program, all project owners 
participating in the ALCP must provide a Declaration of Restrictive 
Covenants (DRC), which will be recorded with the land, to retain the 
low income character of the housing, and to maintain the project 
(including the ALF), as a moderate, low, or very low income facility 
(as appropriate) for at least 20 years beyond the current 40-to-50 year 
term of the mortgage loan or capital advance. Recipients of grant funds 
to convert unused or underutilized commercial property must provide a 
DRC for at least 20 year or for the term of the mortgage on the 
property whichever is longer.
    (12) This program does NOT allow permanent displacement of any 
resident living in the project at the time the application was 
submitted to HUD. (HUD will only provide temporary relocation costs for 
current tenants if they must vacate their unit while conversion work is 
underway (normal temporary relocation costs include increases in rent, 
reconnection of telephones, moving costs and appropriate out-of-pocket 
expenses)).
    (13) The ALCP requires service coordination responsible for linking 
the ALF to services in the community which are available to low income 
persons. All projects funded under this NOFA must have sufficient 
service coordination in place, or request additional funds if 
appropriate, to ensure that services meeting licensing requirements are 
available to ALF residents on an ongoing basis. Service coordination 
must be described in the application (see Section VI(B)(8)(b) through 
(c) of this NOFA). If you need to enhance an existing service 
coordination program or add one where it does not exist, you may apply 
for funding through the Service Coordinator NOFA, published elsewhere 
in this SuperNOFA , and attach a copy of the Form HUD 424M so 
indicating the request to the ALCP application. Alternatively, you may 
show evidence that funding for the enhanced service coordination is 
provided by other sources and indicate such funding on the HUD Form 
424M which is exhibit 10(c) of your ALF application. If you are funded 
under this NOFA and requested new or enhanced service coordination you 
will be funded first under the service coordinator NOFA.

    Note: If you are a Section 202 PRAC project owner or an owner 
with unused or underutilized commercial properties, you are NOT 
eligible to request funding under the service coordinator NOFA. 
Section 202 PRAC owners can pay for the service coordinator out of 
PRAC funds.

    In addition to above requirements, the following applicable 
guidelines are stated:
    (a) The ALF must be staffed either directly or through coordination 
with local agencies, depending on state regulations or local 
requirements. These may also serve non-ALF residents of the project on 
a time available and appropriate fee basis.
    (b) The ALF may cater to the special needs of residents depending 
on the condition or diagnosis, such as Alzheimer's disease. If it does 
so, the design/environment of such facilities must accommodate those 
needs, e.g., dementia special care unit. However, the ALF CANNOT 
provide a service it is not licensed by the State or locality to 
provide.

    Note 1: Owners of section 202/PRAC projects are reminded that 
they may include a PRAC payment of up to $15/unit/month not to 
exceed 15% of the total program cost, consistent with 24 CFR 
891.225(b)(2) to cover part of the cost of meals and/or supportive 
services for frail elderly residents, including residents of the 
ALF.


    Note 2: Training for ALF staff is an eligible project cost under 
existing operating procedures.

    For further information on ALFs, please refer to Handbook 4600.1, 
CHG-1, ``Mortgage Insurance for Residential Care Facilities,'' Chapter 
13. This Handbook and recent ALF program Notices are accessible through 
HUDCLIPS on HUD's web site. The URL for the HUDCLIPS Database Selection 
Screen is http://www.hudclips.org/subscriber/cgi/legis.cgi. These 
notices are in the Handbooks and Notices--Housing Notices database. 
Enter only the number without the letter prefix (e.g., 99-16) in the 
``Document number'' to retrieve the program notice.
    For further guidance on service coordinators, please refer to 
Handbook 4381.5 REV-2, CHANGE-2, Chapter 8, ``The Management Agent's 
Handbook,'' which is also available through the HUDCLIPS database.
    (C) Eligible Applicants. Only nonprofit owners of eligible 
multifamily assisted housing developments specified in Section 683(2) 
(B), (C), (D), (E), and (F) of the Housing and Community Development 
Act of 1992 and nonprofit owners of an unused or underutilized 
commercial property are eligible for funding. To be eligible, project 
owners must meet the following criteria where applicable:
    (1) Must be in compliance with your Loan Agreement, Capital Advance 
Agreement, Regulatory Agreement, Housing Assistance Payment contract, 
Project Rental Assistance Contract, Rent Supplement or LMSA contract, 
or any other HUD grant or contract document.
    (2) Must be in compliance with all fair housing and civil rights 
laws, statutes, regulations, and executive orders as enumerated in 24 
CFR 5.105(a). See Section V(B) of this NOFA for further explanation.

    Note: If your eligibility status changes during the course of 
the grant term, making it ineligible to receive the grant (e.g., 
prepayment of mortgage, sale/TPA of property, or opting out of a 
Section 8 Housing Assistance Payment (HAP) contract), HUD retains 
the right to terminate the grant and recover funds made available 
through this NOFA.

    (D) Eligible Developments. (1) Section 202 projects, Section 202 
projects receiving rental assistance under Section 8, and Section 202 
projects receiving project rental assistance under Section 202(C)(2). 
Rural housing projects assisted under Section 515 of the Housing Act of 
1949 receiving Section 8 rental assistance are also included as are 
projects receiving project-based rental assistance. Projects receiving 
project-based rental among others, housing constructed, substantially 
rehabilitated or receiving moderate rehabilitation assistance under 
Section 8. Also included are housing financed by a below-market 
interest rate loan or insured mortgage under Section 221(d)(3) of the 
National Housing Act of housing insured, assisted or held by HUD or a 
State or State Agency under Section 236 of the National Housing Act 
that have been in occupancy for no less than five years since the date 
of the HUD-2485 Form ``permission to occupy'' permit and have completed 
Final Closing. Your project must:

[[Page 12344]]

    (a) Meet HUD's Uniform Physical Conditions Standards at 24 CFR part 
5, subpart G. Meeting these standards as described, means that the 
project, based on the most recent Real Estate Assessment Center (REAC) 
physical inspection report and responses thereto, must have a 
``satisfactory'' rating as evidenced by a score of 60 or better or a 
HUD-approved and on schedule repair plan for developments scoring less 
than 60. Additionally, the project must have no uncorrected and 
outstanding Exigent Health and Safety violations. Finally, the project 
must not have on file a management review with a rating of ``minimally 
satisfactory'' or ``unsatisfactory'' with open and unresolved findings.
    (b) Have a residual receipts account separate from the Reserve for 
Replacement account, or agree to establish this account as a condition 
for getting the award(s).
    (2) Unused and underutilized commercial properties.
    (E) Ineligible Applicants. (1) Owners of developments designed 
specifically for people with disabilities.
    (2) Owners of Section 232 developments.
    (3) Property management companies and agents of property management 
companies.
    (4) Limited dividend partnerships.
    (F) Eligible Conversion Activities. Eligible activities are:
    (1) Retrofitting to meet Section 504 accessibility requirements, 
minimum property standards for accessibility and/or building codes and 
health and safety standards for ALFs in that jurisdiction. Examples are 
items such as addition of:
    (a) Sprinkler systems;
    (b) An elevator or upgrades thereto;
    (c) Lighting upgrades;
    (d) Major physical or mechanical systems of projects necessary to 
meet local code or assisted living requirements;
    (e) Upgrading to accessible units for the ALF with moveable 
cabinetry, accessible appliances, sinks, bathroom and kitchen fixtures, 
closets, hardware and grab bars, widening of doors, etc.
    (f) Upgrades to safety and emergency alert systems;
    (g) Addition of hallway railings; and,
    (h) Medication storage and work stations;
    (2) Retrofitting to add, modify and/or outfit common space, office 
or related space for ALF staff including a service coordinator and file 
security, and/or a central kitchen/dining facility to support the ALF 
function (e.g., outfit lounge/common space/dining furniture, kitchen 
equipment for cooking/serving and dishware).
    (3) Retrofitting to upgrade a regular unit to an accessible unit 
for a person/family with disabilities who is being displaced from an 
accessible unit in the portion of the project that is being converted 
to the ALF, where another accessible unit is not available.
    (4) Temporary relocation; (Not applicable to commercial property)
    (5) Consultant, architectural and legal fees, and,
    (6) Vacancy payments not more than 30 days after conversion to an 
ALF.
    (G) Ineligible Activities. You may not use funds available through 
this NOFA to:
    (1) Add additional dwelling units to the existing project; (Not 
Applicable to commercial property)
    (2) Pay the costs of any of the necessary direct supportive 
services needed to operate the ALF;
    (3) Purchase or lease additional land;
    (4) Rehabilitate (see definition at 24 CFR 891.105) the project for 
needs unrelated directly to the conversion of units and common space 
for assisted living;
    (5) Use the ALCP to reduce the number of accessible units in the 
project that are not part of the ALF; (Not applicable to commercial 
property);
    (6) Permanently relocate any resident out of the project; and,
    (7) Increase the management fee.

IV. Program Requirements

    Each applicant must comply with the following requirements:
    (A) Statutory, Regulatory,and Other Program Requirements. You must 
comply with all applicable statutory requirements to the projects 
specified in Section 202(b) and statutory requirements under Section 
232(b)(6). Please note that all ALCP projects must conform to the 500-
year flood plain limitation (See Section VII of this NOFA.) 
Construction of ALCP units is considered a ``critical action'' for 
purposes of the flood plain requirement.
    Excess Residual Receipts (over $500/unit) and Reserve for 
Replacement (R4R) funds (over $1000/unit) in Project Accounts that are 
not approved for another use at the time of application to HUD under 
this NOFA are considered available funds and must be applied towards 
the cost of conversion activities. Before making this determination, 
however, HUD staff will consider the extent of repair/replacement needs 
indicated in the most recent REAC physical inspection and not yet 
approved and any ongoing commitments such as non-grant-based service 
coordinator or other funding, where existing, deduct the estimated 
costs of such items from the R4R and residual receipts balances to 
determine the extent of available residual receipts and R4R funds for 
the ALCP. (This paragraph is not applicable to commercial properties.)
    If funded, you must also file a HUD Form-2530 for all construction 
contractors, architects, consultants, and service provider 
organizations under direct contract with you that will be engaged under 
this NOFA and comply with all State and local licensing, zoning and 
building code requirements.
    (B) Meals and Supportive Services. You must develop and submit a 
Supportive Services Plan (SSP) for the services and coordination of the 
supportive services which will be offered in the ALF to the appropriate 
State or local organization(s) which are expected to provide those 
supportive services. (See Section VI(B)(8) of this NOFA below, for the 
information which must be in the SSP.) You must submit one copy of your 
SSP to each appropriate State or local service funding organizations 
well in advance of the application deadline, for appropriate review. 
The State or local funding organization(s) must return the SSP to you 
with appropriate comments and indication of funding commitment, which 
you will then include with the application you submit to HUD.
    You must ALSO submit the SSP to the appropriate organization(s) 
which license ALFs in your jurisdiction. The licensing agency(ies) must 
approve your plan, and must also certify that the ALF and the proposed 
supportive services identified in your SSP, are consistent with local 
statute and regulations and well designed to serve the needs of the 
frail elderly and people with disabilities who will reside in the ALF 
portion of your project.
    Finally, you must also submit an agreement to pursue appropriate 
ALF licensing in a timely manner.
    (C) Minimum Size Limits for an ALF. An ALF must be economically 
feasible. Consistent with HUD Handbook 4600.1, CHG-1, the minimum size 
for an ALF is five units.
    (D) 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 12345]]

which provide economic opportunities to low and very low income persons 
and including people with disabilities.
    (E) Compliance with Fair Housing and Civil Rights Laws. 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 
the 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 of 
the Civil Rights Act of 1964, section 504 of the Rehabilitation Act of 
1973, or section 109 of the Housing and Community Development Act of 
1974, your application will not be evaluated under this NOFA if, the 
charge, lawsuit, or letter of findings has not been resolved to the 
satisfaction of the Department before the application deadline, 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.
    (F) Additional Nondiscrimination Requirements. As you will be 
converting some of your project to an ALF, you should note that 24 CFR 
891.120(b) requires you to meet all accessibility requirements. 
Additionally, you must comply with the section 504 regulations at 24 
CFR part 8, the Americans with Disabilities Act and the regulations at 
24 CFR part 36, as applicable.

V. Application Selection Process

    (A) Review for Curable Deficiencies. You should ensure that your 
application is complete before submitting it to HUD.
    HUD will screen all applications received by the deadline for 
curable deficiencies. With respect to correction of deficient 
applications, HUD may not, after the application due date and 
consistent with HUD's regulations in 24 CFR part 4, subpart B, consider 
any unsolicited information an applicant may want to provide. HUD may 
contact an applicant to clarify an item in the application or to 
correct technical deficiencies. Please note, however, that HUD may not 
seek clarification of items or responses that improve the substantive 
quality of a response to any selection factors. In order not to 
unreasonably exclude applications from being rated and ranked, HUD may 
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 failure to submit the 
proper certifications or failure to submit an application that contains 
an original signature by an authorized official. In each case, under 
this NOFA, the appropriate HUD Multifamily Hub Office will notify you 
in writing by describing the clarification or technical deficiency. You 
must submit clarifications or corrections of technical deficiencies in 
accordance with the information provided by the Hub Office 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 the deficiency is not 
corrected within this time period, HUD will reject the application as 
incomplete, and it will not be considered for funding. The following is 
a list of the deficiencies that will be considered curable in ALCP 
applications:

Exhibits

(1)(a) Application Summary Sheet
*(b) Articles of Incorporation, or certification of Articles of 
Incorporation
*(c) By-laws, or certification of by-laws
3--Evidence of occupancy for at least five years (Not applicable to 
commercial facilities)
5(c)--Original project plans
5(h)--Relocation (Not applicable to commercial property)
7--Evidence of Permissive Zoning
8(g)--Support Letters from Governmental Agencies that License ALFs
    (10) Certifications and Forms
(a) Standard Form 424, Application for Federal Assistance
(b) Standard Form 424D, Assurances Construction Programs
(c) Form HUD 424M, Federal Assistance Funding Matrix
(d) Form HUD-50070, Drug-free Workplace
(e) Form HUD-50071, Payments to Influence Federal Transactions and 
Standard Form-LLL, Disclosure of Lobbying Activities
(f) Form HUD 2880, Applicant/Recipient Disclosure/Update Report, 
including Social Security and Employment Identification numbers
(g) Form HUD-2992, Certification Regarding Debarment and Suspension,
(h) Form HUD-2991, Certification of Consistency with the Consolidated 
Plan (Plan), for the Jurisdiction in which the Proposed ALF will be 
located.
(i) 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.
(j) Certification of Residual Receipts Account
(k) Conflict of Interest Certification
(l) Certification for ALF
(m) Combined Certification

    The appropriate Hub Office will notify you in writing if your 
application is missing any of the exhibits listed above and you will be 
given 14 days from the date of receipt of the HUD notification to 
submit the information required to cure the noted deficiencies. The 
exhibits identified by an asterisk (*) must be dated on or before the 
application deadline date. If not so dated the application will be 
rejected.
    After the completeness review, HUD staff will review your 
application to determine whether the application meets the threshold 
requirements listed below. Only if your application meets all the 
threshold requirements is it eligible to be rated and ranked.
    (B) Threshold Review. In order to pass threshold, you must:
    (1) Be in compliance with all fair housing and civil rights laws, 
statutes, regulations, and executive orders as enumerated in 24 CFR 
5.105(a), and as noted earlier in this NOFA under Sections III(B)(2) 
and IV(E).
    (2) Be an eligible applicant.
    (3) Not request more funds than advertised.
    (4) Additionally, HUD will also reject your application if the SSP 
and/or commitment and support letter(s) from the appropriate funding 
organizations and the appropriate licensing agency(ies):
    (i) Are not submitted with your application;
    (ii) Indicate that the ALF units, facilities, meals and supportive 
services to be provided are not designed to meet the special needs of 
the residents who will reside in the ALF as defined in this NOFA,
    (iii) Do not show commitment for funding the meals and supportive 
services proposed; or
    (iv) Indicate that the project as proposed will not meet the 
licensing requirements of the appropriate State/local agency(ies).
    (C) Review Panels. The Office of Housing's Multifamily Hubs will 
establish panels to review all eligible applications that have passed 
threshold. The panels may include knowledgeable persons not currently 
employed by HUD.

[[Page 12346]]

    (D) Rating of Applications. (See paragraph below for selection of 
applications for commercial properties)
    HUD staff teams will review and rate ALCP applications in 
accordance with the Ranking and Selection procedures (see Section V(E) 
of this NOFA below). 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 selection 
factors in Section V(F) of this NOFA. HUD reserves the right to reduce 
the amount requested in the application if any proposed components are 
ineligible or if the cost of items is not deemed reasonable.
    HUD will NOT reject an ALCP application based on technical review 
without notifying you of that rejection with all the reasons for the 
rejection, and providing you an opportunity to appeal. As discussed 
above, you will have 14 calendar days from the date of HUD's written 
notice to appeal a technical rejection to the Multifamily Hub where the 
applications were sent originally. HUD staff will make a determination 
on an appeal before finalizing selection recommendations.
    (E) Ranking and Selection Procedures. ((E)(1)-(4) not applicable to 
applicants of commercial properties)
    Applications submitted in response to this NOFA that are eligible, 
pass threshold and have a total score of 70 points (or more) are 
eligible for ranking and selection. (Except applications for conversion 
of commercial properties with a score of at least 70 points will not be 
ranked but will be submitted to HUD Headquarters for selection.)
    (1) Hub staff teams will be established for ALCP review in each Hub 
to do the application ratings (see Section V(D) above). See list of 
Hubs in Appendix A of this NOFA.
    (2) From within this rank order, Hub staff teams in each of the 18 
Hubs will select the highest ranking applications from within that Hub 
in order, that can be funded from within the dollars available.
    (3) After making the initial selections, however, Hubs may use any 
residual funds to select the next rank-ordered application by reducing 
the dollars requested by no more than 10 percent (10%) and reducing the 
number of units proposed, but in no case reducing the number of units 
below the financial threshold feasibility of five ALF units.
    (4) Funds remaining after these processes are completed will be 
returned to HUD Headquarters. HUD will use these funds to restore units 
to any project reduced as a result of using the residual grant funds in 
a Hub. Secondly, HUD will use these funds for selecting one or more 
additional applications based on the Hubs rating and rankings, 
beginning with the highest rated application within the 18 Hubs. Only 
one application will be selected per Hub from the national residual 
amount. If there are no approvable applications in other Hubs, the 
process will begin again with the selection of the next highest rated 
application within the remaining Hubs. This process will continue until 
all approvable applications are selected using the available remaining 
funds. If there is a tie score between two or more applications, and 
there are insufficient residual funds to cover all tied applications, 
HUD Headquarters staff will choose the winning application(s) by 
lottery and/or reduction of grant requests consistent with the 
instructions above.
    (5) Up to 3 applications will be selected using the $7.5 million 
set-aside to provide grant funds to nonprofit applicants proposing to 
convert unused or underutilized commercial property into assisted 
living. HUD Multifamily Hubs will review applications for commercial 
properties for completeness and compliance with the eligibility 
criteria set forth in Section III of this NOFA. Hub staff will forward 
applications to Headquarters providing the application was received by 
the deadline date, meets all eligibility criteria, proposes reasonable 
costs for eligible activities, and includes all technical corrections 
by the designated deadline date. Headquarters will select no more than 
3 applications on a first-come, first-served basis that can be funded 
within the $7,500,000 available. Since applications are due from 
February 26, 2001, to June 21, 2001, selections may be announced and 
published in the Federal Register prior to June 21, 2001.

    Note: Only applications that can be fully funded will be 
selected. If an application that cannot be fully funded is selected, 
it will be discarded and another application selected until an 
applicant is selected that is within the available remaining funds. 
Any remaining funds after this selection process will be returned to 
the funds allocated for eligible multifamily assisted projects.

    (F) Factors For Award Used To Evaluate and Rate Applications. HUD 
will rate ALCP applications that successfully complete technical 
processing using the Rating Factors set forth below and in accordance 
with the application submission requirements identified in Section 
VI(B) of this NOFA, below. The maximum number of points an application 
may receive under this program is 100.

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

    This factor addresses your capacity to carry out the conversion in 
a timely, cost-conscious and effective manner. It also reviews your 
experience with the supportive services which the ALF intends to 
provide to elderly residents, especially in such areas as meals, 24-
hour staffing and on-site health care. Submit information responding to 
this factor in accordance with Application Submission Requirements in 
Section VI(B)(5)(a), (8)(h), and (2)(d) of this NOFA.
    In rating this factor, HUD will consider the extent to which your 
application demonstrates your ability to carry out a successful 
conversion of the project and to implement the plan to deliver the 
supportive services on a-long term basis, considering the following:
    (1) (7 points) The practicality of your plan and timetable to carry 
out the physical conversion of the development to the ALF.
    (2) (8 points) Your past experience in providing or arranging for 
supportive services either on or off site for those who are frail. (If 
you are applying to convert an unused or underutilized commercial 
facility to assisted living and you do not own or operate a project 
with frail elderly residents, you must provide information on any past 
experience in providing or arranging supportive services for those who 
are frail.) Examples are: Meals delivered to apartment of resident or 
in a congregate setting (1 point), arranging for or providing personal 
care (2 points), providing 24-hour staffing (1 point), providing or 
making available on-site preventive health care (2 points) and other 
support services (1 point).

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

    This factor addresses the extent to which the conversion is needed 
by the categories of elderly persons and persons with disabilities that 
the ALF is intended to serve (very low income elderly persons and 
people with disabilities who have limitations in three or more 
activities of daily living). The application must provide evidence of 
current needs among project residents (not applicable to applications 
proposing to convert unused or underutilized commercial facilities) and 
needs of potential residents in the housing market area for such 
persons including economic and demographic information on very-low 
income frail

[[Page 12347]]

elderly and people with disabilities and information on current 
assisted living resources in the market area.
    The factor also addresses your inability to fund the repairs or 
conversion activities from existing financial resources. In making this 
determination, HUD will consider project financial information or the 
organization's financial information for unused or underutilized 
commercial facilities. The Department will also review more favorably 
those applications which establish a connection between the proposed 
ALF 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. Submit 
information responding to this factor in accordance with Application 
Submission Requirements in Section VI(B)(4)(a) through (d), (2)(c) and 
(9)(a) through (c) of the NOFA. In evaluating this factor, HUD will 
consider:
    (1) (10 points) The need for assisted living among the elderly and 
disabled residents of the project taking into consideration those 
currently in need and the depth of future needs given aging in place. 
(Not applicable to applications to convert unused or underutilized 
commercial facilities to assisted living).
    (2) (5 points (15 points for applications to convert unused or 
underutilized commercial facilities to assisted living.)) The need for 
assisted living among very-low income elderly persons and people with 
disabilities in the housing market area.
    (3) (10 points) Insufficient funding for any needed conversion 
work, as evidenced by the project's financial statements and 
specifically the lack of excess reserve for replacement dollars (R4R) 
and residual receipts. If the available R4R and residual receipts are 
less than 10% of the total funds needed--10 points; if the available 
R4R and residual receipts are 10-50% of need = 5 points; and, if the 
available R4R and residual receipts are 51% or more of the total funds 
of needed = 0 points). For commercial properties, if the available 
working capital exceeds 10 percent of the total conversion = 5 points; 
if the working capital is less than 10 percent of the total conversion 
= 10 points.

Rating Factor 3: Soundness of Approach (25 Points)

    This factor addresses the quality and effectiveness of your 
proposal in addressing the proposed conversion, effectiveness of 
service coordination and management planning and the meals and 
supportive services which the ALF intends to provide. There must be a 
relationship between the proposed activities, the project's and 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 Section VI(B)(5)(b) through (e) and (h) and (7) and 
(B)(8))(a) through (e) and (g) and (h) of this NOFA.
    In evaluating this factor, HUD will consider the following:
    (1) (7 points) The extent to which the proposed ALF design will 
meet the special physical needs of frail elderly persons or persons 
with disabilities expected to be served at reasonable cost (consider 
the ALF design: meets needs = 7 points; ALF design partially meets 
needs = 3 points; and ALF design does not meet needs = 0 points).
    (2) (7 points) The extent to which the ALF's proposed management 
and operational plan ensures that the provision of both meals and 
supportive services planned will be accomplished over time. (Consider 
ALF design/management plan: meets needs of management operations = 7 
points; ALF design/management plan partially meets needs of management 
operations = 3 points; and ALF design/management plan does not meet 
needs of management operations = 0 points.)
    (3) (5 points) The extent to which the proposed supportive services 
meet the anticipated needs of the frail elderly and disabled residents 
(consider Yes = 5 points; partially meets needs = 3 points; and, does 
not meet needs = 0 points); and
    (4) (5 points) The extent to which the service coordination 
function is addressed and explained as onsite and sufficient, onsite 
and augmented or new, and addresses the ongoing procurement of needed 
services for the residents of the ALF (does meet = 5 points, partially 
meets = 3 points, does not meet = 0 points).
    (5) (1 point) The extent to which there is an operating philosophy 
which promotes the autonomy and independence of the frail elderly 
persons it is intended to serve (is fully addressed = 1 point, no or 
not addressed = 0 points).

Rating Factor 4: Leveraging Resources (30 Points)

    This factor addresses your ability to secure other community 
resources which can be combined with HUD's grant funds to achieve 
program purposes. For the ALCP to succeed, you MUST generate local 
funding for the necessary supportive services to operate the ALF. HUD 
also encourages local funding for some of necessary conversion work, or 
other work needed in the project (e.g., general modernization) which is 
NOT specifically linked to the ALF).
    Submit information responding to this factor in accordance with 
Application Submission Requirements in Section VI(B)(5)(f), (g), and 
(B)(8)(f) of this NOFA.
    (1) (25 points) The extent to which there are commitments for the 
funding needed for the meals and the supportive services planned for 
the ALF and that the total cost of the estimated budget of the ALF is 
covered. Consider 90% or more commitment for the total budget with no 
more than 10% general support = 25 points; 80-89.9% or more commitment 
for the total budget with no more than 20% general support = 17 points; 
65-79.9% firm commitment with no more than 35% general support = 12 
points; 40-64.9% firm commitment for the total budget with no more than 
60% general commitment = 7 points; less than 40% firm commitment for 
the total budget with no more than 60% general support = 0 points.
    (2) (3 points) The extent of local organizations' support which is 
firmly committed to providing at least 50 percent of the total cost of 
ALF conversion (consider 50% or more = 3 points, 20-49.9% = 2 points, 
and under 20% = 0 points).
    (3) (2 points) The extent of local organizational support which is 
firmly committed to providing funds for additional repair or retrofit 
necessary for the project NOT specifically directed to activities 
eligible under this NOFA (consider yes = 2 points, no = 0 points).

Rating Factor 5: Comprehensiveness and Coordination (5 Points)

    This factor addresses the extent to which you have evidenced 
general support for conversion by participating in your community's 
Consolidated Planning Process, involving the residents in the planning 
(not applicable to applications proposing to convert unused or 
underutilized commercial facilities) and are working toward addressing 
the 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 
Section VI(B)(2)(a) through (d) of this NOFA.
    (1) (3 points) The involvement of project residents (including 
minority residents) or their representatives, in the

[[Page 12348]]

development of the ALCP application, and your intent to involve 
residents, in the development and operation of the project and in 
relocation planning (Minus one (-1) point if not addressed); (If you 
are applying to convert an unused or underutilized commercial facility 
to assisted living, provide information on the involvement of elderly 
persons in the development of the ALCP application, and your intent to 
involve residents, in the development and operation of the project.)
    (2) (1 point) 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 your community's Consolidated 
Planning/AI processes to identify and address a need/problem that is 
related in whole or part, directly or indirectly to the proposed 
project;
    (3) (1 point) The extent to which you developed linkages with the 
community at large and the elderly and minority communities in 
particular and with other activities, programs or projects related to 
the proposed project to coordinate your activities so solutions are 
holistic and comprehensive.

VI. Application Submission Requirements

    (A) Application--General. Your application must include all of the 
information, materials, forms, and exhibits listed in Section VI(B). In 
cases where your (i) articles of incorporation and (ii) by-laws have 
NOT changed since the project was originally approved by HUD, self-
certification to that effect--that the documents on file with HUD are 
current--is sufficient. Items in Section VI(B) for which self-
certification of currency is possible are denoted by a ``**''.
    In addition to the relief of paperwork burden in preparing 
applications, you will not have to submit certain new/recent 
information and exhibits you have previously prepared. See individual 
item descriptions, below to identify such items. An example of such an 
item may be the FY 2000 Annual Financial Statement.
    (B) General Application Requirements.
    (1) Application Summary for the Assisted Living Conversion Program 
and Evidence that you are a private non-profit organization or 
nonprofit consumer cooperative and have the legal ability to operate an 
ALF program, per the following:
    (a) Articles of Incorporation, constitution, or other 
organizational documents, or self-certification of these documents, if 
there has been no change in the Articles since they were originally 
filed with HUD;**
    (b) By-laws, (for non-profits) or self-certification of by-laws, if 
there has been no change in the by-laws since they were originally 
filed with HUD;**
    (2) A description of your community ties and established linkages.
    (a) A description of your links to the community at large and to 
the minority and elderly communities in particular; and
    (b) A description of your efforts to involve elderly persons, 
including minority elderly persons and persons with disabilities in:
    (i) The development of the application,
    (ii) The development of the ALF operating philosophy,
    (iii) Review of the application prior to submission to HUD; and
    (iv) Your intent to involve elderly persons in the operation of the 
project or not.
    Also, demonstrate that you made the application available to the 
residents of the project (in their language(s)) AND requested and 
considered comments from them (in their language(s)). Applicants of 
converted commercial facilities should indicate that the application 
will be made available to the residents of the project in their 
language(s) and will request and consider comments from them in their 
language(s).
    (c) A description of your involvement in your community's 
Consolidated Planning and Analysis of Impediments to Fair Housing (AI) 
processes including:
    (i) An identification of the lead/facilitating agency(ies) that 
organizes/administers the processes;
    (ii) A listing of the Consolidated Plan/AI issue areas in which you 
participate;
    (iii) The level of your participation in the processes, 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 and AI 
processes. (Consult the local HUD Office for the identification of the 
Consolidated Plan community process for the appropriate area.)
    (d) A description of the linkages that you have developed 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.
    (3) Evidence of your project being in occupancy for at least five 
years as of the date of application to HUD. (Not applicable to 
commercial facilities)
    (4) A market analysis of the need for the proposed ALF units, 
including information from both the project and the housing market, 
containing:
    (a) Evidence of need for the ALF by current project residents: (Not 
applicable to commercial facilities)
    (i) A description of the demographic characteristics of the elderly 
residents currently living in the project, including the current number 
of residents, distribution of residents by age and sex, an estimate of 
the number of residents with frailties/limitations in activities of 
daily living and an estimate of the number of residents in need of 
assisted living services. (Not applicable to commercial facilities)
    (ii) A description of the services which are currently available to 
the residents and/or provided on or off-site and what services are 
lacking; (Not applicable to commercial facilities)
    (b) Evidence of the need for ALF units by very low income elderly 
and disabled households in the market area; a description of the trend 
in elderly and disabled population and household change; data on the 
demographic characteristics of the very low income elderly in need of 
assisted living services (age, race, sex, household size and tenure) 
and extent of residents with frailty/limitations in existed federally-
assisted housing for the elderly (HUD and Rural Housing Service): and 
an estimate of the very low income elderly and disabled in need of 
assisted living taking into consideration any available State or local 
data.
    (c) A description of the extent, types and availability and cost of 
alternate care and services locally, such as: home health care, adult 
day care, housekeeping services, meals programs, visiting nurses, on-
call transportation services, health care and providers of supportive 
services who address the needs of the local low income population.
    (d) A description of how information in the community's Analysis of 
Impediments to Fair Housing Choice was used in documenting the need for 
the ALF (covering items in Section VI(B)(4)(a) and (b) of this NOFA).
    (5) A description of the physical ALF conversion, including the 
following:
    (a) How you propose to carry out the physical conversion (including 
a timetable and relocation planning).
    (b) A short narrative stating the number of units, special design 
features, community and office space/storage, dining and kitchen 
facility and staff

[[Page 12349]]

space and the physical relationship to the rest of the project. Also, 
you must describe how this design will facilitate the delivery of 
services in an economical fashion and accommodate the changing needs of 
the residents over at least the next 10 years.
    (c) A copy of the original plans for all units and other areas of 
the development which will be included in the conversion. (If you are 
applying to convert an unused or underutilized commercial facility to 
assisted living, provide a copy of the original plans of the facility).
    (d) A description of the conversion must clearly address the 
following accessibility issues: All door openings must have a minimum 
clear opening of 32"; and, all bathrooms and kitchens must be 
accessible to and functional for persons in wheelchairs, according to 
the ``Uniform Federal Accessibility Standards.''
    (e) Architectural sketches of the conversion to a scale of \1/4\ 
inch to one foot (\1/4\" = 1'-0") that indicate the following:
    (i) All doors being widened;
    (ii) Typical kitchen and bathroom reconfiguration: show all 
wheelchair clearances, wall reinforcing, grab bars and elevations of 
counters and work surfaces;
    (iii) Bedroom/living/dining area modification, if needed;
    (iv) Any reconfigured common space;
    (v) Added/reconfigured office and storage space;
    (vi) Monitoring stations, and
    (vii) The kitchen and dining facility.
    All architectural modifications must meet section 504 and ADA 
requirements as appropriate.
    (f) A budget showing at least estimated costs for materials, 
supplies, fixtures and labor for each of the items listed in Section 
VI(B)(5)(e), items i through vii, above.
    (g) Include firm commitment letters with specific dollar amounts 
from appropriate organization(s) for conversion needs (within the scope 
of the ALF conversion NOFA) which will be supported by non-HUD funding.
    (h) A description of any relocation of current tenants including a 
statement that: (Not applicable to commercial property applicants)
    (i) Indicates the estimated cost of temporary relocation payments 
and other related services.
    (ii) Identifies the staff organization that will carry out the 
relocation activities; and
    (iii) Identifies all tenants that will have to be temporarily moved 
to another unit within the development OR from the development during 
the period that the physical conversion of the project is under way.

    Note: If any of the relocation costs will be funded from sources 
other than the ALCP grant, 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 conversion, 
temporary relocation, service coordinator and other project costs).

    (6) A description of any retrofit or renovation which will be done 
at the project (with third party funds) that is separate and distinct 
from the ALF conversion. With such description, attach firm commitment 
letters from third party organizations in specific dollar amounts which 
will cover the cost of any work outside the scope of this NOFA.
    (7) Evidence of permissive zoning, showing that the modifications 
to include the ALF into the project as proposed are 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 within six months of the date of grant award by HUD. 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.);
    (8) A supportive services plan (SSP), a copy of which must be 
submitted to the appropriate state and/or local agency as instructed in 
Section IV(B) of this NOFA. For those applicants needing to contact 
state Medicaid offices, a list is provided on the Internet at 
``www.hcfa.gov/medicaid/scon1.htm''. The fifth character from the end 
is the numeral ``1'', not the letter ``l''. The SSP must include:
    (a) A description of the supportive services needed for the frail 
elderly the ALF is expected to serve. This must include at least (i) 
meals and such other supportive services required locally or by the 
State, and (ii) such optional services or care to be offered on an ``as 
needed'' basis.
    Examples of both mandatory and optional services (which will vary 
from state to state) are: two meals and two snacks or three meals 
daily; 24-hour protective oversight; personal care; housekeeping 
services; personal counseling and transportation.
    (b) A description of how you will provide the supportive services 
to those who are frail and have disabilities (i.e., on or off-site or 
combination of on or off-site), including an explanation of how the 
service coordination role will facilitate the adequate provision of 
such services to ALF residents, and how the services will meet the 
identified needs of the residents. Also indicate how you intend to fund 
the service coordinator role.
    (c) A description of how the operation of your ALF will work. 
Address (i) general operating procedures, (ii) ALF philosophy and how 
it will promote the autonomy and independence of the frail elderly and 
persons with disabilities, (iii) what will the service coordination 
function will do and the extent to which this function already exists, 
or will be augmented or new, (iv) ALF staff training plans, and (v) the 
degree to which and how the ALF will relate to the day-to-day 
operations of the rest of the project.
    (d) The monthly individual rate for board and supportive services 
for the ALF listing the total fee and components of the total fee for 
the items required by State or local licensing AND list the appropriate 
rate for any optional services you plan to offer to the ALF residents. 
Provide an estimate of the total annual costs of the required board and 
supportive services you expect to provide and an estimate of the amount 
of optional services you expect to provide.
    (e) List who will pay for the board and supportive services, e.g., 
$____for meals by sponsor, $____ for housekeeping services by city 
government; $____ for personal care by State Department of Health; 
$____ for ____ by state ____ program; $____ in fees by tenants; and, 
$____ by____.
    The amounts and commitments from both tenants and/or providers must 
equal the estimated amounts necessary to cover the monthly rates for 
the number of people expected to be served. If you include tenant fees 
in the proposal, list and show any proposed scaling mechanism. All 
amounts committed/collected must equal the annualized cost of the 
monthly rates calculated by the expected percentage of units filled.
    (f) A support/commitment letter from EACH listed proposed funding 
source per paragraph (e), above, for the planned meals and supportive 
services listed in the application. The letter must cover the total 
planned annual commitment (and multiyear amount total, if different), 
length of time for the commitment, and the amounts payable for each 
service covered by the provider/paying organization. There must be a 
letter from EACH participating organization listed in Section 
VI(B)(8)(e) of this NOFA, above.

[[Page 12350]]

    (g) A support letter from EACH governmental agency(ies) which 
provides licensing for ALFs in that jurisdiction.
    (h) A description of your relevant experience in arranging for and/
or delivering supportive services to frail residents. (If you are 
applying to convert an unused to underutilized commercial facility to 
assisted living, provide information on your relevant experience in 
arranging for and/or delivering supportive services to frail elderly 
persons). The description should include any supportive services 
facilities owned/operated; your past or current involvement in any 
project-based programs that demonstrates your management capabilities. 
The description should include data on the facilities and specific 
meals and/or supportive services provided on a regular basis, the 
racial/ethnic composition of the populations served, if available, and 
information and testimonials from residents or community leaders on the 
quality of the services.

    Note: If a funds request for service coordination for the ALF 
and/or the whole project is included as part of this application, 
the Form HUD-424M, indicating the dollars requested must be attached 
as Exhibit 10(c). Do NOT attach the whole service coordinator 
application.

    (9) A description of your project's resources: (Not applicable to 
applicants of commercial property--(9)(a)-(b))
    (a) A copy of the most recent project Repair and Replacement (R4R) 
account statement, and an R4R analysis showing plans for its use over 
the next five years, and any approvals received from the HUD field 
office to date
    (b) A copy of the most recent Residual Receipts Account statement. 
Indicate any approvals for the use of such receipts from the field 
office for over $500/unit.
    (c) Annual Financial Statement (AFS). If your FY 2001 AFS was due 
to REAC more than 120 days BEFORE the due date June 21, 2001 for this 
application, in the interest of reducing work burden, only include the 
date that it was sent to REAC. If the AFS was due to REAC 120 days or 
less from the due date (June 21, 2001) of this application, you MUST 
include a paper copy. For commercial properties, the most recent 
financial statement or annual report.
    (10) Forms, Certifications and Resolutions. The following exhibits, 
forms, certifications and assurances are required:
    (a) Standard Form 424, Application for Federal Assistance and 
indication of whether you are delinquent on any federal debt.
    (b) Standard Form 424D, Assurances, Construction Programs 
    (c) Form HUD-424M, Federal Assistance Funding Matrix. 
    (d) Form HUD-50070, Drug-free Workplace. Certification to provide a 
drug-free workplace.
    (e) Form HUD-50071, Payments to Influence Federal Transactions 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 these activities, if applicable.
    (f) Form HUD-2880, Applicant/Recipient Disclosure/Update Report, 
including Social Security and Employment Identification numbers. A 
disclosure of assistance from other government sources received in 
connection with the project.
    (g) Certification Regarding Debarment and Suspension (HUD-2992) (24 
CFR 24.510). 
    (h) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan), for the jurisdiction in which the proposed 
ALF 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 herein. The Plan regulations are published in 24 CFR part 91.
    (i) 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.
    (j) Certification of Residual Receipts Account. If you do not have 
an existing residual receipts account you must agree to set up one as 
soon as there is surplus cash available, as a condition of getting this 
grant award.
    (k) A certified Board Resolution that no officer or director of the 
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.
    (l) Certification for ALF. Certification that you agree to apply 
for an ALF license with due diligence and in a timely fashion (and that 
the conversion will NOT be a nursing home or an Intermediate Care 
facility).
    (m) Owner's Combined Certifications. 
    (i) 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, and other certifications listed in the 
application.
    (ii) Certification of Compliance with section 232 of the National 
Housing Act, as applicable, 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 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 for all portions of the development physically 
affected by this proposal;
    (iii) Davis-Bacon. Certification of compliance with the Davis-Bacon 
requirements and the Contract Work Hours and Safety Standards Act as 
applied to this program. While it has been determined that Davis-Bacon 
does not apply statutorily to the ALCP, the Department has 
administratively determined that Davis-Bacon standards and overtime 
rates in accordance with the Contract Work Hours and Safety Standards 
Act will be adhered to in any ALCP conversion grant in which the total 
cost of the physical conversion to an ALF (and including any additional 
renovation work undertaken at the same time) is $500,000 or more (this 
includes ALCP grant funds, owner funds, or any third party funds loaned 
or granted in support of the conversion or other renovation for the 
project associated with this grant), AND in which the ALF portion of 
the project is 12 units or more.

VII. Environmental Requirements

    Your ALCP application is subject to the National Environmental 
Policy Act

[[Page 12351]]

of 1969 and applicable related Federal environmental authorities. (See 
24 CFR part 50, as applicable.) An environmental review will be 
completed by HUD before the award of any grant under this program. 
Pursuant to 24 CFR Part 55, ALCP projects are critical actions for 
purposes of floodplain management review.

VIII. Authority

    The Assisted Living Conversion Program is authorized by Title V, 
section 522 of the FY 2000 Departments of Veteran's Affairs, HUD and 
Independent Agencies Appropriations Act, 2000 (12 U.S.C. 1701q-2).

Appendix A.--HUD Field Office List for Mailing Assisted Living 
Conversion Program Applications

HUD--Boston Hub

Boston Office

Room 301, Thomas P. O'Neill, Jr. Federal Building, 10 Causeway 
Street, Boston, MA 02222-1092, (617) 565-5234, TTY Number: (617) 
565-5453

HUD--New York Hub

New York Office

26 Federal Plaza--32nd Floor, 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

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

HUD--Greensboro Hub

Greensboro Office

Koger Building, 2306 West Meadowview Road, Greensboro, NC 27407-
3707, (336) 547-4000, TTY Number: (336) 547-4055

HUD--Atlanta Hub

Atlanta Office

40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-2806, (404) 
331-5001, TTY Number: (404) 730-2654

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

HUD--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

HUD--Detroit Hub

Detroit Office

Patrick V. McNamara Federal Building, 477 Michigan Avenue--17th 
Floor, Detroit, MI 48226-2592, (313) 226-7900, TTY Number: (313) 
226-6899

HUD--Columbus Hub

Columbus Office

200 North High Street, 7th Floor, Columbus, OH 43215-2499, (614) 
469-5737, TTY Number: (614) 469-6694

HUD--Minneapolis Hub

Minneapolis Office

220 Second Street, South, Minneapolis, MN 55401-2195, (612) 370-
3000, TTY Number: (612) 370-3186

HUD--Ft. Worth Hub

Ft. Worth Office

801 N. Cherry Street, P.O. Box 2905, Fort Worth, TX 76113-2905, 
(817) 978-9000, TTY Number: (817) 978-9273

HUD--Kansas City Hub

Kansas City Office

Room 200, Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-
2406, (913) 551-5462, TTY Number: (913) 551-6972

HUD--Denver Hub

Denver Office

633 17th Street, Denver, CO 80202-3607, (303) 672-5440, TTY Number: 
(303) 672-5248

HUD--San Francisco Hub

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

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

Seattle Office

Seattle Federal Office Building, 909 1st Avenue, Suite 200, Seattle, 
WA 98104-1000, (206) 220-5101, TTY Number: (206) 220-5185

    Note: The first line of the mailing address for all offices is 
the U.S. Department of Housing and Urban Development. Telephone 
numbers listed are not toll free.

Appendix B

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 12352]]

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, 40 Marietta Street--Five Points Plaza, Atlanta, GA 30303-3388 
2806, (404) 331-5136 5001, 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

HUD--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

    Note: The first line of the mailing address for all offices is 
the U. S. Department of Housing and Urban Development. Telephone 
numbers listed are not toll free.

Appendix C

    The non-standard forms required for the ALCP application.
BILLING CODE 4210-32-P

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  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
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[[Page 12363]]

FUNDING AVAILABILITY FOR SERVICE COORDINATORS IN MULTIFAMILY 
HOUSING

Program Overview

    Purpose of the Program. The purpose of this Service Coordinator 
program is to allow multifamily housing owners to assist elderly 
individuals and people with disabilities living in HUD-assisted housing 
and in the surrounding area to obtain needed supportive services from 
the community, in order to enable them to continue living as 
independently as possible in their own homes.
    Available Funds. Approximately $24.2 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. See Section III for more detailed eligibility criteria.
    Application Deadline: June 21, 2001.
    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 21, 2001 
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).
    Addresses 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. You should not submit any copies of your application to 
HUD Headquarters.
    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 the 
Multifamily Housing Service Coordinator Program 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/grants.
    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 Multifamily Housing Resident Initiatives Specialist or 
Service Coordinator contact person in your local Office. If you are an 
owner of a Section 515 development, contact the Multifamily HUB or 
Multifamily Program Center in the HUD Field Office that normally 
provides asset management to that development. If you have a question 
that the Field staff are unable to answer, please call Carissa Janis, 
Housing Project Manager, Office of Housing Assistance and Grants 
Administration, Department of Housing and Urban Development, 451 
Seventh Street, SW, Room 6146, Washington, DC 20410; (202) 708-2866, 
extension 2487. (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/grants.

II. Amount Allocated

    (A) Available Funding. This NOFA makes available approximately $ 
24.2 million in Fiscal Year (FY) 2001 funding from the $50 million 
provided in the Housing for Special Populations account in the 
Departments of Veterans Affairs and Housing and Urban Development, and 
Independent Agencies Appropriations Act, 2001 (Pub.L. 106-377, 114 
Stat. 1441, approved October 27, 2000).
    The amount of available funds has decreased from last year, due to 
an additional funding action required to correct a HUD error in 
processing FY 2000 applications. Ten eligible applications submitted to 
the Denver Multifamily Hub Office were not included in HUD 
Headquarters' final database of FY 2000 eligible applications. Had they 
been correctly included, they would have been selected to receive an 
award. To correct this error, HUD will fund the following ten 
applications from the current allocation, prior to making new awards:

----------------------------------------------------------------------------------------------------------------
              Recipient name                     Development name               City, State           Grant amt.
----------------------------------------------------------------------------------------------------------------
The Salvation Army, a California           The Salvation Army           Denver, CO.................      $56,427
 Corporation.                               Westminster.
                                           Adams Silvercrest..........
Redi Corporation.........................  Redi II-V..................  Denver, CO.................      113,709
Sage Tower Retirement Apartments.........  Sage Tower Retirement        Billings, MT...............       43,566
                                            Apartments.
Skyline Lodge, Inc.......................  Skyline Lodge..............  Choteau , MT...............       62,603
Missoula Manor Homes.....................  Missoula Manor Homes.......  Missoula, MT...............      103,055
Denver Metro Village, Inc................  Metro Manor................  Denver, CO.................      146,430
Martha's Terrace Housing Corporation.....  Martha's Terrace Apartments  Magna, UT..................       39,262
Multi-Ethnic East Housing Corporation....  Preston Place..............  Salt Lake City, UT.........       72,914
Multi-Ethnic East Housing Corporation....  Multi-Ethnic Senior Citizen  Salt Lake City, UT.........      112,175
                                            Housing.
Converse County Senior Housing, Inc......  Payne Plaza................  Douglas , WY...............       44,308
                                                                                                    ------------
    Total................................  ...........................  ...........................      794,449
----------------------------------------------------------------------------------------------------------------

    HUD will use the remaining $25 million appropriated this year to 
provide one-year extensions to expiring Service Coordinator and 
Congregate Housing Services Program grants.
    HUD will first fund Service Coordinator costs in applications 
selected to receive an Assisted Living Conversion Program (ALCP) grant 
award. The Department estimates that approximately $5 million will be 
needed to fund these programs. The actual amount will be based upon 
demand and the number of applications that meet threshold criteria in 
both the ALCP and Service Coordinator programs. HUD will set-aside the

[[Page 12364]]

requested amount of ALCP/Service Coordinator funds prior to conducting 
the national lottery. Any funds not used for ALCP Service Coordinator 
programs will revert to the lottery to fund all other eligible 
applications submitted under this NOFA.
    In FY 2000, HUD awarded 259 grants for a total of $28,374,263. 
Three of the 259 grants were awarded to ALCP grant recipients, for a 
total of $504,931.
    (B) Maximum Grant Award. There is no maximum grant amount. The 
grant amount you request must be consistent with the staffing 
guidelines provided in the application kit and your proposed salary 
must be supported by evidence of comparable salaries in your area.
    (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.
    (D) Alternative Funding for Service Coordinators. Owners may 
request processing under Housing's Management Agent Handbook 4381.5, 
REVISION-2, CHANGE-2, Chapter 8. This Handbook provides procedures for 
requesting funding for a coordinator using residual receipts, the 
budget-based rent increase process, contract rents adjusted by the 
Annual Adjustment Factor (AAF) or the Project Rental Assistance 
Contract (PRAC). Section 8 approvals must be consistent with current 
policy. Your local HUD Field Office staff may approve budget-based 
funding for a Service Coordinator at any time, as long as available 
funds in your budget allow for this increase. You are not required to 
apply for these grant funds prior to seeking budget-based funding for a 
Service Coordinator.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. The Service Coordinator Program provides 
funding for the employment and support of service coordinators in 
insured and assisted housing developments that are designed for the 
elderly and persons with disabilities and continue to operate as such. 
Service coordinators help residents obtain supportive services from the 
community that are needed to enable independent living and aging in 
place.
    A service coordinator is a social service staff person hired or 
contracted by the development's owner or management company. 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. All services 
should meet the specific desires and needs of the residents themselves. 
The service coordinator may not require any elderly individual or 
person with a disability to accept any specific supportive service(s).
    You may want to review the Management Agent Handbook 4381.5 
REVISION-2, CHANGE-2, Chapter 8 for further guidance on service 
coordinators. This Handbook is accessible through HUDCLIPS on HUD's web 
site at http://www.hudclips.org. The Handbook is in the Handbooks and 
Notices--Housing Notices database. Enter the Handbook number in the 
``Document Number'' field to retrieve the Handbook.
    As was the case in FY 2000, there is no minimum unit number for 
eligible developments. In proposing a Service Coordinator program at a 
small development, however, you must be careful to conform to the 
hiring guidelines provided in the application kit. Funding is also 
allowed to augment current Service Coordinator programs and to continue 
programs in cases where current or previous funding sources are no 
longer available. Please refer to Sections III.D and III.F, below.
    The American Homeownership and Economic Opportunity Act of 2000 
(signed December 27, 2000) expanded the scope of the Service 
Coordinator program. This Act now allows owners of eligible 
developments to provide service coordination to low-income elderly or 
disabled families living in the vicinity of the development. You have 
the option to serve such community residents as a part of your proposed 
program to provide coordination to current residents of an eligible 
development. The objective of this expanded authority is to help 
additional low-income elderly and disabled individuals age in place and 
live independently as long as possible in their current homes. Any 
reference in this program NOFA or in the application kit to elderly or 
disabled residents of a development shall be construed to include low-
income elderly or disabled families living in the vicinity of such a 
development.
    (B) Eligible Applicants and Developments
    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) Section 202 and 202/8,
    (b) Existing Section 8 project-based and moderate rehabilitation 
developments (including Rural Housing Service (RHS) Section 515/8 and 
Section 221(d)(4)),
    (c) Section 221(d)(3) below-market interest rate, and 236 
developments that are insured or assisted.
    (2) Additionally, developments listed in paragraphs 1 (a), (b), and 
(c) are eligible only if they meet the following criteria:
    (a) Have frail or at-risk elderly residents and/or non-elderly 
residents with disabilities who together total at least 25 percent of 
the building's residents.
    (b) Are designed for the elderly or persons with disabilities and 
continue to operate as such. This includes any building within a mixed-
use development that was designed for occupancy by elderly persons or 
persons with disabilities at its inception and continues to operate as 
such, or consistent with title VI, subtitle D of the Housing and 
Community Development Act of 1992. If not so designed, a development in 
which the owner gives preferences in tenant selection (with HUD 
approval) to eligible elderly persons or persons with disabilities, for 
all units in that development.
    (c) You have completed Final Closing on the development.
    (d) Are current in mortgage payments or are current under a workout 
agreement.
    (e) 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.
    (f) Are in compliance with their regulatory agreement, HAP 
Contract, and other outstanding directives.
    (g) Section 202 developments must have a residual receipts account 
separate from the Repair and Replacement account, or agree to establish 
this account. This requirement does not apply to Sections 8, 221(d)(3) 
below-market interest rate, or 236 developments.
    (h) Owners using the AAF rent increase process or who are profit-
motivated must provide certification that rental and other income from 
the

[[Page 12365]]

development are insufficient to pay for a service coordinator.
    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) If you are applying for an Assisted Living Conversion Program 
(ALCP) grant, you may apply for new or augmented Service Coordinator 
costs to serve Assisted Living residents and/or all residents of your 
development.
    (C) Ineligible Applicants and Developments. (1) Property management 
companies, area agencies on aging, and other like organizations are not 
eligible applicants for Service Coordinator funds. Such agents may 
prepare applications and sign application documents if they provide 
written authorization from the owner corporation as part of the 
application. In such cases, the owner corporation must be indicated on 
all forms and documents as the funding recipient.
    (2) Developments not designed for the elderly or disabled or those 
no longer operating as such.
    (3) Section 221(d)(4) developments without project-based Section 8 
assistance.
    (4) Section 202/811 developments with a PRAC. Owners of Section 202 
PRAC developments may obtain funding by requesting an increase in their 
PRAC payment consistent with Handbook 4381.5 REVISION-2, CHANGE-2, 
Chapter 8.
    The American Homeownership and Economic Opportunity Act of 2000 
provides authority for Section 202 PRACs to receive Service Coordinator 
grants as described in this program NOFA and separate from their PRAC 
funding. However, PRAC funds are a readily accessible funding source 
for Service Coordinators in Section 202 PRAC developments. Including 
the Service Coordinator in the PRAC development's operating budget also 
provides a more stable and permanent source of funding. For these 
reasons, the Department has chosen to limit funding available through 
this program NOFA to those eligible housing developments (listed in 
section III.B(1) of this NOFA) that do not have a readily available 
source of funding for this position.
    There is no statutory authority for service coordinators in Section 
811 developments.
    (D) Eligible Activities. (1) Service Coordinator Program grant 
funds may be used to pay for the salary, fringe benefits, and related 
administrative costs of employing a service coordinator. Administrative 
costs may include, but are not limited to, purchase of furniture, 
office equipment and supplies, computer hardware and software, Internet 
service, training, quality assurance, travel, and utilities.
    (2) You may use funds to augment a current Service Coordinator 
program, by increasing the hours of a currently employed Service 
Coordinator, or hiring an additional Service Coordinator or aide on a 
part-or full-time basis.
    (3) You may use funds to continue a Service Coordinator program 
that has previously been funded through other sources. In your 
application, you must provide evidence that this funding source has 
already ended or will discontinue within six months following the 
application deadline date and that no other funding mechanism is 
available to continue the program. This applies only to funding sources 
other than the subsidy awards provided by the Department through 
program Notices beginning in FY 1992. HUD currently provides one-year 
extensions to these subsidy awards through a separate funding action.
    (4) You may propose reasonable costs associated with setting up a 
confidential office space for the Service Coordinator. Such expenses 
must be one-time only administrative start-up costs. Such costs may 
involve acquisition, leasing, rehabilitation, or conversion of space. 
HUD Field Office staff must approve both the proposed costs and 
activity and must perform an environmental assessment on such proposed 
work prior to grant award.
    (5) You may provide service coordination to low-income elderly or 
disabled families living in the vicinity of an eligible development.
    (E) Ineligible Activities. (1) You may not use funds available 
through this NOFA to replace currently available funding from other 
sources for a service coordinator or for some other staff person who 
performs service coordinator functions.
    (2) Owners with existing service coordinator subsidy awards may not 
apply for renewal or extension of those programs under this NOFA.
    (3) Congregate Housing Services Program (CHSP) grantees may not use 
these funds to meet statutory program match requirements and may not 
use these funds to replace current CHSP program funds to continue the 
employment of a service coordinator.
    (4) The cost of application preparation is not eligible.
    (5) Grant funds cannot be used to increase a project's management 
fee.
    (6) You cannot hire an additional part of full-time Service 
Coordinator for the sole purpose of serving low-income elderly or 
disabled families who live in the vicinity of your development.

IV. Program Requirements

    In addition to the requirements listed in Section II of the General 
Section of this SuperNOFA, you must also meet the 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. HUD has the right to reduce the proposed 
costs if they appear unreasonable or inappropriate.
    (B) Term of Funded Activities. The grant term is three years. 
Grants will be renewable subject to the availability of funds.
    (C) Subgrants and Subcontracting. You may directly hire a Service 
Coordinator or you may contract with a qualified third party to provide 
this service.
    (D) 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.
    (E) Affirmatively Furthering Fair Housing. You must comply with 
Section II(D) of the General Section of this SuperNOFA.

V. Application Selection Process

    (A) General. Service Coordinator Program grant funds will not be 
awarded through a rating and ranking process. Instead, HUD will hold 
one national lottery for all approvable applications forwarded from 
Multifamily HUB or Multifamily Program Centers (a list of these offices 
is found in the Appendix to this notice).
    (B) Threshold Eligibility Review. HUD Multifamily Field Office 
staff will review applications for completeness and compliance with the 
eligibility criteria set forth in Section III of this NOFA. Field 
Office staff will forward application information to Headquarters for 
entry into the lottery if the application was received by the deadline 
date, meets all eligibility criteria, proposes reasonable costs for 
eligible activities, and includes all technical corrections by the 
designated deadline date.
    ``Reasonable costs'' are generally those that are consistent with 
salaries

[[Page 12366]]

and administrative costs of similar programs in the jurisdiction of the 
HUD Field Office.
    (C) Service Coordinators in ALCP projects. The Department will 
first fund approved Service Coordinator requests in ALCP applications 
selected to receive an ALCP award. HUD estimates that approximately $5 
million will be needed to fund these programs. Any funds not used for 
ALCP Service Coordinator programs will revert to the national lottery.
    (D) The Lottery. HUD staff will use a computer program to randomly 
select applications. HUD will fully fund as many applications as 
possible with the given amount of funds. If funds remain after fully 
funding as many applications as possible, HUD will offer to partially 
fund the next application chosen in the lottery, in order to use the 
entire allocation of funds.

VI. Application Submission Requirements

    (A) Single Applications. (1) You may submit one application for one 
or more developments that your corporation owns.
    (2) You may submit more than one application to a single Field 
Office, if you wish to increase your chances of selection in the 
lottery. Each application must propose a stand-alone program and the 
development(s) must all be located in the same Field Office 
jurisdiction.
    (3) If you wish to apply on behalf of developments located in 
different Field Office jurisdictions, you must submit a separate 
application to each Field Office.
    (B) Joint Applications. You may join with one or more other 
eligible owners to share a Service Coordinator and submit a joint 
application. In the past, joint applications have been used by small 
developments who joined together to hire and share a part or full-time 
Service Coordinator.
    (C) There is no maximum grant amount. The grant amount you request 
must be consistent with the staffing guidelines provided in the 
application kit and your proposed salary must be supported by evidence 
of comparable salaries in your area.
    (D) Application Submission Requirements for ALCP Applicants. If you 
are an ALCP applicant and you request new or additional Service 
Coordinator costs specifically for your proposed Assisted Living 
Program, you must submit an application containing all required 
documents and information listed in this NOFA. In addition, you must 
submit a HUD-424-M ``Federal Assistance Funding Matrix and 
Certifications'' with your ALCP application, which indicates the amount 
of funds you are requesting to cover Service Coordinator costs. HUD 
Field Office staff will review both applications simultaneously.
    ALCP applicants must submit all the required items in the Service 
Coordinator application listed in Section VI(E) of this NOFA. You may 
provide a copy of all standard forms in your Service Coordinator 
application. If you do not provide either an original or copy of these 
forms, your Service Coordinator application will be incomplete.
    If you currently do not have a Service Coordinator working at the 
development proposed in your ALCP application and your ALCP application 
is selected to receive an ALCP award, HUD will fund a Service 
Coordinator to serve either ALCP residents only or all residents of the 
development dependent upon your request. If your development currently 
has a Service Coordinator, you may request additional hours for the 
Service Coordinator to serve the Assisted Living residents. If you 
request additional hours, you must specify the number of additional 
hours per week and provide an explanation based on the anticipated 
needs of the Assisted Living residents. Provide this explanation in 
your ALCP application as instructed in the ALCP NOFA.
    If you request Service Coordinator funding to serve all residents 
of your development, your request can be entered into the national 
lottery if your ALCP application is not selected to receive an award. 
You will be able to indicate this request in the application materials.
    Owners applying for ALCP grants may also submit separate Service 
Coordinator applications for entry into the lottery for other eligible 
developments they own and that are not included in their ALCP 
application.
    (E) Your application must contain the items listed in this Section 
VI(E). 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 for Application for Federal Assistance (SF-424) 
(which includes civil rights/fair housing certification);
    (2) Federal Assistance Funding Matrix and Certifications (HUD-
424M);
    (3) Standard Form for Assurances--Non-Construction Programs (SF-
424B);
    (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 Form (HUD-2880);
    (7) Certification Regarding Debarment and Suspension (HUD-2992), 
and
    (8) Acknowledgment of Application Receipt (HUD-2993)

Other Application Items

    All applications for funding under the Service Coordinator Program 
must contain the following documents and information:
    (1) Transmittal letter and request, using the designated format 
provided in the application kit.
    (2) (If applicable) Lead agency letter format.
    (3) Evidence of comparable salaries in local area.
    (4) If quality assurance is included in the proposed budget, a 
justification and explanation of how this work will be performed.
    (5) If you propose to serve low-income elderly or disabled families 
living in the vicinity of the development(s) included in your 
application, a narrative description of your plan.
    (6) (If applicable) Evidence that prior funding sources for your 
development's Service Coordinator program are no longer available or 
will expire on or before December 21, 2001.
    (7) A bank statement showing the current residual receipts or 
surplus cash balance in the development's account.
    (8) Applicant Data Input Form.
    (9) Service Coordinator Certifications. This includes 
certifications that you, the applicant, will comply with the following:
    (a) The requirements of the Fair Housing Act, Title VI of the Civil 
Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, and 
the Age Discrimination Act of 1975, and that you will affirmatively 
further fair housing; and
    (b) The nondiscrimination in employment requirements of Title VII 
of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.), the Equal 
Pay Act (29

[[Page 12367]]

U.S.C. 206(d)), the Age Discrimination in Employment Act of 1967 (29 
U.S.C. 621 et seq.), Title IX of the Education Amendments Act of 1972, 
and Titles I and V of the Americans with Disabilities Act of 1990 (42 
U.S.C. 12101 et seq).
    (10)(a) Certification from an Independent Public Accountant or the 
cognizant government auditor stating that the financial management 
system employed by the applicant meets proscribed standards for fund 
control and accountability required by HUD regulations at 24 CFR parts 
84 and 85.
    (b) Owners applying on behalf of developments using the AAF must 
also provide certification from the auditor that the development's 
rental or other income is insufficient to pay the costs of employing a 
Service Coordinator.
    (11) Applicant checklist.

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 program are 
categorically excluded from NEPA and related environmental authorities 
under 24 CFR 50.19(b)(3), (4), (12), or (13). If grant funds will be 
used to cover the cost of any activities which are not exempted from 
environmental review requirements--such as acquisition, leasing, 
construction, or building rehabilitation, HUD will perform an 
environmental review to the extent required by 24 CFR part 50, prior to 
grant award.

IX. Authority

    Section 808 of the Cranston-Gonzalez National Affordable Housing 
Act (Pub. L. 101-625, approved November 28, 1990), as amended by 
sections 671, 674, 676, and 677 of the Housing and Community 
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992), 
and section 851 of the American Homeownership and Economic Opportunity 
Act of 2000 (Pub. L. 106-569, approved December 27, 2000).

Appendix A--HUD Field Office List for Mailing Service Coordinator 
Applications

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-0AHM, 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, NE., Washington, DC 20012-4205, 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-0AHM, 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

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,

[[Page 12368]]

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-0AHM, 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, 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-0AHM, 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

Appendix B

    The non-standard forms required for the Service Coordinators in 
Multifamily Housing application follow:
BILLING CODE 4210-32-P

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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 Housing Choice Voucher Program to enable persons 
with disabilities (elderly and non-elderly) to rent affordable private 
housing.
    Available Funds. Approximately $54.1 million in five-year budget 
authority for approximately 1,900 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 2001. Specifically, any 
portion of the $40 million in one-year budget authority contained in FY 
2001 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 and not needed to fund approvable applications 
under these programs will be added to the approximately $54.1 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 $54.1 million in five-year budget authority for applications 
submitted in FY 2001. While PHAs and nonprofit disability organizations 
are eligible to apply for the $54.1 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 housing 
choice voucher (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 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 
regulatory requirements applicable to the Housing Choice Voucher 
Program.
    Application Deadline. July 20, 2001.
    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 one copy) to HUD on or before 12:00 midnight, Eastern 
time, on July 20, 2001.
    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 one copy. 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.
    A copy of the application is not required to be submitted to the 
local HUD Field Office. For ease of reference, the term ``local HUD 
Field Office'' will be used in this announcement to mean the local HUD 
Field Office Hub and the 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. Prior to the 
application due date, 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. 
Subsequent to application submission, 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).
    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 $54.1 
million in five-year funding is available for approximately 1,900 
vouchers. This allocation is consistent with the FY 2001 HUD 
Appropriations Act. The FY 2001 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

[[Page 12374]]

housing for persons with disabilities as authorized by section 811 of 
the 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 
of persons with disabilities as authorized by section 811 of NAHA. The 
FY 2001 HUD Appropriations Act made $217 million available for the 
Section 811 Program. The $54.1 million made available to applicants 
under this Mainstream Program funding announcement is no more than 25 
percent of this $217 million.
    All of the approximately $54.1 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 housing 
choice 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 2001 HUD Appropriations Act 
states that to the extent the Secretary determines that the FY 2001 
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 2001 
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 2001 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.
    (C) Housing Choice 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 $54.1 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 2001 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 
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 
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 2001 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 {except that for Moving to Work (MTW) agencies the 
per unit cost will be calculated in accordance with the agency's MTW 
Agreement for MTW units} using the following three step process:
    (a) HUD will extract the total expenditures for all the PHA's 
housing choice voucher and certificate 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 housing choice voucher and 
certificate 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 Housing Choice Voucher (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. For a PHA whose jurisdiction spans multiple annual 
adjustment factor areas, HUD will use the highest applicable annual 
adjustment factor.


    Note: Applicants who do not currently administer a housing 
choice voucher or certificate program shall have their voucher 
funding based upon the annual actual per unit costs of the PHA in 
their most immediate area administering a housing choice voucher or 
certificate 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 housing choice voucher or 
certificate program that are selected for funding under this 
announcement. The preliminary fee will be provided to such applicants 
only in their first year administering housing choice vouchers.
    (e) Underfunding Corrections. If prior to the award of Mainstream 
Program

[[Page 12375]]

funding under this announcement, HUD determines that any awardees under 
the FY 2000 Mainstream Program funding announcement have been 
underfunded due to an error attributable to HUD, funding will be 
increased to the amount that the awardee should have received.

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 housing choice 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 housing choice voucher funding because the 
Native American Housing Assistance and Self-Determination Act of 1996 
does not allow HUD to enter into new housing choice voucher 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 also eligible to apply for funding. A PHA may submit only one 
application under this announcement. This one application per PHA limit 
applies regardless of whether or not the PHA is a State or regional 
PHA, except in those instances where such a PHA has more than one PHA 
code number due to its operating under the jurisdiction of more than 
one HUD Field Office. In such instance, a separate application under 
each code shall be considered for funding, with the cumulative total of 
vouchers applied for under the applications not to exceed the maximum 
number of vouchers the PHA is eligible to apply for under section 
II(C)(2) of this announcement; i.e., no more than the number of 
vouchers the same PHA would be eligible to apply for if it only had one 
PHA code number.
    Two or more divisions within State government comprising separate 
PHAs shall require the State to determine which division shall submit 
an application to HUD under this funding announcement. As with other 
PHAs, only one application per PHA shall be considered (see sole 
exception referenced immediately above).
    (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 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 housing choice 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 (i.e., documentation showing that the finding has been 
cleared or satisfactory progress toward closing the findings or 
addressing compliance problems has been made) 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 housing 
choice 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

[[Page 12376]]

    (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)(2), 
and wishing to apply for the funding available under this announcement 
must have the capacity to:
    (i) Comply with the Housing Choice Voucher Program (Section 8) 
Management Assessment Program (SEMAP) certification requirements under 
24 CFR part 985.
    (ii) Carry out such housing choice voucher 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 housing choice voucher program requirements under 24 
CFR part 982.
    (iii) Manage the 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.).
    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)(1), as well as otherwise eligible 
under the regulations at 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 housing choice voucher 
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) Examine its own programs or proposed programs, including an 
identification of any impediments to fair housing (identified in the 
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in 
the Consolidated Plan); develop a plan to (a) address those impediments 
in a reasonable fashion in view of the resources available; and (b) 
work with the local jurisdictions to implement any of the 
jurisdictions' initiatives to affirmatively further fair housing; and 
maintain records reflecting these analyses and actions;
    (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) Housing Choice Voucher Program Regulations. Applicants must 
administer the Mainstream Program in accordance with HUD regulations 
and requirements governing the Housing Choice Voucher Program.
    (2) Housing Choice Voucher Program Admission Requirements. Housing 
choice voucher assistance must be provided to eligible applicants in 
conformity with regulations and requirements governing the 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 housing choice voucher 
waiting list, the PHA or nonprofit disability organization shall 
conduct outreach to encourage eligible persons to apply for this 
special allocation of 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 
housing choice voucher assistance. If the PHA's or nonprofit disability 
organization's housing choice voucher waiting list is closed, and if 
the PHA or nonprofit disability organization has insufficient 
applicants on its housing choice voucher 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 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.

[[Page 12377]]

    (4) Provide housing choice voucher 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 $54.1 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 2001 beyond the approximately $54.1 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:
    (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 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) Housing choice voucher 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 Housing Choice Voucher Program 
(Section 8), (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. PHAs are requested to enter their housing authority code 
(for example, CT002), telephone number, facsimile number and electronic 
mail address in the same space at the top of the form where they are 
also to enter the PHA's name and mailing address. 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. Copies of 
the form may also be downloaded from the HUD Home page site on the 
Internet's world wide web (http://www.HUD.gov). (On the HUD website 
click on ``handbooks and forms,'' then click on ``forms,'' then click 
on ``HUD-5'' and click on ``HUD-52515.'' 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 housing choice

[[Page 12378]]

voucher or certificate 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 housing choice voucher 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 a HA. For 
Financial and Administrative Capability, a nonprofit disability 
organization may reference that part of its application addressing the 
requirements of section VI(E) of this announcement. For Qualification 
as a 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 delineated in Section III(B)(2) of this announcement, 
is required.
    (B) Letter of Intent and Narrative. The applicant must state in its 
cover letter to the application whether it is a PHA applying for five-
year and/or one-year funding, or a nonprofit disability organization 
applying for five-year funding. The applicant must also indicate the 
number of vouchers being requested, whether it 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.
    (C) Description of Need for Mainstream Program Vouchers. 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 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 housing choice 
voucher), statistics on recent public housing admissions and housing 
choice voucher and certificate 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 2001 Mainstream Program 
funding that may be available beyond the approximately $54.1 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 $54.1 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) under a contract to administer 
the Mainstream Program vouchers, or to otherwise provide services.
    (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 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) The examination of the PHA's own programs or proposed programs, 
including an identification of any impediments to fair housing 
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair 
Housing Choice in its Consolidated Plan); and a description of a plan 
to (a) address those impediments in a reasonable fashion in view of the 
resources available; and (b) work with local jurisdictions to implement 
any of the jurisdictions' initiatives to affirmatively further fair 
housing; and the maintenance of records reflecting this analyses and 
actions;
    (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) Moving to Work (MTW) PHA Information and Certification. See 
Section VII(B)(2)(c) regarding the information to be submitted by an 
MTW PHA required to report under the Section 8 Management Assessment 
Program (SEMAP) but not meeting the 95 percent lease-up or budget 
authority utilization requirements, or the lease-up or budget authority 
utilization certification to be submitted by an MTW PHA not required to 
report under SEMAP.
    (H) Multifamily Tenant Characteristics System (MTCS) Reporting 
Certification. In order to be eligible to submit an application under 
this announcement, the PHA must have had a minimum reporting rate of 
not less than 85 percent for housing choice voucher and certificate 
resident records to HUD's MTCS (see 24 CFR part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must 
submit a certification with its application certifying to having met 
this requirement. In the event a PHA received less than an 85 percent 
rate of reporting under MTCS for this period, the PHA will still be 
considered

[[Page 12379]]

to have passed the threshold requirement if: (1) it subsequently 
achieved a minimum reporting rate of not less than 85 percent for 
public housing resident records under the MTCS as of the December 2000 
reporting period; or (2) the PHA was granted forbearance by HUD under 
the applicable procedures under PIH Notice 2000-13 for the semi-annual 
assessment period ending December 2000. In this latter instance, the 
PHA must submit a certification with its application indicating that it 
has either achieved such a minimum reporting rate as of the December 
2000 reporting period, or that it has obtained a forbearance from HUD 
for the semi-annual assessment period ending December 2000.

VII. Corrections to Deficient Applications

    (A) Acceptable Applications. The application must include all of 
the information specified in section VI, Application Submission 
Requirements, of this announcement. 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 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) If the applicant is a PHA and 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 housing choice voucher 
funding in accordance with applicable HUD regulatory and statutory 
requirements.
    (c) If the applicant is a PHA and the PHA has failed to achieve a 
lease-up rate of 95 percent for its combined certificate and voucher 
units under contract for its fiscal year ending in 1999. Category (c) 
may be passed, however, if the PHA achieved a combined certificate and 
voucher budget authority utilization rate of 95 percent or greater for 
its fiscal year ending in 1999. 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 95 percent or greater for its fiscal year ending in 2000, or was 
able to increase combined certificate and voucher budget authority 
utilization to 95 percent or more for its fiscal year ending in 2000. 
PHAs that have been determined by HUD to have passed either the 95 
percent lease-up, or 95 percent budget authority utilization 
requirement for their fiscal year ending in 1999 will be listed on a 
HUD website: (www.hud.gov/grants), along with this funding 
announcement. A PHA not listed must either submit information 
(following the format of Appendix A of this announcement) in its 
application supportive of its 95 percent lease-up or 95 percent budget 
authority utilization performance for its fiscal year ending in 2000, 
or submit information (following the format of Appendix A of this 
announcement) as part of its application supportive of its contention 
that it should have been included among those PHAs HUD listed on the 
HUD website as having achieved either a 95 percent lease-up rate or 95 
percent budget authority utilization rate for fiscal years ending in 
1999. 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 1999. 
Any PHA wishing to submit information to the Grants Management Center 
in connection with its 1999 fiscal year or 2000 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.
    Moving to Work (MTW) agencies that are required to report under the 
Section 8 Management Assessment Program (SEMAP) shall be held to the 95 
percent lease-up and budget authority utilization requirements 
referenced above, except where such an MTW agency provides information 
in its application demonstrating to HUD that a lower percentage is the 
result of the implementation of specific aspects of its program under 
its MTW Agreement with HUD. MTW agencies which are not required to 
report under SEMAP must submit a certification with their application 
certifying that they are not required to report under SEMAP, and that 
they meet the 95 percent lease-up or budget authority utilization 
requirements.
    PHAs not currently administering a certificate or voucher program, 
or who received voucher funding for the first time for FY 2000 will not 
be subject to the 95 percent lease-up or budget authority utilization 
requirements of this section (c).
    (d) The PHA or nonprofit disability organization 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.
    (i) The applicant has failed to achieve a minimum 85 percent 
submission rate for housing choice voucher and certificate resident 
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see 
24 CFR part 908 and Notices PIH 98-30 and 2000-13), for the period 
ending December 1999, and December 2000, and did not receive HUD 
forbearance.

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.

IX. Authority

    Authority for this program is found in the Departments of Veteran's 
Affairs and

[[Page 12380]]

Housing and Urban Development, and Independent Agencies Appropriations 
Act, FY 2001 (Pub. L. 106-377, approved October 27, 2000). This FY 2001 
Appropriations Act authorized appropriations for housing choice 
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.

Appendix A--Methodology for Determining Lease-UP and Budget 
Authority Utilization Percentage Rates

    Using data from the HUDCAPS system, HUD determined which PHAs 
met the 95% budget authority utilization or 95% lease-up criteria. 
The data used in the determination was based on PHA fiscal years 
ending in 1999. The budget authority utilization and lease-up rates 
were determined based upon the methodology indicated below.

Budget Authority Utilization

    Percentage of budget authority utilization was determined by 
comparing the total contributions required to the annual budget 
authority (ABA) available for the PHA 1999 year combining the 
certificate and voucher programs.
    Total contributions required were determined based on the 
combined actual costs approved by HUD on the form HUD-52681, Year 
End Settlement Statement. The components which make up the total 
contributions required are the total of housing assistance payments, 
ongoing administrative fees earned, hard to house fees earned, and 
IPA audit costs. From this total any interest earned on 
administrative fees is subtracted. The net amount is the total 
contributions required.
    ABA is the prorated portion applicable to the PHA 1999 year for 
each funding increment which had an active contract term during all 
or a portion of the PHA year.

Example

               PHA ABC Fiscal Year 10/1/98 Through 9/30/99
                        [HUD 52681 Approved Data]
------------------------------------------------------------------------
 
------------------------------------------------------------------------
HAP........................................................  $2,500,000
Administrative Fee.........................................     250,000
Hard to House Fee..........................................       1,000
Audit......................................................       2,000
                                                            ------------
    Total..................................................   2,753,000
Interest earned on administrative fee......................      (2,500)
                                                            ------------
    Total contributions required...........................   2,750,500
------------------------------------------------------------------------


                 Calculation of Annual Budget Authority
------------------------------------------------------------------------
      Increments and contract term           Total BA           ABA
------------------------------------------------------------------------
001  11/01/98-10/31/99..................      $1,300,000      $1,191,667
002  01/01/99-12/31/99..................       1,200,000         900,000
003  04/01/99-03/31/00..................         950,000         475,000
004  07/01/99-06/30/00..................       1,500,000         375,000
                                         -------------------------------
    Totals..............................       4,950,000       2,941,667
                                                                 (budget
                                                              authority)
Utilization:
    Total contributions required divided       2,750,000
     by.................................
    Annual budget authority equals......       2,941,667  ..............
    Budget authority utilization                    93.5  ..............
     (percent)..........................
------------------------------------------------------------------------

Lease-up Rate

    The lease-up rate was determined by comparing the contract units 
(funding increments active as of the end of the PHA 1999 year) to 
the unit months leased (divided by 12) reported on the combined HUD 
52681, Year End Settlement Statement(s) for 1999.
    Active funding increments awarded by HUD for special purposes 
such as litigation, relocation/replacement, housing conversions, 
Welfare to Work, and new units awarded to the PHA during the last 12 
months were excluded from the contract units as the Department 
recognizes that many of these unit allocations have special 
requirements which require extended periods of time to achieve 
lease-up.

Example

------------------------------------------------------------------------
                    Increments contract term                       Units
------------------------------------------------------------------------
001  11/01/98-10/31/99..........................................     242
002  01/01/99-12/31/99..........................................     224
003  04/01/99-03/31/00..........................................     178
004  07/01/99-06/30/00..........................................     280
    Totals......................................................     924
                                                                 -------
Increment 003 litigation........................................   (178)
Adjusted contract units.........................................     746
Unit months leased reported by PHA..............................   8,726
  divided by 12.................................................     727
Units Leased....................................................     727
Lease-up rate:
  Units leased..................................................     727
    divided by adjusted contract units..........................     746
        equals
  Lease-up rate (percent).......................................    97.4
------------------------------------------------------------------------

BILLING CODE 4210-32-P

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12381]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.386


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12382]]


      

[[Page 12383]]

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 
housing choice 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 3,500 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 15, 2001.
    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 15, 2001.
    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 one copy. 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 is not required to be submitted to the 
local HUD Field Office. For ease of reference, the term ``local HUD 
Field Office'' will be used in this announcement to mean the local HUD 
Field Office Hub and 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. Prior to the 
application due date, 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. 
Subsequent to application submission, 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).
    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 3,500 
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 approvable 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 
Section III(A)(1) of 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; and/or
    (ii) Those non-elderly disabled families who are on the waiting 
list of an assisted housing development identified in Section III(A)(2) 
of this announcement, or are otherwise residing in the community, but 
in either

[[Page 12384]]

instance are not being housed in these assisted housing developments 
where the owners have 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 II(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 {except that for Moving to Work (MTW) agencies the per unit cost 
will be calculated in accordance with the agency's MTW Agreement for 
MTW units} using the following three step process:
    (i) HUD will extract the total expenditures for all your housing 
choice (Section 8) 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 housing choice (Section 8) 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 Housing Choice Voucher (Section 8) Housing 
Assistance Payments Program Contract Rent Annual Adjustment Factor 
(with the highest utility included) to generate an adjusted annual per 
unit cost. For a PHA whose jurisdiction spans multiple annual 
adjustment factor areas, HUD will use the highest applicable annual 
adjustment factor.


    Note: If you do not currently administer a housing choice 
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 housing choice 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 housing choice program that are 
selected for funding under this announcement. The preliminary fee will 
be provided to such PHAs only in their first year administering housing 
choice vouchers.
    (3) Underfunding Corrections. If prior to the award of funding HUD 
determines that any awardees under the FY 2000 NOFA for the same 
purpose have been underfunded due to an error attributable to HUD, 
funding will be increased to the amount that the awardee should have 
received.

III. Program Description, Eligible Applicants, and Eligible 
Participants

    (A) Program Description. This program provides housing choice 
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 also 
eligible to apply for funding. A PHA may submit only one application. 
This one application per PHA limit applies regardless of whether or not 
the PHA is a State or regional PHA, except in those instances where 
such a PHA has been assigned more than one PHA code number due to its 
operating under the jurisdiction of more than one HUD Field Office. In 
such instance, a separate application under each code shall be 
considered for funding, with the cumulative total of vouchers applied 
for under the applications not to exceed the maximum number of vouchers 
the PHA is eligible to apply for under Section II(B)(1)(a) of this 
announcement; i.e., no more than the number of vouchers the same PHA 
would be eligible to apply for if it only had one PHA code number.
    Two or more divisions within State government comprising separate 
PHAs shall require the State to determine which division shall submit 
an application to HUD under this funding announcement. As with other 
PHAs, only one application per PHA shall be considered (see sole 
exception referenced immediately above).
    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 housing choice voucher (Section 8) 
annual contributions contracts (ACC) with IHAs after September 30, 
1997.
    (2) Some PHAs currently administering the housing choice 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

[[Page 12385]]

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 with 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 (i.e., documentation showing that 
the finding has been cleared or satisfactory progress toward closing 
the findings or addressing compliance problems has been made) 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 housing choice 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 housing choice vouchers in response to this announcement. 
These non-elderly disabled families need not be listed on the PHA's 
housing choice voucher waiting list in order to be offered and receive 
housing choice voucher 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)(1)(a) 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)(1) in order to receive a rental 
voucher, as well as otherwise eligible for assistance under the 
regulations at 24 CFR part 982.201(b).

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) Examine the PHA's own programs or proposed programs, including 
an identification of any impediments to fair housing (identified in the 
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in 
its Consolidated Plan); develop a plan to (a) address those impediments 
in a reasonable fashion in view of the resources available; and (b) 
work with the local jurisdictions to implement any of the 
jurisdictions' initiatives to affirmatively further fair housing; and 
maintain records reflecting these analyses and actions;
    (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) Housing Choice Voucher Program regulations. PHAs must 
administer the housing choice vouchers received under this announcement 
in accordance with HUD regulations and requirements governing the 
Housing Choice Voucher Program.
    (2) Housing Choice Voucher admission requirements. Housing choice 
vouchers must be provided to eligible applicants in conformity with 
regulations and requirements governing the 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 voucher 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 voucher funding 
is placed under an annual contributions contract (ACC).
    If there is ever an insufficient pool of disabled families on the 
PHA's housing choice voucher waiting list, the PHA shall conduct 
outreach to encourage eligible persons to apply for this special 
allocation of 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 housing 
choice voucher assistance. If the PHA's housing choice voucher waiting 
list is closed, and if the PHA has insufficient applicants on its 
housing choice voucher waiting list to use all awarded vouchers under 
this announcement, the PHA shall open the waiting list for applications 
from disabled families.
    (D) PHA Responsibilities. In addition to PHA responsibilities under 
the 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

[[Page 12386]]

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 a housing choice voucher under 
this program other housing opportunities, or otherwise restrict access 
to PHA programs to eligible applicants who choose not to participate.
    (4) Provide housing choice voucher 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.
    PHAs are encouraged to coordinate with/involve nonprofit disability 
organizations in their meeting the requirements of paragraphs 1, 2, 4 
and 6 immediately above. PHAs are encouraged to seek out nonprofit 
disability organizations in this regard due to such organizations' 
capacity for assisting disabled families, and their in-depth knowledge 
of the disability community and the available resources to assist 
disabled persons.
    (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 housing choice 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.
    (4) Housing Choice Voucher 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.

VI. Application Submission Requirements

    (A) Form HUD-52515. All PHAs must complete and submit form HUD-
52515, Funding Application, for the Housing Choice Voucher Program 
(Section 8), (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. PHAs are requested to enter their housing authority code 
number (for example, CT002), telephone number, facsimile number, and 
electronic mail address in the same space at the top of the form where 
they also enter the PHA's name and mailing address. 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. 
Copies of the form may also be downloaded from the HUD Home page site 
on the Internet's world wide web (http://www.HUD.gov). (On the HUD 
website click on ``handbooks and forms,'' then click on ``forms,'' then 
click on ``HUD-5'' and click on ``HUD-52515.'' 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-

[[Page 12387]]

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 (or portion thereof) 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 names, 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)(1)(a) 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 
housing choice voucher), 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) The examination of the PHA's own programs or proposed programs, 
including an identification of any impediments to fair housing 
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair 
Housing Choice in its Consolidated Plan); and a description of a plan 
developed to (a) address those impediments in a reasonable fashion in 
view of the resources available; and (b) work with local jurisdictions 
to implement any of the jurisdictions' initiatives to affirmatively 
further fair housing; and the maintenance of records reflecting this 
analysis and actions;
    (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) Moving to Work (MTW) PHA Information and Certification. See 
Section VII(B)(2)(c) regarding the information to be submitted by an 
MTW PHA required to report under the Section 8 Management Assessment 
Program (SEMAP) but not meeting the 95 percent lease-up or budget 
authority utilization requirements, or the lease-up or budget authority 
utilization certification to be submitted by an MTW PHA not required to 
report under SEMAP.
    (F) Multifamily Tenant Characteristics System (MTCS) Reporting 
Certification. In order to be eligible to submit an application under 
this announcement, the PHA must have had a minimum reporting rate of 
not less than 85 percent for housing choice voucher and certificate 
resident records to HUD's MTCS (see 24 CFR Part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must 
submit a certification with its application certifying to having met 
this requirement. In the event a PHA received less than an 85 percent 
rate of reporting under MTCS for this period, the PHA will still be 
considered to have passed the threshold requirement if: (1) it 
subsequently achieved a minimum reporting rate of not less than 85 
percent for public housing resident records under the MTCS as of the 
December 2000 reporting period; or (2) the PHA was granted forbearance 
by HUD under the applicable procedures under PIH Notices 2000-13 for 
the semi-annual assessment period ending December, 2000. In this latter 
instance, the PHA must submit a certification with its application 
indicating that it has either achieved such a minimum reporting rate as 
of the December 2000 reporting period, or that it has obtained a 
forbearance from HUD for the semi-annual assessment period ending 
December 2000.

VII. Corrections to Deficient Applications

    (A) Acceptable Applications. The application must include all of 
the information specified in Section VI, Application Submission 
Requirements, of this announcement. 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)(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 housing 
choice voucher funding in accordance with applicable HUD regulatory and 
statutory requirements.
    (c) The PHA has failed to achieve a lease-up rate of 95 percent for 
its combined certificate and voucher units under contract for its 
fiscal year ending in 1999. Category (c) may be passed, however, if the 
PHA achieved a combined certificate and voucher budget authority 
utilization rate of 95

[[Page 12388]]

percent or greater for its fiscal year ending in 1999. In the event the 
PHA is unable to meet either of these percentage requirements, it may 
still pass category (c) if it submits information to the GMC, as part 
of its application, demonstrating that it was able to either increase 
its combined certificate and voucher lease-up rate to 95 percent or 
greater for its fiscal year ending in 2000, or was able to increase 
combined certificate and voucher budget authority utilization to 95 
percent or more for its fiscal year ending in 2000. PHAs that have been 
determined by HUD to have passed either the 95 percent lease-up, or 95 
percent budget authority utilization requirement for their fiscal year 
ending in 1999 will be listed with this funding announcement on a HUD 
website: (www.hud.gov/grants). A PHA not listed must either submit 
information (following the format of Appendix A of this NOFA) in its 
application supportive of its 95 percent lease-up or 95 percent budget 
authority utilization performance for its fiscal year ending in 2000, 
or submit information (following the format of Appendix A of this NOFA) 
as part of its application supportive of its contention that it should 
have been included among those PHAs HUD listed on the HUD website as 
having achieved either a 95 percent lease-up rate or 95 percent funding 
utilization rate for fiscal years ending in 1999. Appendix A of this 
NOFA 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 1999. Any PHA wishing to 
submit information to the GMC in connection with its 1999 fiscal year 
or 2000 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.
    Moving To Work (MTW) agencies that are required to report under the 
Section 8 Management Assessment Program (SEMAP) shall be held to the 95 
percent lease-up and budget authority utilization requirements 
referenced above, except where such an MTW agency provides information 
in its application demonstrating to HUD that a lower percentage is the 
result of the implementation of specific aspects of its program under 
its MTW agreement with HUD. MTW agencies which are not required to 
report under SEMAP must submit a certification with their application 
certifying that they are not required to report under SEMAP, and that 
they meet the 95 percent lease-up or budget authority utilization 
requirements.
    PHAs not currently administering a certificate or voucher program, 
or who received voucher funding for the first time for FY 2000 will not 
be subject to the 95 percent lease-up or budget authority utilization 
requirements of this section (c).
    (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.
    (i) The applicant has failed to achieve a minimum 85 percent 
submission rate for housing choice voucher and certificate resident 
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see 
24 CFR Part 908 and Notices PIH 98-30 and 2000-13), for the period 
ending December 1999, and December 2000, and did not receive HUD 
forbearance.

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.

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 2001 (Pub.L. 106-377, approved October 27, 
2000). This FY 2001 Appropriations Act authorized appropriations for 
housing choice 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.

Appendix A--Methodology for Determining Lease-up and Budget 
Authority Utilization Percentage Rates

    Using data from the HUDCAPS system, HUD determined which PHAs 
met the 95% budget authority utilization or 95% lease-up criteria. 
The data used in the determination was based on PHA fiscal years 
ending in 1999. The budget authority utilization and lease-up rates 
were determined based upon the methodology indicated below.

Budget Authority Utilization

    Percentage of budget authority utilization was determined by 
comparing the total contributions required to the annual budget 
authority (ABA) available for the PHA 1999 year combining the 
certificate and voucher programs.
    Total contributions required were determined based on the 
combined actual costs approved by HUD on the form HUD-52681, Year 
End Settlement Statement. The components which make up the total 
contributions required are the total of housing assistance payments, 
ongoing administrative fees earned, hard to house fees earned, and 
IPA audit costs. From this total any interest earned on 
administrative fees is subtracted. The net amount is the total 
contributions required.
    ABA is the prorated portion applicable to the PHA 1999 year for 
each funding increment which had an active contract term during all 
or a portion of the PHA year.

Example

               PHA ABC Fiscal Year 10/1/98 Through 9/30/99
                        [HUD 52681 Approved Data]
------------------------------------------------------------------------
 
------------------------------------------------------------------------
HAP........................................................  $2,500,000
Administrative fee.........................................     250,000
Hard to house fee..........................................       1,000
Audit......................................................       2,000
                                                            ------------
    Total..................................................   2,753,000
Interest earned on administrative fee......................      (2,500)
    Total contributions                                       2,750,500
    required...............................................
------------------------------------------------------------------------


[[Page 12389]]


                 Calculation of Annual Budget Authority
------------------------------------------------------------------------
      Increments and contract term           Total BA           ABA
------------------------------------------------------------------------
001  11/01/98-10/31/99..................      $1,300,000      $1,191,667
002  01/01/99-12/31/99..................       1,200,000         900,000
003  04/01/99-03/31/00..................         950,000         475,000
004  07/01/99-06/30/00..................       1,500,000         375,000
                                         -------------------------------
    Totals..............................       4,950,000       2,941,667
Budget Authority Utilization:
    Total contributions required........       2,750,000
        divided by
    Annual budget authority.............       2,941,667
        equals
    Budget Authority Utilization                    93.5
     (percent)..........................
------------------------------------------------------------------------

Lease-up Rate

    The lease-up rate was determined by comparing the contract units 
(funding increments active as of the end of the PHA 1999 year) to 
the unit months leased (divided by 12) reported on the combined HUD 
52681, Year End Settlement Statement(s) for 1999.
    Active funding increments awarded by HUD for special purposes 
such as litigation, relocation/replacement, housing conversions, 
Welfare to Work, and new units awarded to the PHA during the last 
twelve months were excluded from the contract units as the 
Department recognizes that many of these unit allocations have 
special requirements which require extended periods of time to 
achieve lease-up.

Example

------------------------------------------------------------------------
                 Increments and contract term                     Units
------------------------------------------------------------------------
001  11/01/98-10/31/99........................................      242
002  01/01/99-12/31/99........................................      224
003  04/01/99-03/31/00........................................      178
004  07/01/99-06/30/00........................................      280
    Totals....................................................      924
Increment 003 litigation......................................     (178)
Adjusted contract units.......................................      746
Unit months leased reported by PHA............................    8,726
  divided by 12...............................................      727
Units leased..................................................      727
Lease-up rate:
  Units leased................................................      727
    divided by adjusted contract units........................      746
        equals
  Lease-up rate (percent).....................................     97.4
------------------------------------------------------------------------

BILLING CODE 4210-32-P

[[Page 12390]]

      

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12391]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.387


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12392]]


      

[[Page 12393]]

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 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 3,500 housing choice 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 housing choice voucher (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 plans are not applicable 
to IHAs.
    Application Deadline. The application in its entirety must be 
submitted to HUD's Grants Management Center by July 24, 2001.
    Not later than seventy-five (75) days prior to that date; i.e., by 
May 16, 2001, the designated housing plan portion of the application 
must be submitted to HUD's Special Application Center.
    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 Dates, Application Kits, Further Information and 
Technical Assistance

    Application Due Dates. Submit your original and one copy of your 
completed application (including the designated housing plan, as 
appropriate) to HUD on or before 12:00 midnight, Eastern time, on July 
24, 2001.
    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 
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 one copy of the designated housing plan portion of your 
application to the Office of Public Housing, Special Application Center 
(SAC), Room 2401, 77 West Jackson Boulevard, Chicago, IL 60604 (312-
886-9754), so as to be received by the SAC by not later than May 16, 
2001. Note: The Special Application Center is allowed, by statute, 60 
days in which to review a PHA's designated housing plan.
    A PHA submitting an application for voucher funding under this 
announcement shall not be eligible for funding if it does not submit 
its entire application to the GMC, and the designated housing plan 
portion of its application (as applicable) to the SAC, by the deadline 
dates specified above.
    A copy of your application is not required to be submitted to the 
local HUD Field Office. For ease of reference, the term ``local HUD 
Field Office'' will be used in this announcement to mean the local HUD 
Field Office Hub and 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. Prior to the 
application due date, 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. 
Subsequent to application submission, 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).
    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 housing choice vouchers for non-elderly 
disabled families in support of designated housing plans to designate 
public housing for occupancy by elderly families only, or elderly 
families and disabled families only. This funding is expected to 
provide assistance to approximately 3,500 non-elderly disabled 
families.
    The FY 2001 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 2001. 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

[[Page 12394]]

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 amount of funding that a PHA will 
be awarded under this announcement based upon an actual annual per unit 
cost {except that for Moving to Work (MTW) agencies the per unit cost 
will be calculated in accordance with the agency's MTW Agreement for 
MTW units} using the following three step process:
    (a) HUD will extract the total expenditures for all the PHA's 
housing choice (Section 8) 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 housing choice (Section 8) 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 under 
section (ii) above by the Housing Choice Voucher (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. For a PHA whose jurisdiction spans multiple annual 
adjustment factor areas, HUD will use the highest applicable annual 
adjustment factor.


    Note: Applicants who do not currently administer a housing 
choice 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 housing choice 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 housing choice voucher program and 
that are selected for funding under this announcement. The preliminary 
fee will be provided to such PHAs only in their first year 
administering housing choice vouchers.
    (4) Underfunding Corrections. If prior to the award of funding 
under this Designated Housing announcement, HUD determines that any 
awardees under the FY 2000 Designated Housing announcement have been 
underfunded due to an error attributable to HUD, funding will be 
increased to the amount that the awardee should have received.

III. Program Description, Eligible Applicants, and Eligible 
Participants

    (A) Program Description. This program provides housing choice 
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 also eligible to apply for funding. A PHA may 
submit only one application under this announcement. This one 
application per PHA limit applies regardless of whether the PHA is a 
State or regional PHA, except in those instances where such a PHA has 
more than one PHA code number due to its operating under the 
jurisdiction of more than one HUD Field Office. In such instance, a 
separate application under each code shall be considered for funding, 
with the cumulative total of vouchers applied for under the 
applications not to exceed the maximum number of vouchers the PHA is 
eligible to apply for under section II(B)(1) of this announcement; 
i.e., no more than the number of vouchers the same PHA would be 
eligible to apply for if it only had one PHA code number.
    Two or more divisions within State government comprising separate 
PHAs shall require the State to determine which division shall submit 
an application to HUD under this funding announcement. As with other 
PHAs, only one application per PHA shall be considered (see sole 
exception referenced immediately above).
    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 Housing Choice Voucher Program 
(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 plans are not applicable to IHAs.
    Some PHAs currently administering the housing choice 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

[[Page 12395]]

be accompanied by conclusive evidence of HUD's error (i.e., 
documentation showing that the finding has been cleared or satisfactory 
progress toward closing the findings or addressing compliance problems 
has been made) 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 
housing choice 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)(1) 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 
housing choice voucher waiting list in order to be offered and receive 
a housing choice voucher. These families may be admitted to the housing 
choice voucher 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) Examine the PHA's own programs or proposed programs, including 
an identification of any impediments to fair housing (identified in the 
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice in 
its Consolidated Plan); develop a plan to (a) address those impediments 
in a reasonable fashion in view of the resources available; and (b) 
work with the local jurisdictions to implement any of the 
jurisdictions' initiatives to affirmatively further fair housing; and 
maintain records reflecting these analyses and actions;
    (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) Housing Choice Voucher Program regulations. PHAs must 
administer the housing choice vouchers received under this announcement 
in accordance with HUD regulations and requirements governing the 
Housing Choice Voucher Program.
    (2) Housing Choice Voucher admission requirements. Housing choice 
vouchers must be provided to eligible applicants in conformity with 
regulations and requirements governing the 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 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 a housing choice voucher under 
this program other housing opportunities, or otherwise restrict access 
to PHA programs to eligible applicants who choose not to participate.
    (4) Provide housing choice voucher 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.
    PHAs are encouraged to coordinate with/involve nonprofit disability 
organizations in their meeting the requirements of sections 1, 2, 4 and 
6 immediately above. PHAs are encouraged to seek out nonprofit 
disability organizations in this regard due to such organizations' 
capacity for assisting disabled families, and their in-depth knowledge 
of the disability community and the available resources to assist 
disabled persons.
    (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, 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 2000-20 
(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:

[[Page 12396]]

    (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 housing choice 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) Housing Choice Voucher 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 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 Housing Choice Voucher Program 
(Section 8), (dated January 1996). This form includes all necessary 
certifications for Fair Housing, Drug Free Workplace and Lobbying 
Activities. PHAs are requested to enter their housing authority code 
number (for example, CT002), telephone number, facsimile number, and 
electronic mail address in the same place at the top of the form where 
they are also to enter the PHA's name and mailing address. 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. Copies of the form 
may also be downloaded from the HUD Home page site on the Internet's 
world wide web (http://www.HUD.gov). (On the HUD website click on 
``handbooks and forms,'' then click on ``forms,'' then click on ``HUD-
5'' and click on ``HUD-52515.'' 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 2000-20 (HA), dated May 8, 2000.
    PHAs should also bear in mind that the regulations at 24 CFR 
903.3(b) require PHAs to submit an Annual Plan which must provide a 
statement regarding any public housing project (or portion thereof) 
which the PHA plans to designate as elderly only or mixed elderly and 
disabled {see 24 CFR 903.7 (h)(2)(i)}. Only those PHAs which are 
designated by HUD as high performing PHAs, or are small PHAs (less than 
250 public housing units) that are not designated as troubled, are 
excluded from the requirement to address the designation of elderly and 
disabled public housing units in the Annual Plan. The Special 
Application Center will not process a designated housing plan if the 
PHA's intent to designate is not covered in its Annual Plan.
    (D) Designated Housing Plan Previously Approved. Any PHA wishing to 
rely on a designated housing plan previously approved by HUD that did 
not require housing choice vouchers or certificates for non-elderly 
disabled families or that now requires more vouchers than previously 
justified, will require the PHA to submit the information required in 
sections (A) and (B) immediately above, a copy of the previously HUD-
approved designated

[[Page 12397]]

housing plan, and updated needs data supporting the need now for 
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 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 housing choice vouchers or certificates 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) The examination of the PHA's own programs or proposed programs, 
including an identification of any impedimemts to fair housing 
(identified in the jurisdiction's Analysis of Impediments (AI) to Fair 
Housing Choice in its Consolidated Plan); and a description of a plan 
to (a) address those impediments in a reasonable fashion in view of the 
resources available; and (b) work with local jurisdictions to implement 
any of the jurisdictions' initiatives to affirmatively further fair 
housing; and the maintenance of records reflecting these analyses and 
actions;
    (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) Moving to Work (MTW) PHA Information and Certification. See 
section VII(B)(2)(c) regarding the information to be submitted by an 
MTW PHA required to report under the Section 8 Management Assessment 
Program (SEMAP) but not meeting the 95 percent lease-up or budget 
authority utilization requirements, or the lease-up or budget authority 
utilization certification to be submitted by an MTW PHA not required to 
report under SEMAP.
    (G) Multifamily Tenant Characteristics System (MTCS) Reporting 
Certification. In order to be eligible to submit an application under 
this announcement, the PHA must have had a minimum reporting rate of 
not less than 85 percent for housing choice voucher and certificate 
resident records to HUD's MTCS (see 24 CFR Part 908 and Notices PIH 98-
30, 99-2 and 2000-13) for the period ending December 1999, and must 
submit a certification with its application certifying to having met 
this requirement. In the event a PHA received less than an 85 percent 
rate of reporting under MTCS for this period, the PHA will still be 
considered to have passed the threshold requirement if: (1) it 
subsequently achieved a minimum reporting rate of not less than 85 
percent for public housing resident records under the MTCS as of the 
December 2000 reporting period; or (2) the PHA was granted forbearance 
by HUD under the applicable procedures under PIH Notice 2000-13 for the 
semi-annual assessment period ending December 2000. In this latter 
instance, the PHA must submit a certification with its application 
indicating that it has either achieved such a minimum reporting rate as 
of the December 2000 reporting period, or that it has obtained a 
forbearance from HUD for the semi-annual assessment period ending 
December 2000.

VII. Corrections to Deficient Applications

    (A) Acceptable Applications. The application must include all of 
the information specified in section VI, Application Submission 
Requirements. 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 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 housing 
choice voucher funding in accordance with applicable HUD regulatory and 
statutory requirements.
    (c) The PHA has failed to achieve a lease-up rate of 95 percent for 
its combined certificate and voucher units under contract for its 
fiscal year ending in 1999. Category (c) may be passed, however, if the 
PHA achieved a combined certificate and voucher budget authority 
utilization rate of 95 percent or greater for its fiscal year ending in 
1999. 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 95 percent or greater 
for its fiscal year ending in 2000, or was able to increase combined 
certificate and voucher budget authority utilization to 95 percent or 
more for its fiscal year ending in 2000. PHAs that have been determined 
by HUD to have passed either the 95 percent lease-up, or 95 percent 
budget authority utilization requirement for their fiscal year ending 
in 1999 will be listed on a HUD website: (www.hud.gov/grants), along 
with this funding announcement. A PHA not listed must either submit 
information (following the format of Appendix A of this announcement) 
in its application supportive of its 95 percent lease-up or 95 percent 
budget authority utilization performance for its fiscal year ending in 
2000, or submit information (following the format of Appendix A of this 
announcement) as part of its application supportive of its contention 
that it should have been included among those PHAs HUD listed on the 
HUD website as having achieved either a 95 percent lease-up rate or 95 
percent budget authority utilization rate for fiscal years ending in 
1999. 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 1999. 
Any PHA wishing to submit information to the Grants Management Center 
in connection with its 1999 fiscal year or 2000 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

[[Page 12398]]

the same methodology and data sources indicated in Appendix A.
    Moving To Work (MTW) agencies that are required to report under the 
Section 8 Management Assessment Program (SEMAP) shall be held to the 95 
percent lease-up and budget authority utilization requirements 
referenced above, except where such an MTW agency provides information 
in its application demonstrating to HUD that a lower percentage is the 
result of the implementation of specific aspects of its program under 
its MTW Agreement with HUD. MTW agencies which are not required to 
report under SEMAP must submit a certification with their application 
certifying that they are not required to report under SEMAP, and that 
they meet the 95 percent lease-up or budget authority utilization 
requirements.
    PHAs not currently administering a certificate or voucher program, 
or who received voucher funding for the first time for FY 2000 will not 
be subject to the 95 percent lease-up or budget authority utilization 
requirements of this section (c).
    (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.
    (i) The applicant has failed to achieve a minimum 85 percent 
submission rate for housing choice voucher and certificate resident 
records to HUD's Multifamily Tenant Characteristics System (MTCS), (see 
24 CFR Part 908 and Notices PIH 98-30 and 2000-13), for the period 
ending December 1999, and December 2000, and did not receive HUD 
forbearance.

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.

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 2001 (Pub.L. 106-377, approved October 27, 
2000). This FY 2001 Appropriations Act authorized appropriations for 
housing choice 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.

Appendix A--Methodology for Determining Lease-Up and Budget 
Authority Utilization Percentage Rates

    Using data from the HUDCAPS system, HUD determined which PHAs 
met the 95% budget authority utilization or 95% lease-up criteria. 
The data used in the determination was based on PHA fiscal years 
ending in 1999. The budget authority utilization and lease-up rates 
were determined based upon the methodology indicated below.

Budget Authority Utilization

    Percentage of budget authority utilization was determined by 
comparing the total contributions required to the annual budget 
authority (ABA) available for the PHA 1999 year combining the 
certificate and voucher programs.
    Total contributions required were determined based on the 
combined actual costs approved by HUD on the form HUD-52681, Year 
End Settlement Statement. The components which make up the total 
contributions required are the total of housing assistance payments, 
ongoing administrative fees earned, hard to house fees earned, and 
IPA audit costs. From this total any interest earned on 
administrative fees is subtracted. The net amount is the total 
contributions required.
    ABA is the prorated portion applicable to the PHA 1999 year for 
each funding increment which had an active contract term during all 
or a portion of the PHA year.

Example

               PHA ABC Fiscal Year 10/1/98 Through 9/30/99
                        [HUD 52681 approved data]
------------------------------------------------------------------------
 
------------------------------------------------------------------------
HAP........................................................  $2,500,000
Administrative fee.........................................     250,000
Hard to House fee..........................................       1,000
Audit......................................................       2,000
                                                            ------------
    Total..................................................   2,753,000
Interest earned on administrative fee......................      (2,500)
    Total contributions required...........................   2,750,500
------------------------------------------------------------------------


                 Calculation of Annual Budget Authority
------------------------------------------------------------------------
      Increments and contract term           Total BA           ABA
------------------------------------------------------------------------
001  11/01/98-10/31/99..................      $1,300,000      $1,191,667
002  01/01/99-12/31/99..................       1,200,000         900,000
003  04/01/99-03/31/00..................         950,000         475,000
004  07/01/99-06/30/00..................       1,500,000         375,000
                                         -------------------------------
    Totals..............................       4,950,000       2,941,667
Budget Authority Utilization:
    Total contributions required........       2,750,000
        divided by
    Annual budget authority.............       2,941,667
        equals
    Budget Authority Utilization                    93.5
     (percent)..........................
------------------------------------------------------------------------


[[Page 12399]]

Lease-up Rate

    The lease-up rate was determined by comparing the contract units 
(funding increments active as of the end of the PHA 1999 year) to 
the unit months leased (divided by 12) reported on the combined HUD 
52681, Year End Settlement Statement(s) for 1999.
    Active funding increments awarded by HUD for special purposes 
such as litigation, relocation/replacement, housing conversions, 
Welfare to Work, and new units awarded to the PHA during the last 
twelve months were excluded from the contract units as the 
Department recognizes that many of these unit allocations have 
special requirements which require extended periods of time to 
achieve lease-up.

Example

------------------------------------------------------------------------
                 Increments and contract term                     Units
------------------------------------------------------------------------
001  11/01/98-10/31/99........................................      242
002  01/01/99-12/31/99........................................      224
003  04/01/99-03/31/00........................................      178
004  07/01/99-06/30/00........................................      280
                                                               ---------
    Totals....................................................      924
Increment 003 litigation......................................     (178)
Adjusted contract units.......................................      746
Unit months leased reported by PHA............................    8,726
  divided by 12...............................................      727
Units leased..................................................      727
Lease-up rate:
  Units leased................................................      727
    divided by adjusted contract units........................      746
        equals
  Lease-up rate (percent).....................................     97.4
------------------------------------------------------------------------

BILLING CODE 4210-32-P

[[Page 12400]]

      

  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12401]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.388


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12402]]


      

[[Page 12403]]

FUNDING AVAILABILITY FOR RENTAL CERTIFICATE/HOUSING CHOICE VOUCHER 
FAMILY SELF-SUFFICIENCY (FSS) PROGRAM COORDINATORS

Program Overview

    Purpose of Program. The Rental Certificate/Housing Choice Voucher 
FSS program (referred to in previous NOFAs as the Section 8 FSS 
program) is intended to promote the development of local strategies to 
coordinate the use of assistance under the Rental Certificate and 
Housing Choice Voucher programs with public and private resources to 
enable participating families to achieve economic independence and 
self-sufficiency. An FSS program coordinator assures that program 
participants are linked to the supportive services they need to achieve 
self-sufficiency. Funding under this NOFA is not available to pay the 
salary of an FSS coordinator for a public housing FSS program. 
Operating subsidy may be used to fund the salary of a public housing 
FSS coordinator.
    Available Funds. This NOFA announces the availability of up to $45 
million in Fiscal Year (FY) 2001 to fund Rental Certificate/Housing 
Choice Voucher FSS program coordinators.
    Eligible Applicants. Public housing agencies (PHAs) eligible to 
receive funding under this NOFA are: (1) those that received funding 
under the FY 2000 NOFA or one of the FY 1999 NOFAs for Rental 
Certificate/Housing Choice Voucher FSS Program Coordinators and that 
continue to operate an FSS program; (2) PHAs that were not funded under 
one of the FY 1999 or FY 2000 FSS NOFAs that are authorized through 
their HUD-approved FSS Action Plan to administer a Rental Certificate/
Housing Choice Voucher FSS program of at least 25 slots; or, if they 
are PHAs with HUD approval to administer Rental Certificate/Housing 
Choice Voucher FSS programs of fewer than 25 slots, they apply jointly 
with one or more other PHAs so that between or among them they have HUD 
approval to administer at least 25 Rental Certificate/Housing Choice 
Voucher FSS slots.
    Under this NOFA, both the voluntary Rental Certificate/Housing 
Choice Voucher FSS slots and the mandatory Rental Certificate/Housing 
Choice Voucher FSS slots reflected in the PHA's HUD-approved FSS Action 
Plan are counted in determining the PHA's Rental Certificate/Housing 
Choice Voucher FSS program size.
    All awards are subject to a cap of $60,000 per full time 
coordinator position funded. Evidence of salary comparability to 
positions in the local jurisdiction for each position must be kept on 
file in the PHA office.
    There is no maximum Rental Certificate/Housing Choice Voucher 
program size limit cap for PHAs eligible to apply for funding under 
this NOFA.
    Application Deadline. April 25, 2001.
    Match. None

Additional Information

    If you are interested in applying for funding for Rental 
Certificate/Housing Choice Voucher FSS Program Coordinator funding 
under this NOFA, please review carefully the General Section of this 
SuperNOFA and the following additional information.

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

    Application Due Date. Submit your completed application (an 
original and two copies) to HUD on or before 12 midnight, Eastern time, 
on April 25, 2001.
    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 with an Acknowledgment of Application Receipt, 
form HUD-2993, to: Michael E. Diggs, Director, PIH Grants Management 
Center, U.S. Department of Housing and Urban Development, 501 School 
Street, 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. There is no application kit for this NOFA. 
This announcement contains all the information necessary for the 
submission of your application for Rental Certificate/Housing Choice 
Voucher FSS program coordinator funding.
    For Further Information and Technical Assistance. For answers to 
your questions, you may contact the Public and Indian Housing Resource 
Center at 1-800-955-2232 or the Hub Director of Public Housing or the 
Program Center Coordinator in the local HUD Field Office or you may 
contact the Grants Management Center at (202) 358-0221, extension 118. 
Hearing-or speech-impaired individuals may call HUD's TTY number 1-800-
877-8339, the Federal Information Relay Service TTY, (this is a toll 
free number). Information can be accessed via the Internet at http://www.hud.gov.
    Prior to the application deadline, staff at the numbers given above 
will be available to provide general guidance, but not guidance in 
actually preparing the application. Following selection, but prior to 
award, HUD staff will be available to assist in clarifying or 
confirming information that is a prerequisite to the offer of an award 
by HUD.
    Satellite Broadcast. HUD plans to 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

    For FY 2001, up to $45 million may be made available for PHA 
administrative fees for Rental Certificate/Housing Choice Voucher FSS 
program coordinators. This amount is from HUD's Congressional 
justifications that were submitted in support of the Departments of 
Veterans Affairs and Housing and Urban Development, and Independent 
Agencies Appropriations Act, 2001 (Pub.L. 106-377, approved October 27, 
2000). This is the eighth fiscal year of funding for Rental 
Certificate/Housing Choice Voucher FSS program coordinators.

HUD Corrections to Funding Provided Under the FY 2000 NOFA

    If prior to award of funding under the FY 2001 Rental Certificate/
Housing Choice Voucher FSS NOFA, HUD determines that any PHAs have been 
underfunded in amounts awarded under the FY 2000 FSS Program 
Coordinator NOFA, before funding any applications under the FY 2001 
NOFA, the Department will increase funding of the FY 2000 awards to the 
amount that the PHAs should have received under the

[[Page 12404]]

FY 2000 NOFA with funding available under the FY 2001 FSS NOFA.

III. Program Description; Eligible Applicants; Eligible Activities

    (A) Program Description. Through annual NOFAs, HUD has provided 
funding to PHAs that are operating a Rental Certificate/Housing Choice 
Voucher FSS program to enable those PHAs to hire a Rental Certificate/
Housing Choice Voucher FSS program coordinator.
    In this FY 2001 FSS Program Coordinator NOFA, HUD is making 
sufficient funding available to fund all applicants that received 
funding under either the FY 1999 or FY 2000 FSS program coordinator 
NOFAs to allow those PHAs to continue to pay a Rental Certificate/
Housing Choice Voucher FSS program coordinator for another year.
    Because of the importance of the FSS program in helping families 
increase earned income and develop assets, HUD is also making a 
sufficient amount available under this FY 2001 FSS NOFA to enable 
``new'' PHAs that were not funded in FY 1999 or FY 2000 to apply. Each 
of these ``new'' PHAs may apply for funding to hire at least one Rental 
Certificate/Housing Choice Voucher FSS program coordinator for one year 
at a reasonable cost, as determined by the PHA based on salaries for 
similar positions in the locality. Under this NOFA, for the first time 
both new and renewal state and regional PHAs that administer Rental 
Certificate/Housing Choice Voucher FSS programs in different parts of 
their jurisdiction may apply for up to one full time Rental 
Certificate/Housing Choice Voucher FSS program coordinator in each area 
where they have HUD approval to administer a separate Rental 
Certificate/Housing Choice Voucher FSS program of at least 25 slots.
    Because the workload of a large FSS program is too heavy for a 
single FSS program coordinator, this NOFA invites each eligible new and 
renewal PHA with HUD-approval to operate a Rental Certificate/Housing 
Choice Voucher FSS program of 100 slots in a single jurisdiction to 
apply for up to one full time coordinator for each 50 HUD-approved 
slots above their initial 50 Rental Certificate/Housing Choice Voucher 
FSS program slots. A state or regional agency with HUD approval to 
operate a Rental Certificate/Housing Choice Voucher FSS program of 100 
or more slots in more than one part of its jurisdiction may apply for 
one or more full time Rental Certificate/Housing Choice Voucher FSS 
program coordinator for each additional 50 approved FSS slots above the 
initial 50 Rental Certificate/Housing Choice Voucher slot level in that 
area.
    (B) Eligible Applicants. Subject to the availability of sufficient 
funding, all PHAs in the following categories are eligible applicants 
under this NOFA:
    (1) PHAs that received funding under one of the FY 1999 NOFAs or 
the FY 2000 NOFAs for Rental Certificate/Housing Choice Voucher FSS 
program coordinators that are still operating FSS programs will be 
funded in FY 2001, except those PHAs submitting applications that are 
ineligible under Section VII.(B) of this NOFA, provided the PHA 
continues to operate an FSS program, has hired an FSS program 
coordinator with funding awarded for that purpose under one of the FY 
1999 FSS or FY 2000 FSS program coordinator NOFAs, and has made 
progress in implementing the FSS program demonstrated by having 
completed activities in each of the categories in section 2 of the 
required Attachment A certification of this NOFA. Subject to the 
availability of funds, the eligible PHAs funded in FY 1999 or FY 2000 
will receive 103 percent of the latest of its FY 1999 or FY 2000 
funding (not to exceed $60,000) unless the PHA requests a higher or 
lower amount. All awards are subject to the cap of $60,000 per full 
time FSS program coordinator position. HUD will not provide FY 2001 
funding to any PHA that received Rental Certificate/Housing Choice 
Voucher FSS Program Coordinator funding in FY 1999 or FY 2000 that does 
not comply with all of the above requirements.
    (2) PHAs, including state and regional PHAs, that did not receive 
Rental Certificate/Housing Choice Voucher FSS program coordinator 
funding in either FY 1999 or FY 2000, are eligible to apply under this 
NOFA if the PHA has a HUD-approved FSS Action Plan authorizing the PHA 
to administer a Rental Certificate/Housing Choice Voucher FSS program 
of at least 25 FSS slots. PHAs with HUD approval to administer Rental 
Certificate/Housing Choice Voucher FSS programs of fewer than 25 slots 
may also apply if they apply jointly with one or more other PHAs so 
that between or among the PHAs they have HUD approval to administer at 
least 25 Rental Certificate/Housing Choice Voucher FSS slots. If PHAs 
apply jointly, the $60,000 maximum amount that may be requested applies 
to each full time coordinator position in the application as a whole, 
not to each PHA separately. Joint applicants must specify a lead co-
applicant which will receive and administer the FSS program coordinator 
funding.
    (3) State and regional PHAs that are eligible under (1) or (2) of 
this section may also apply for up to one additional Rental 
Certificate/Housing Choice Voucher FSS program coordinator for each 
portion of their jurisdiction where they have HUD approval to operate a 
Rental Certificate/Housing Choice Voucher FSS program of at least 25 
slots.
    (4) PHAs that are eligible applicants under (1), (2) or (3) of this 
section, with HUD approval to operate a Rental Certificate/Housing 
Choice Voucher FSS program of 100 or more slots may apply for one 
Rental Certificate/Housing Choice Voucher FSS program coordinator for 
each 50 HUD approved Rental Certificate/Housing Choice Voucher FSS 
slots above the first 50 approved slots in the PHA's Rental 
Certificate/Housing Choice Voucher FSS program. A state or regional PHA 
that has applied under this NOFA for FSS coordinators in different 
parts of its jurisdiction may apply for additional coordinators in any 
area where it is authorized to operate a Rental Certificate/Housing 
Choice Voucher program of 100 or more slots. In each of these areas, 
the PHA may apply for up to one additional coordinator for each 50 HUD 
approved Rental Certificate/Housing Choice Voucher Program FSS slots 
above the first 50 slots in the PHA's Rental Certificate/Housing Choice 
Voucher FSS Program.
    (C) Eligible Activities. Funds are available to PHAs under this 
NOFA to employ or otherwise retain the services of Rental Certificate/
Housing Choice Voucher FSS program coordinators for one year. A part-
time Rental Certificate/Housing Choice Voucher FSS program coordinator 
may be retained where appropriate. In the Rental Certificate/Housing 
Choice Voucher FSS program, PHAs are required to use rental assistance 
under the Rental Certificate and Housing Choice Voucher programs 
together with public and private resources to provide supportive 
services to enable participating families to achieve economic 
independence and self-sufficiency. Effective delivery of supportive 
services is a critical element in a successful FSS program. The FSS 
program supports the Department's objective of helping poor and 
disadvantaged families and individuals become self-sufficient and 
develop assets. The program provides critical tools that can be used by 
communities to support welfare reform and help families develop new 
skills that will lead to increased wages and self sufficiency.

[[Page 12405]]

IV. Program Requirements

    (A) Program Coordinator Role. PHAs administering the FSS program 
use program coordinating committees (PCCs) to assist them to secure 
resources and implement the FSS program. The PCC is made up of 
representatives of local government, job training and employment 
agencies, local welfare agencies, educational institutions, child care 
providers, nonprofit service providers, and businesses.
    An FSS program coordinator works with the PCC and with local 
service providers to assure that program participants are linked to the 
supportive services they need to achieve self-sufficiency. The FSS 
program coordinator may ensure, through case management, that the 
services included in participants' contracts of participation are 
provided on a regular, ongoing and satisfactory basis, and that 
participants are fulfilling their responsibilities under the contracts.
    (B) Staffing Guidelines. Under normal circumstances, a full-time 
FSS program coordinator should be able to serve approximately 50 FSS 
participants, depending on the coordinator's case management functions.
    (C) Other Requirements. In addition to the civil rights compliance 
and nondiscrimination requirements listed in the General Section of 
this SuperNOFA, PHAs must meet the following program requirements:
    (1) Affirmatively Furthering Fair Housing. Each successful 
applicant will have a duty to affirmatively further fair housing. After 
the application is approved, applicants will be required to identify 
the specific steps that they will take to (a) address the elimination 
of impediments to fair housing that were identified in the 
jurisdiction's Analysis of Impediments (AI) to Fair Housing Choice; (b) 
remedy discrimination in housing; or (c) promote fair housing rights 
and fair housing choice. Further, applicants have a duty to carry out 
the specific activities cited in their responses in a manner which will 
affirmatively further fair housing.

V. Application Selection Process

    The funds available under this NOFA are not being awarded on a 
competitive basis. The Department anticipates that there will be 
sufficient funds available under the NOFA to fund all applications that 
meet the NOFA requirements. Applications will be reviewed by the Grants 
Management Center (GMC) to determine whether or not they are 
technically adequate based on the NOFA requirements. Categories of 
applications that will not be funded are stated in section VII(B) of 
this NOFA.
    All technically adequate applications will be funded to the extent 
funds are available. If HUD receives applications for funding greater 
than the amount made available under this NOFA, HUD will fund eligible 
applicants as follows: Applications will be divided into three 
categories of funding priority:
    Priority 1--Applications from PHAs, including state and regional 
PHAs, for continuation of the position most recently funded under 
either the FY 1999 for FY 2000 FSS NOFA.
    Priority 2--Priority 2 will consist of:
    (a) Applications for up to one initial FSS coordinator position 
from PHAs that were not funded under the FY 1999 and FY 2000 FSS NOFAs 
including, for state and regional PHAs with HUD approval to operate FSS 
programs in different parts of their jurisdictions, up to one FSS 
coordinator position per area where they are authorized to operate a 
Rental Certificate/Housing Choice Voucher FSS program of at least 25 
FSS slots.
    (b) Applications from Priority 1 state and regional PHAs for up to 
one full time FSS program coordinator position in any area where they 
are authorized to operate a Rental Certificate/Housing Choice Voucher 
FSS program of at least 25 FSS slots, but have not received funding 
under this NOFA for a full time FSS program coordinator position for 
the area.
    Priority 3--Applications for one or more additional FSS 
coordinators submitted by PHAs eligible for funding in Priority 1 and 2 
categories above with HUD approval to operate a Rental Certificate/
Housing Choice Voucher FSS program of 100 or more slots.
    HUD will first fund all eligible Priority 1 applications to 
continue funding for up to one full time Rental Certificate/Housing 
Choice Voucher FSS program coordinator. If funding remains, HUD will 
then provide funding to eligible Priority 2 applicants for up to one 
Rental Certificate/Housing Choice Voucher FSS program coordinator 
position per PHA, or in the case of state and regional PHAs up to one 
full time coordinator for each area where they are authorized to 
operate a Rental Certificate/Housing Choice Voucher program of at least 
25 slots. If there is insufficient funding for all Priority 2 
applicants, funding will be awarded to applicants in Rental 
Certificate/Housing Choice Voucher program size order starting from the 
PHAs with the smallest total combined Rental Certificate/Housing Choice 
Voucher programs first. Rental Certificate/Housing Choice Voucher 
program size will be determined by HUD using baseline data developed by 
the Department. If there are not sufficient monies to fund all 
applications from Priority 2 PHAs with the same combined Rental 
Certificate/Housing Choice Voucher program size, funding will be 
provided based on the size of the PHA's Rental Certificate/Housing 
Choice Voucher FSS program, reflected in the PHA's HUD-approved Rental 
Certificate/Housing Choice Voucher FSS Action Plan, starting with the 
largest approved Rental Certificate/Housing Choice Voucher FSS program 
first.
    If monies remain after funding all eligible Priority 2 
applications, Priority 3 applications will be funded for up to the full 
number of additional FSS coordinator slots for which the PHA is 
eligible and which it has requested in its application. If there are 
not sufficient monies to fund all eligible Priority 3 applicants, 
applications will be funded in two stages. In stage 1, PHAs will first 
be sorted into three categories by HUD-approved FSS program size as 
follows: (a) PHAs with HUD approval to operate Rental Certificate/
Housing Choice Voucher FSS programs of 1,000 or more slots; (b) PHAs 
with HUD approval to operate Rental Certificate/Housing Choice Voucher 
FSS programs of 500 to 999 slots; and (c) PHAs with approval to operate 
Rental Certificate/Housing Choice Voucher FSS programs of 100 to 499 
slots. In determining the FSS program size of a state or regional PHA 
that operates FSS programs in more than one area of their jurisdiction, 
the total number of approved slots for the entire PHA FSS program will 
be used to determine the appropriate size category for Priority 3 
funding. HUD will then determine if there is sufficient funding to 
provide each eligible PHA with 1,000 or more slots with up to 5 
additional coordinators, PHAs with 500 to 999 slots with three 
additional coordinators and PHAs with 100 to 499 slots with 1 
additional coordinator. If not, HUD will begin awarding funding 
requests from the PHAs with the largest HUD-approved FSS programs 
first.
    If after funding all eligible positions requested in stage 1 
funding remains, HUD will begin funding remaining applications in a 
second stage for up to the full number of positions each PHA is 
eligible to receive and has requested starting with the PHAs with the 
largest size HUD-approved FSS program first. In stage 2, state and 
regional PHAs approved to operate FSS programs may receive the full 
amount of eligible positions requested in each part of their 
jurisdiction where they are approved to operate a program of 100 or 
more FSS slots. If insufficient funding is available to fund for each 
separate area where the state or regional PHA operates the FSS

[[Page 12406]]

program, the PHA may decide how the total funding available in stage 2 
will be divided among the areas where it operates its FSS program.
    If there is insufficient money remaining to fully fund the last 
application funded in any of the above priority categories, HUD will 
provide residual funding to that application in an amount less than the 
amount requested by the PHA, unless the PHA is unwilling to accept the 
lower amount.
    If funding remains after all eligible applications submitted in 
response to this NOFA are funded, the Grants Management Center will use 
any funding still available through the end of FY 2001 to fund 
applications submitted after the due date of this NOFA that meet all 
other requirements of this NOFA. These applications will be funded on a 
first-come, first-serve basis through September 30, 2001 as long as 
funds are available.

VI. Application Submission Requirements

    (A) Application Requirement for PHAs that Received FY 1999 or FY 
2000 FSS Program Coordinator Funding. Each PHA that received funding 
for a Rental Certificate/Housing Choice Voucher FSS program coordinator 
under one of the FY 1999 NOFAs or under the FY 2000 FSS NOFA that 
wishes to receive funding under this NOFA must complete a certification 
in the format shown as ``Attachment A'' of this NOFA, and must include 
all information required in ``Attachment A'' of this FSS NOFA. The 
completed Attachment A certification along with the Fair Housing 
Certification (Attachment C of this NOFA) and the Certification 
Regarding Lobbying (Attachment D of this NOFA) constitute the entire 
PHA application for funding under this section. These certifications 
must be submitted to the GMC by the due date to be eligible for the 
initial round of funding under this NOFA.
    (B) Request for FSS Program Coordinator Funds by Eligible PHAs that 
were not Funded in FY 1999 or FY 2000. PHAs that did not receive 
funding under the FY 1999 or FY 2000 FSS Program Coordinator NOFAs must 
complete a certification in the format shown as ``Attachment B'' of 
this FSS NOFA and must include all information required in Attachment 
B. The completed Attachment B certification along with the Fair Housing 
Certification (Attachment C of this NOFA) and the Certification 
Regarding Lobbying (Attachment D of the NOFA) constitute the entire PHA 
application for funding under this section. These certifications must 
be submitted to the GMC by the due date to be considered for funding 
for the initial round of funding under this NOFA.
    (C) Fair Housing Certification and Certification Regarding 
Lobbying. All PHAs applying for funding under this NOFA must submit the 
Certification Regarding Fair Housing and Equal Opportunity which is 
included as Attachment C of this NOFA and the Certification Regarding 
Lobbying which is Attachment D of this NOFA.

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 GMC will disapprove 
PHA applications that it determines are not acceptable for processing 
under the initial round of funding. The HUD notification of rejection 
letter must state the basis for the decision.
    (2) Applications from PHAs that fall into any of the following 
categories are ineligible for funding under this NOFA and will not be 
processed:
    (a) An application from a PHA that is not an eligible PHA under 
III.(B) of this NOFA or an application that does not comply with the 
requirements of VI. of this NOFA.
    (b) An application from a PHA that does not meet the requirements 
of fair housing and civil rights compliance requirements of Section 
II(B) of the SuperNOFA.
    (c) An application from a PHA that at the end of the 14-calendar 
day technical correction period has not made progress satisfactory to 
HUD in resolving serious outstanding Inspector General audit findings, 
or serious outstanding HUD management review or independent public 
accountant (IPA) audit findings for one or more of the following 
programs: Housing Choice Voucher, Rental Certificate or Moderate 
Rehabilitation. Serious program management findings are those that 
would cast doubt on the capacity of the PHA to administer its Rental 
Certificate/Housing Choice Voucher programs in accordance with 
applicable HUD regulatory and statutory requirements.
    (d) 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.
    (e) The applicant has been debarred or otherwise disqualified from 
providing assistance under the program.
    (3) Otherwise eligible applications that are not received by the 
due date of this NOFA will not be funded unless funds remain available 
after all eligible applications received by the due date have been 
funded. If at that time all the funding under this NOFA has not been 
awarded, then otherwise eligible applications received after the due 
date will be funded on a first come, first serve basis through the end 
of FY 2001, as long as funding remains available. If more than one such 
application is received at the same date and time, the application from 
the PHA with the smallest combined Rental Certificate/Housing Choice 
Voucher program will be funded first.

VIII. Environmental Requirements

    No environmental review is required in connection with the award of 
assistance under this NOFA, because the NOFA only provides funds for 
employing a coordinator that provides public and supportive services, 
which are categorically excluded from environmental review under the 
National Environmental Policy Act of 1969 (42 U.S.C. 4321) and not 
subject to compliance actions for related environmental authorities 
under 24 CFR 50.19(b)(4) and (12).

IX. Authority

    The Departments of Veterans Affairs and Housing and Urban 
Development and Independent Agencies Appropriations Act, 2001 (Pub.L. 
106-377, approved October 27, 2000) allows funding for program 
coordinators under the Rental Certificate/Housing Choice Voucher FSS 
program. As a result, the Department determined to make a sufficient 
amount available under this NOFA, under Part 984, in accordance with 
section 984.302(b), to enable PHAs to employ one or more Rental 
Certificate/Housing Choice Voucher FSS program coordinator for one year 
at a reasonable cost as determined by the PHA and HUD, based on 
salaries for similar positions in the locality.

Attachment A--Required Certification Format for FY 2001 Rental 
Certificate/Housing Choice Voucher FSS Program Coordinator Funding for 
PHAs That Received Funding Under a FY 1999 or FY 2000 Rental 
Certificate/Housing Choice Voucher FSS Program Coordinator NOFA

Mr. Michael E. Diggs, Director, Grants Management Center, 501 School 
Street, Suite 800, Washington, DC 20024

    Dear Mr. Diggs: In connection with the FY 2001 NOFA for Rental 
Certificate/Housing Choice Voucher FSS program coordinators, I 
hereby certify for the ______ (enter PHA name. For joint 
applications, please indicate the names of all co-applicants and 
identify

[[Page 12407]]

the lead PHA that received and administered funds received under the 
FY 1999 or FY 2000 NOFA.) that:
    (1) The PHA received funding under the FY ______ FSS program 
coordinator NOFA (enter either FY 1999 or FY 2000 as appropriate), 
continues to operate an FSS program and has hired (Enter name of 
coordinator) as its FSS program coordinator at a salary of (Enter 
salary amount) using HUD funds provided for that purpose on ______ 
(enter the most recent ACC effective date for funding received by 
the PHA under the Rental Certificate/Housing Choice Voucher FY 1999 
or FY 2000 FSS program coordinator funding increment), and
    (2) The PHA has (check all that apply):
____ (a) Formed and convened an FSS program coordinating committee,
____ (b) Obtained HUD approval of its FSS action plan,
____ (c) Executed contracts of participation with FSS participants.
    (3) The PHA is/is not (indicate appropriate choice) a state or 
regional PHA operating separate Rental Certificate/Housing Choice 
Voucher FSS programs in more than one part of its jurisdiction.
    (4) Total number of Rental Certificate/Housing Choice Voucher 
FSS program slots based on the number of FSS slots (both voluntary 
and mandatory) identified in the PHA's HUD-approved Action Plan OR, 
when PHAs are applying jointly, the combined total of Rental 
Certificate/Housing Choice Voucher FSS program slots in the HUD-
approved Action Plans of the PHAs: ______. (A State or regional PHA 
applying for coordinator positions for programs operated in 
different parts of its jurisdiction must identify below in (7) each 
area where it is authorized to operate a program and the number of 
slots approved for each area.)
    (5) Total Number of Rental Certificate/Housing Choice Voucher 
program coordinator positions requested under the FY 2001 Rental 
Certificate/Housing Choice Voucher FSS NOFA: ______.
    (6) Rental Certificate/Housing Choice Voucher FSS Program 
Coordinator Salary level requested under this NOFA to continue the 
FSS program coordinator position that was funded under the FY 1999 
or FY 2000 FSS NOFA based on salaries for comparable jobs: ______.
    (7) (If applicable) Rental Certificate/Housing Choice Voucher 
FSS program coordinator salary level for each position requested, 
based on comparables, for any Rental Certificate/Housing Choice 
Voucher FSS program coordinator positions other than the position 
described in (6) above. (State/regional agencies applying for one or 
more positions in more than one location in their jurisdiction, must 
provide information in the format below for each location where 
positions are requested. If positions for the location are at 
different Salary levels, indicate the number of positions at each 
Salary level. Location: ____ # of approved slots: ____ # of 
positions requested: ____ Salary: ____)
    (8) Evidence demonstrating salary comparability to similar 
positions in the local jurisdiction for each of the above positions 
is on file at the PHA.
    If there are any questions, please contact ______ at ______
Sincerely,
Executive Director

Attachment B--Required Format for Certification from PHAs that Did Not 
Receive Rental Certificate/Housing Choice Voucher FSS Program 
Coordinator Funding under FY 1999 or FY 2000 NOFAs

Mr. Michael E. Diggs, Director, Grants Management Center, 501 School 
Street, Suite 800, Washington, DC 20024

    Dear Mr. Diggs: In connection with the FY 2001 NOFA for FSS 
program coordinators, this is a request for funds to pay the salary 
of ______ (Enter number of positions) Rental Certificate/Housing 
Choice Voucher FSS program coordinators for one year. I hereby 
certify for the ______ (Enter PHA name. For joint applications, 
indicate the names of all co-applicants and identify the lead PHA 
that will receive and administer the funding requested under this 
NOFA.) that:
    1. The total number of HUD-approved Rental Certificate/Housing 
Choice Voucher FSS program slots (both voluntary and mandatory) 
identified in the PHAs HUD-Approved FSS Action Plan OR when PHAs are 
applying jointly, the combined total of Rental Certificate/Housing 
Choice Voucher FSS program slots in the HUD-approved Action plans of 
the PHAs: ____
    2. The PHA is/is not (indicate appropriate choice) a State or 
regional PHA operating separate Rental Certificate/Housing Choice 
Voucher FSS programs in more than one part of its jurisdiction.
    3. Rental Certificate/Housing Choice Voucher FSS Program 
Coordinator salary level for each position requested based on 
salaries for comparable jobs. (If funding is being requested by a 
state or regional PHA for one or more positions in more than one 
location in their jurisdiction, the PHA must provide information in 
the format below for each location where positions are requested. If 
positions for the location are at different Salary levels, indicate 
the number of positions at each Salary level. Location: ____ # of 
approved FSS slots: ____ # of positions requested: ____ Salary: 
____)
    4. Evidence demonstrating salary comparability to similar 
position in the local jurisdiction is on file in the PHA office.
    If there are any questions, please contact ____ at ____.
Sincerely,
Executive Director

Attachment C--Fair Housing and Equal Opportunity Certifications

    The housing agency (PHA) certifies that in administering the 
funding for the Rental Certificate/Housing Choice Voucher Family 
Self-Sufficiency program coordinators it will comply with the 
requirements of the Fair Housing Act, Title VI of the Civil Rights 
Act of 1964, section 504 of the Rehabilitation Act of 1973, and the 
Age Discrimination Act of 1975, and will affirmatively further fair 
housing. CDBG recipients also must certify to compliance with 
section 109 of the Housing and Community Development Act.

----------------------------------------------------------------------
Name of PHA
Signature and Title of PHA Representative
----------------------------------------------------------------------
Date
----------------------------------------------------------------------

Attachment D--Certification Regarding Lobbying

    The undersigned certifies, to the best of his or her knowledge 
and belief, that:
    (1) No Federal appropriated funds have been paid or will be 
paid, by or on behalf of the undersigned, to any person for 
influencing or attempting to influence an officer or employee of any 
agency, a Member of Congress, an officer or employee of Congress, or 
an employee of a Member of Congress in connection with the awarding 
of any Federal contract, the making of any Federal grant, the making 
of any Federal loan, the entering into of any cooperative agreement, 
and the extension, continuation, renewal, amendment, or modification 
of any Federal contract, grant, loan, or cooperative agreement.
    (2) If any funds other than Federal appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of 
Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with this Federal contract, grant, 
loan, or cooperative agreement, the undersigned shall complete and 
submit Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    (3) The undersigned shall require that the language of this 
certification be included in the award documents for all subawards 
at all tiers (including subcontracts, subgrants, and contracts under 
grants, loans and cooperative agreements) and that all subrecipients 
shall certify and disclose accordingly.
    This certification is a material representation of fact upon 
which reliance was placed when this transaction was made or entered 
into. Submission of this certification is a prerequisite for making 
or entering into this transaction imposed by section 1342, title 31, 
U.S. Code. Any person who fails to file the required certification 
shall be subject to a civil penalty of not less than $10,000 and not 
more than $100,000 for each such failure.
----------------------------------------------------------------------
Signature of PHA Representative
----------------------------------------------------------------------
Name of PHA
----------------------------------------------------------------------
Name of Signatory (Print or Type)
----------------------------------------------------------------------
Date signed
----------------------------------------------------------------------
BILLING CODE 4210-32-P

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Notices  

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[[Page 12411]]

FUNDING AVAILABILITY FOR EARLY DOCTORAL STUDENT RESEARCH GRANT 
PROGRAM

Program Overview

    Purpose of the Program. To help eligible doctoral students 
cultivate their research skills through the preparation of research 
manuscripts that focus on housing and urban development issues.
    Available Funds. Approximately $150,000.
    Eligible Applicants: Only pre-dissertation Ph.D. students whose 
studies include urban economics as a major or concentration within 
another field related to housing and urban development.
    Application Deadline. April 26, 2001.
    Match. None.

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 April 26, 2001. You should read 
the General Section of the SuperNOFA because it contains more detailed 
information about the application due date.
    Address for Submitting Applications. Your completed application 
consists of an original signed application and an electronic copy of 
the application. If you are submitting your application by mail, you 
should send it to the following address: University Partnerships 
Clearinghouse, Aspen Systems Corporation, Mail Stop 5B, 2277 Research 
Blvd., Rockville, MD 20850. If you are hand-delivering your application 
on or before the due date, you should deliver it to Room 8110 during 
normal business hours or to the South Lobby after these hours and 
before midnight. You should read the General Section of the SuperNOFA 
because it contains more detailed information on submission deadlines. 
Please mark on the envelope for your application that it is for the 
Early Doctoral Student Research Grant Program.
    HUD will accept only one application per doctoral student.
    For Application Kits. The application requirements are contained in 
this program NOFA. There is no separate application kit for the 
program.
    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 [email protected].

II. Amount Allocated

    Approximately $150,000 in FY 2001 funds is being made available 
under this SuperNOFA for Early Doctoral Student Research Grant Program 
(EDSRG).
    The maximum grant period is 12 months. The performance period will 
commence on the effective date of the grant agreement.
    The maximum amount to be requested by and awarded to a doctoral 
student is $15,000. 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 the EDSRG is to enable 
doctoral students to cultivate their research skills through the 
preparation of research manuscripts that focus on policy-relevant 
housing and urban development issues. The program will also provide a 
forum for new scholars to share their research findings through 
presentation of this research to a scholarly conference and/or 
publication in a refereed journal. The FY 2001 EDSRG Program seeks to 
fund research studies that will inform Federal problem-solving and 
policy making relating to HUD's policy priorities for this year. These 
priorities are:
    (1) Economic development in ``untapped'' markets--e.g., studies of 
reinvestment pressures; efforts to create or expand businesses while 
meeting the needs of under-served inner-city, older suburb, or rural 
areas; expansion of access to capital; joint ventures with community-
based organizations;
    (2) Development of inner cities--e.g., studies of reinvestment 
pressures; theories of capital/land/market failure that explain why 
vast areas of many cities have essentially lain dormant or suffered 
depopulation and/or disinvestment; government policies or market 
interventions that would alleviate these patterns;
    (3) Issues in housing finance--e.g., institutional barriers to 
efficiency in the housing finance system; enabling the housing finance 
system to better serve low-income and minority borrowers more 
effectively; the present and future role of FHA in housing finance;
    (4) Affordability of rental housing--e.g., policy and program 
options in tight or ``hot'' markets; innovative partnerships or 
finance; impacts on very-low-income families; preservation of existing 
housing stock;
    (5) Homeownership--e.g., relative importance of factors in tenure 
decisions; estimation of private and social benefits and costs of 
homeownership; role in household savings and investment decisions; 
effects of demographics, macro-economic environment, and government 
policies on homeownership;
    (6) Regionalism and ``Smart Growth''--e.g., the economic 
interdependence of cities and suburbs; connecting the disadvantaged to 
metropolitan resources; sustainable growth attentive to the economy, 
the environment, and social equity; rehabilitation and infill 
development; fiscal disparity issues; and regional problem-solving and 
coalition building;
    (7) Housing markets--e.g., factors affecting rents, home values, 
tenure, vacancy rates, market absorption of new units, construction 
activity;
    (8) Housing stock--e.g., durability of stock; factors determining 
rehabilitation and remodeling; comparisons with stock in other 
developed countries;
    (9) Workforce development through the roles of place-based 
initiatives, community-based organizations, educational institutions, 
and housing providers--e.g., roles; impacts and effectiveness; links to 
welfare-to-work; emerging models;
    (10) Fair housing--e.g., effectiveness of local initiatives; 
emerging models; links to schooling or other services; zoning and land 
use; political management and coalition building; NIMBY-ism; effect on 
low-income families; gentrification; housing choice; environmental 
justice;
    (11) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility; 
linked services; aging in place;
    (12) Community development and community building--e.g., impacts 
and effectiveness; faith-based and higher education community building 
efforts; emerging models; challenges and pitfalls;
    (13) Home equity conversion mortgages (HECMs)--e.g., impact of 
HECMS on social welfare, availability of housing for younger families, 
effect on optimal aggregate debt to housing equity ratio as the 
population ages;
    (14) Evaluation of existing housing programs--e.g., opting out of 
Section 8 project-based contracts, cost-benefit analyses of alternative 
methods for providing housing assistance; and
    (15) Evaluation of college/community partnerships focused on 
community and economic development and methods for

[[Page 12412]]

institutionalizing these partnerships at colleges and universities.
    (B) Eligible Applicants. You must meet the following requirements:
    (1) You must be a currently enrolled and full-time student in an 
accredited doctoral program at an accredited institution of higher 
education;
    (2) You must have urban economics as your major field or as a 
concentration within a major in another field related to housing and 
urban development;
    (3) You must not have taken your preliminary/comprehensive 
examinations;
    (4) You must have completed at least two semesters or three terms 
of your doctoral studies program (depending on the course structure of 
the institution); and
    (5) You must have been assigned a faculty advisor to supervise your 
research manuscript.
    You must provide documentation from the chair of your department 
that you meet all of these conditions and that in his/her opinion it is 
realistic to believe that the research manuscript can be completed 
within the one-year grant period. In addition, you and your institution 
must meet all the applicable threshold requirements found in Section 
II(B) of the General Section of the SuperNOFA.
    (C) Eligible Activities. Your grant must support direct costs 
incurred in the timely completion of a research manuscript. Eligible 
costs include stipends, computer software, the purchase of data, travel 
expenses to collect data; transcription services, and compensation for 
interviews. Three thousand dollars of the grant will be held back until 
you have completed your research manuscript and either it has been 
accepted for presentation at a conference or for publication in a 
refereed journal by September 30, 2002, or a committee of three faculty 
members (including your faculty sponsor, as the principal investigator 
of the grant) has determined and certified to HUD that the manuscript 
is of high quality and worthy of submission to conferences or journals.
    (D) Ineligible Activities. Your grant may not be used to pay for 
tuition, computer hardware, or meals.
    (E) Other Requirements. (1) Support from your university. Support 
from your university is required. Such support might include tuition 
waivers, office space, equipment, computer time, or similar items you 
might need in order to complete your dissertation. This support may not 
replace support or assistance that your institution would otherwise 
provide you.
    (2) University sponsorship. The university shall enter into a Grant 
Agreement with HUD that provides for payment of the grant by HUD to the 
university and from the university to the approved applicant, and that 
further provides all required certifications and assurances. The 
university shall agree to provide as the Principal Investigator under 
the Grant Agreement a dissertation advisor or chair of the applicant's 
dissertation committee who shall supervise the work of the applicant 
under the Grant Agreement.
    (3) Progress reporting. You will be required to submit a report, 
half way through your grant, on the progress you have made towards 
completion of the research manuscript and the likelihood that you will 
complete it on time.

IV. Application Selection Process

    HUD will conduct two types of review: a threshold review to 
determine your eligibility to apply; and a technical review to rate 
your 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 the following 
standards are met:
    (1) You are an eligible doctoral student, as defined in Section 
III(B) above and have provided a letter from your department chair, in 
the format in Appendix A, confirming this;
    (2) You have requested no more than the grant maximum of $15,000; 
and
    (3) Your institution has agreed to provide some support to you as 
part of this grant.
    (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 100.

Rating Factor 1: Relevance of Your Research Manuscript to the 
Department's Mission and Research Priorities (35 points)

    In reviewing this factor, HUD will determine the extent to which 
your research manuscript will produce policy-relevant information that 
is directly related to one of the research priorities listed above 
(i.e., the research that will be produced could have an effect on HUD's 
strategic goals and HUD's programs and policies to achieve these 
goals--see the HUD web site at http://www.hud.gov/reform/strpln.html 
for a discussion of these goals The less directly related to one of 
these topics your research is, the less points you will receive. For 
example, a study of minorities' housing choice decisions would have 
high relevance to HUD's strategic goals; a study of transportation 
inequities would have medium relevance; and a study of the effects of 
global warming on urban development would have low relevance.

Rating Factor 2: Quality of Your Research Design (35 points)

    In reviewing this factor, HUD will determine the extent to which 
your research design and methodology are likely to produce data and 
information that will successfully answer your research hypotheses. HUD 
will also evaluate the extent to which the methodology you propose to 
use is sound and generally accepted by the relevant research community. 
Reviewers will be looking at the extent to which you use standard 
methodological practices in line with research already completed or 
existing publications in the field related to your research questions.

Rating Factor 3: Your Skills and Preparation and the Furtherance of 
Them (20 points)

    In reviewing this factor, HUD will determine the extent to which:
    (1) Your skills and experience are relevant to your proposed 
research manuscript (e.g., course work, teaching, research projects, 
presentations);
    (2) You have undertaken appropriate preparation (e.g., preliminary 
design of the survey collection instruments, pre-clearance on 
interviews) to undertake the dissertation; and
    (3) Your proposed research will help to further your research 
skills (i.e, it is relevant to the kinds of projects you will continue 
to work on as you earn your Ph.D.).

Rating Factor 4: Timely Completion and Issuance of Your Research 
Manuscript (10 points)

    In reviewing this factor, HUD will determine the extent to which 
your research design and methodology and plan for completion of your 
research manuscript can feasibly be completed within the one-year grant 
period and the likelihood that, either by September 30, 2002, the 
manuscript will be presented at a conference or for publication in a 
refereed journal by September 30, 2002, or a small committee of three 
faculty members can certify that the manuscript is high quality and 
worthy of submission to conferences or refereed journals. Applications 
that propose extremely complex and time-consuming data collection 
efforts (e.g., major longitudinal studies or a very large number of 
sites visits within the grant period) will determined to be less 
feasible of completion within the

[[Page 12413]]

allowed time frame. For example, if you propose a methodology based on 
information that may not be publicly available until after the end of 
the grant period (e.g., Census information), or a data collection plan 
that will take longer than the time you have allowed for it, you will 
get a lower score than if you have presented a time line and 
methodology that show evidence that the research project can be 
completed within the grant period.
    (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 
1, Relevance to HUD's Mission, shall be selected. If there is still a 
tie, the application with the most points for Factor 2, Quality of the 
Research Design, shall be selected.
    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 one computer disk (in Word 6.0 
or higher) 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 and 
they must be included in the order shown here. There is no separate 
application kit for this program. 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, referred to as the ``non-standard forms,'' can be found as 
Appendix A to this program section of the SuperNOFA. Sample documents 
are also included in this appendix. The items are as follows:
    (A) SF-424, Application for Federal Assistance. Include the name 
and address of the person authorized to execute the grant agreement in 
Block 5. Include the institution's tax ID number in Block 6. The 
Catalogue of Federal Domestic Assistance number for the program is 
14.517. The form should be signed by the appropriate university 
official.
    (B) Table of contents of the application.
    (C) Transmittal Letter, from you, containing the following 
information:
    (1) Title of your research project;
    (2) Your name, university and home addresses, university and home 
telephone numbers, facsimile numbers, and email address;
    (3) Your university's name, department, mailing address, telephone 
and facsimile numbers.
    (4) Your faculty advisor's name, address, telephone and facsimile 
numbers--this person will serve as the Principal Investigator for the 
grant.
    (D) A statement from your department chair that you have met all 
the eligibility criteria described in Section III(B) (see Appendix A 
for a sample).
    (E) A statement from the appropriate official that describes your 
university's support, as described in Section III(E) (see Appendix B 
for a sample).
    (F) An abstract of 500 words or less that addresses the following 
topics:
    (1) Specific purpose of the dissertation;
    (2) Methodology being used; and
    (3) How you meet the eligibility criteria.
    (G) A narrative of the proposed research, not to exceed 5 double-
spaced typed pages. This narrative must include the following items in 
the following order:
    (1) Statement of the problem;
    (2) Research design and methodology;
    (3) Policy relevance of the research;
    (4) Your resume including educational background, research 
experience, background in statistics and empirical research, computer 
experience, and background in housing and/or urban studies.
    (H) A proposed budget (See Appendix C for a sample).
    (I) Certifications. These forms must be signed by the doctoral 
candidate and can be downloaded from the HUD web site at www.hud.gov.
    (1) HUD-2992, Certification regarding debarment and suspension 
pursuant to 24 CFR part 24.
    (2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
    (3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24 
CFR 24.600 et seq.
    (J) Acknowledgment of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.

VI. Environmental Requirements

    The provision of assistance under this program is categorically 
excluded from environmental review under the National Environmental 
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance 
actions for related environmental authorities under Sec. 50.19(b)(1) 
and (b)(9).

VII. Authority

    This program is being undertaken under HUD's research authority 
under Title V of the Housing and Urban Development Act of 1970.

Appendices A, B and C

    The non-standard sample forms and letters, which follow, are 
required for your Early Doctoral Student Research Grant application.

Appendix A--Sample Statement From Advisor

March 10, 2001
    To Whom It May Concern: Jane Jones is a doctoral student at 
Northern State University. As of the date of this letter her major 
field of study is (e.g., planning, public policy, urban studies) 
with a concentration in urban economics. She has completed three 
terms of her doctoral coursework and has not yet taken her 
comprehensive examinations. An advisor has been assigned to her for 
the work she would do under this grant. It is realistic to expect 
that the proposed research manuscript will be completed within the 
one-year grant period and either accepted for presentation at a 
scholarly conference and/or publication in a refereed journal by 
September 30, 2002, or certified by a faculty committee that it is 
worthy of being submitted for presentation or publication.

Sincerely,
Dr. Peter Paul, Professor and Chair, Department of City Planning

Appendix B--Sample Description of University Support

March 9, 2001
    To Whom It May Concern: John Grey is a doctoral student in the 
Planning Department at Eastern University, working on a research 
manuscript titled ``The Economics of Smart Growth.'' Office space, 
computer hardware, software for preparing statistical summaries, a 
research library, and several bibliographic databases will be 
available to Mr. Grey without charge to the grant for which he is 
applying.

Prof. Bradley Street, Department of Geography, Dissertation 
Committee Chair

Appendix C--Budget Instructions

    A sample budget for an application is shown below. The 
categories of expenses shown do not necessarily apply to all

[[Page 12414]]

applications, and some applications may have expense categories not 
shown. The sample is representative, not binding.

``The Economics of Smart Growth''

John Jones, 621 Elm Street, Academia, USA 12345, March 10, 2000

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Services:
Applicant (J. Jones):
    ___days @ $___/day...........................   =    $         x,xxx
Other professionals:
    A. Smith, ___ days @ $___/day................   =    $        xx,xxx
    B. Brown, ___days @ $___/day.................   =    $           xxx
Clerical:
    C. Johnson, ___ days @ $___/day..............   =    $           xxx
                                                            ------------
        Subtotal, service........................   =    $        xx,xxx
Other:
    Travel: ___ trips @ $___/trip................   =    $         x,xxx
    Computer usage...............................   =    $           xxx
    Reproduction costs...........................   =    $           xxx
    Phone, mailing, misc. materials..............   =    $           xxx
                                                            ------------
        Subtotal, other..........................   =    $         x,xxx
                                                            ============
        Total estimated cost.....................   =    $        xx,xxx
------------------------------------------------------------------------

BILLING CODE 4210-32-P

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Notices  

[[Page 12415]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.390


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12416]]


      

[[Page 12417]]

FUNDING AVAILABILITY FOR DOCTORAL DISSERTATION RESEARCH GRANT 
PROGRAM

Program Overview

    Purpose of the Program. To assist Ph.D. candidates complete their 
research and dissertations on housing and urban development issues.
    Available Funds. Approximately $600,000.
    Eligible Applicants. Only Ph.D. candidates who have completed all 
of their doctoral program requirements except the preparation of the 
dissertation.
    Application Deadline. April 26, 2001.
    Match. None.

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 April 26, 2001. You should read 
the general section of the SuperNOFA because it contains more detailed 
information about the application due date.
    Address for Submitting Applications. Your completed application 
consists of an original signed application and an electronic copy of 
the application. If you are submitting your application by mail, you 
should send it to the following address: University Partnerships 
Clearinghouse, Aspen Systems Corporation, Mail Stop 5B, 2277 Research 
Blvd., Rockville, MD 20850. If you are hand-delivering your application 
on or before the due date, you should deliver it to Room 8110 during 
normal business hours or to the South Lobby after these hours and 
before midnight. You should read the General Section of the SuperNOFA 
because it contains more detailed information on submission deadlines. 
Please mark on the envelope for your application that it is the 
Doctoral Dissertation Research Grant Program.
    HUD will accept only one application per Ph.D. candidate.
    For Application Kits. The application requirements are contained in 
this program NOFA. There is no separate application kit for the 
program.
    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 [email protected].

II. Amount Allocated

    Approximately $600,000 in FY 2001 funds is being made available 
under this SuperNOFA for the Doctoral Dissertation Research Grant 
Program (DDRG).
    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 by and awarded to a Ph.D. 
candidate is $30,000. 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 DDRG is to enable Ph.D. 
candidates enrolled at accredited institutions of higher education to 
complete their research and dissertations on HUD-related housing and 
urban development issues. The FY 2001 DDRG program seeks to fund 
dissertations that will inform Federal problem-solving and policy 
making relating to HUD's policy priorities for this year. These 
priorities are:
    (1) Economic development in ``untapped'' markets--e.g., efforts to 
create or expand businesses while meeting the needs of under-served 
inner-city, older suburb, or rural areas; expansion of access to 
capital; joint ventures with community-based organizations;
    (2) Development of inner cities--e.g., studies of reinvestment 
pressures; theories of capital/land/market failure that explain why 
vast areas of many cities have essentially lain dormant or suffered 
depopulation and/or disinvestment patterns; government policies or 
market interventions that would alleviate these patterns;
    (3) Issues in housing finance--e.g., institutional barriers to 
efficiency in the housing finance system; enabling the housing finance 
system to better serve low-income and minority borrowers more 
effectively; the present and future role of FHA in housing finance;
    (4) Affordability of rental housing--e.g., policy and program 
options in tight or ``hot'' markets; innovative partnerships or 
finance; impacts on very-low-income families; preservation of existing 
housing stock;
    (5) Homeownership--e.g., relative importance of factors in tenure 
decisions; estimation of private and social benefits and costs of 
homeownership; role in household savings and investment decisions; 
effects of demographics, macro-economic environment, and government 
policies on homeownership;
    (6) Regionalism and ``Smart Growth''--e.g., the economic 
interdependence of cities and suburbs; connecting the disadvantaged to 
metropolitan resources; sustainable growth attentive to the economy, 
the environment, and social equity; rehabilitation and infill 
development; fiscal disparity issues; and regional problem-solving and 
coalition building;
    (7) Housing markets--e.g., factors affecting rents, home values, 
tenure, vacancy rates, market absorption of new units, construction 
activity;
    (8) Housing stock--e.g., durability of stock; factors determining 
rehabilitation and remodeling; comparisons with stock in other 
developed countries;
    (9) Workforce development through the roles of place-based 
initiatives, community-based organizations, educational institutions, 
and housing providers--e.g., roles; impacts and effectiveness; links to 
welfare-to-work; emerging models;
    (10) Fair housing--e.g., effectiveness of local initiatives; 
emerging models; links to schooling or other services; zoning and land 
use; political management and coalition building; NIMBY-ism; effect on 
low-income families; gentrification; housing choice; environmental 
justice;
    (11) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility; 
linked services; aging in place;
    (12) Community development and community building--e.g., impacts 
and effectiveness; faith-based and higher education community building 
efforts; emerging models; challenges and pitfalls;
    (13) Home equity conversion mortgages (HECMs)--e.g., impact of 
HECMS on social welfare, availability of housing for younger families, 
effect on optimal aggregate debt to housing equity ratio as the 
population ages;
    (14) Evaluation of existing housing programs--e.g., opting out of 
Section 8 project-based contracts, cost-benefit analyses of alternative 
methods for providing housing assistance; and
    (15) Evaluation of college/community partnerships focused on 
community and economic development and methods for institutionalizing 
these partnerships at colleges and universities.
    (B) Eligible Applicants. You must be a currently enrolled and 
matriculating student who has been accepted into candidacy in an 
accredited doctoral program at an accredited institution of

[[Page 12418]]

higher education and have a fully developed and approved dissertation 
proposal. You must provide documentation from your dissertation 
committee chair that:
    (1) By the application due date, your dissertation proposal has 
been accepted by your full dissertation committee and you have been 
assigned a dissertation advisor;
    (2) By September 1, 2001, you will have satisfactorily completed 
all other written and oral Ph.D. requirements, including all your 
examinations and defense of your proposal, except the dissertation; and
    (3) It is realistic to believe that the dissertation can be 
completed within the two-year grant period.
    In addition, you and your institution must meet all the applicable 
threshold requirements found in Section II(B) of the General Section of 
the SuperNOFA.
    (C) Eligible Activities. Your grant must support direct costs 
incurred in the timely completion of a dissertation. Eligible costs 
include stipends, computer software, the purchase of data, travel 
expenses to collect data; transcription services, and compensation for 
interviews. Six thousand dollars of the grant will be held back until 
you have completed your dissertation, had it approved by your 
committee, and submitted it to HUD.
    (D) Ineligible Activities. Your grant may not be used to pay for 
tuition, computer hardware, or meals.
    (E) Other Requirements. (1) Support from your university. Support 
from your university is required. Such support might include tuition 
waivers, office space, equipment, computer time, or similar items you 
might need in order to complete your dissertation. This support may not 
replace support or assistance that your institution would otherwise 
provide you.
    (2) University sponsorship. The university shall enter into a Grant 
Agreement with HUD that provides for payment of the grant by HUD to the 
university and from the university to the approved applicant, and that 
further provides all required certifications and assurances. The 
university shall agree to provide as the Principal Investigator under 
the Grant Agreement a dissertation advisor or chair of the applicant's 
dissertation committee who shall supervise the work of the applicant 
under the Grant Agreement.
    (3) Progress reporting. You will be required to submit a report, at 
the end of the first year of your grant, on the progress you have made 
towards completion of the dissertation and the likelihood that you will 
complete it on time.

IV. Application Selection Process

    HUD will conduct two types of review: a threshold review to 
determine your eligibility to apply; and a technical review to rate 
your 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 the following 
standards are met:
    (1) You are an eligible Ph.D. candidate, as defined in Section 
III(B) above and have provided a letter from your dissertation 
committee chair, in the format in Appendix A, confirming this;
    (2) You have requested no more than the $30,000 grant maximum; and
    (3) Your institution has agreed to provide some support to you as 
part of this grant.
    (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 100.

Rating Factor 1: Relevance of Your Dissertation to the Department's 
Mission and Research Priorities (35 points)

    In reviewing this factor, HUD will determine the extent to which 
your dissertation will produce policy-relevant information that is 
directly related to one of the research priorities listed above (i.e., 
the research that will be produced could have an effect on HUD's 
strategic goals and HUD's programs and policies to achieve these 
goals--see the HUD web site at http://www.hud.gov/reform/strpln.html 
for a discussion of these goals). The less directly related to one of 
these topics your dissertation is, the less points you will receive. 
For example, a study of minorities' housing choice decisions would have 
high relevance to HUD's strategic goals; a study of transportation 
inequities would have medium relevance; and a study of the effects of 
global warming on urban development would have low relevance.

Rating Factor 2: Quality of Your Research Design (35 points)

    In reviewing this factor, HUD will determine the extent to which 
your research design and methodology are likely to produce data and 
information that will successfully answer your research hypotheses. HUD 
will also evaluate the extent to which the methodology you propose to 
use is sound and generally accepted by the relevant research community. 
Reviewers will be looking at the extent to which you use standard 
methodological practices in line with research already completed or 
existing publications in the field related to your research questions.

Rating Factor 3: Your Skills and Preparation (20 points)

    In reviewing this factor, HUD will determine the extent to which 
your skills and experience are relevant to your proposed dissertation 
(e.g., course work, teaching, research projects, presentations). HUD 
will determine the extent to which you have undertaken appropriate 
preparation (e.g., selecting sites for data collection, identifying 
potential interviewees and categories of interviewees, pre-clearance on 
interviews) to undertake the dissertation. HUD will also determine the 
extent to which your previous research experience (e.g., graduate-level 
research projects, presentations at conferences, publications, etc.) is 
relevant to and supportive of your proposed dissertation

Rating Factor 4: Timely Completion of Your Dissertation (10 points)

    In reviewing this factor, HUD will determine the extent to which 
your research design and methodology and plan for completion of the 
dissertation can be completed within the two-year grant period. 
Applications that propose extremely complex and time-consuming data 
collection efforts (e.g., major longitudinal studies or a very large 
number of sites visits within the two year grant period) will be 
determined to be less feasible of completion within the allowed time 
frame. For example, if you propose a methodology based on information 
that may not be publicly available until after the end of the two-year 
grant period (e.g., Census information), or a data collection plan that 
will take longer than the time you have allowed for it, you will get a 
lower score than if you have presented a time line and methodology that 
show evidence that the dissertation can be completed within the grant 
period.
    (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 
1, Relevance to HUD's Mission, shall be selected. If there is still a 
tie, the application with the most points for Factor 2, Quality of the 
Research Design, shall be selected.

[[Page 12419]]

    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 one computer disk (in Word 6.0 
or higher) 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 and 
they must be included in the order shown here. There is no separate 
application kit for this program. 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, referred to as the ``non-standard forms,'' can be found as 
Appendix A to this program section of the SuperNOFA. Sample documents 
are also included in this appendix. The items are as follows:
    (A) SF-424, Application for Federal Assistance. Include the name 
and address of the person authorized to execute the grant agreement in 
Block 5. Include the institution's tax ID number in Block 6. The 
Catalogue of Federal Domestic Assistance number for the program is 
14.516. The form should be signed by the appropriate university 
official.
    (B) Table of contents of the application.
    (C) Transmittal Letter, from you, containing the following 
information:
    (1) Title of your dissertation;
    (2) Your name, university and home addresses, university and home 
telephone and facsimile numbers, and email address;
    (3) Your university's name, department, mailing address, telephone 
and facsimile numbers.
    (4) Your dissertation advisor's name, address, telephone and 
facsimile numbers--this person will serve as the Principal Investigator 
for the grant.
    (D) A statement from your dissertation advisor or chair of the 
dissertation committee that you have met all the eligibility criteria 
described in Section III(B) (see Appendix A for a sample).
    (E) A statement from the appropriate official that describes your 
university's support, as described in Section III(E) (see Appendix B 
for a sample).
    (F) An abstract of 500 words or less that addresses the following 
topics:
    (1) Specific purpose of the dissertation;
    (2) Methodology being used; and
    (3) How you meet the eligibility criteria.
    (G) A narrative of the proposed research, not to exceed 10 double-
spaced typed pages. Do not submit your dissertation proposal itself. 
This narrative must include the following in the following order:
    (1) Statement of the problem;
    (2) Research design and methodology;
    (3) Policy relevance of the research;
    (4) Your resume including educational background, research 
experience, publications, background in statistics and empirical 
research, computer experience, and background in housing and/or urban 
studies.
    (H) A proposed budget (See Appendix C for a sample).
    (I) Certifications. These forms must be signed by the doctoral 
candidate and can be downloaded from the HUD web site at www.hud.gov.
    (1) HUD-2992, Certification regarding debarment and suspension 
pursuant to 24 CFR part 24.
    (2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
    (3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24 
CFR 24.600 et seq.
    (J) Acknowledgment of Receipt of Applications (HUD-2993). If you 
wish to confirm that HUD received your application, please complete 
this form. This form is optional.

VI. Environmental Requirements

    The provision of assistance under this program is categorically 
excluded from environmental review under the National Environmental 
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance 
actions for related environmental authorities under Sec. 50.19(b)(1) 
and (b)(9).

VII. Authority

    This program is being undertaken under HUD's research authority 
under Title V of the Housing and Urban Development Act of 1970.

Appendices A, B and C

    The non-standard sample forms and letters, which follow are 
required for your Doctoral Dissertation Research Grant application.

Appendix A--Sample Statement From Advisor

March 10, 2001
    To Whom It May Concern: John Jones, Ph.D. candidate in urban 
studies at Northern State University, as of the date of this letter, 
he will have defended his dissertation proposal, it has been 
formally approved by the dissertation committee, and a dissertation 
advisor has been assigned to him. In addition, he will have 
completed all written and oral Ph.D. examination requirements by 
September 1, 2001. It is realistic to believe that Mr. Jones' 
dissertation can be completed within a two-year period.

Sincerely,
Dr. Peter Paul, Professor of Urban Studies and Chairman of John 
Jones' Dissertation Committee

Appendix B--Sample Description of University Support

March 9, 2001
    To Whom It May Concern: Sarah Grey is a Ph.D. student in the 
Geography Department of Eastern University, working on a 
dissertation titled ``Redevelopment Practices in Lower Manhattan.'' 
Office space, computer hardware, software for preparing statistical 
summaries, a research library, and several bibliographic databases 
will be available to Ms. Grey without charge to the grant for which 
she is applying.

Sincerely,
Prof. Bradley Street, Department of Geography, Dissertation 
Committee Chair

Appendix C--Budget Instructions

    A sample budget for an application is shown below. The 
categories of expenses shown do not necessarily apply to all 
applications, and some applications may have expense categories not 
shown. The sample is representative, not binding.

``A Study of Faith-Based Organizations's Effectiveness in Local 
Community Development Projects''

John Jones, 621 Elm Street, Academia, USA 12345, March 10, 2000

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Services:
Applicant (J. Jones):
    ______days @ $______/day.....................   =    $         x,xxx

[[Page 12420]]

 
Other Professionals:
    A. Smith,______days @ $______/day............   =    $        xx,xxx
    B. Brown,______days @ $______/day............   =    $           xxx
Clerical:
    C. Johnson,______days @ $______/day..........   =    $           xxx
                                                            ------------
        Subtotal, service........................   =    $        xx,xxx
Other:
    Travel:______trips @ $______/day.............   =    $         x,xxx
    Computer usage...............................   =    $           xxx
    Reproduction costs...........................   =    $           xxx
    Phone, mailing, misc. materials..............   =    $           xxx
                                                            ------------
        Subtotal, Other..........................   =    $         x,xxx
                                                            ============
        Total Estimated Cost.....................   =    $        xx,xxx
------------------------------------------------------------------------

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Notices  

[[Page 12421]]


[GRAPHIC] [TIFF OMITTED] TN26FE01.391


  Federal Register / Vol. 66, No. 38 / Monday, February 26, 2001 / 
Notices  

[[Page 12422]]


      

[[Page 12423]]

FUNDING AVAILABILITY FOR HUD URBAN SCHOLARS FELLOWSHIP PROGRAM

Program Overview

    Purpose of the Program. To provide encouragement to new scholars to 
undertake research now, and throughout their careers, on research 
topics of interest to HUD.
    Available Funds. Approximately $550,000.
    Eligible Applicants: Only Ph.D.s who have an academic appointment 
at an institution of higher education and have received their Ph.D.s no 
earlier than January 1, 1996.
    Application Deadline. June 5, 2001.
    Match. University support in terms of course load reductions, 
indirect costs waived, space, etc. are required.

Additional Information

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

    Application Due Date. Your completed application must be received 
on or before 5:00 pm Eastern time, on June 5, 2001.
    Address for Submitting Applications. Your completed application 
consists of an original signed application, which can be submitted in 
hard copy or electronically. Submit your completed application to the 
following address: The Fellowship Office/HUD TJ 2041, National Research 
Council, 2101 Constitution Avenue, N.W., Washington, DC 20418. Please 
mark on the envelope for your application that it is the HUD Urban 
Scholars Fellowship Program.
    HUD will accept only one application for an applicant.
    For Application Kits. An application kit can be obtained by calling 
or writing the Fellowship Office/HUD, TJ 2041, National Research 
Council, 2101 Constitution Avenue, N.W., Washington DC 20418, telephone 
number 202-334-2872 and facsimile number 202-334-3419. The application 
kit can be downloaded from the Internet at
http://national-academies.org/osep/fo.
    For Further Information and Technical Assistance. You may call the 
above number. You may also write to NAS via e-mail at [email protected].

II. Amount Allocated

    Approximately $550,000 in FY 2001 funds is being made available 
under this SuperNOFA for the HUD Urban Scholars Fellowship Program.
    The maximum grant period is 15 months. The performance period will 
commence on the effective date of the grant agreement.
    The maximum amount to be requested by and awarded to an applicant 
is $55,000. NAS 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 purposes of the HUD Urban Scholars 
Program are to:
    (1) Fund research relevant to HUD priorities and issues;
    (2) Provide encouragement to new scholars to undertake research 
now, and for the rest of their careers, on research topics of interest 
to HUD; and
    (3) Have an impact on the academic context in which these scholars 
work so that this kind of research becomes highly valued. The research 
priorities for the HUD Urban Scholars Program are designed to inform 
Federal problem-solving and policy making relating to HUD's strategic 
goals for this year.
    Listed below are these goals and examples of research topics. 
Proposals are not limited to these example topics but should, in any 
case, relate to one of the HUD strategic goals listed below.

Goal #1, Improving Community Quality of Life and Economic Vitality

    (1) Economic development in ``untapped'' markets--e.g., efforts to 
create or expand businesses while meeting the needs of under-served 
inner-city, older suburb, or rural areas; expansion of access to 
capital; joint ventures with community-based organizations.
    (2) Evaluation of college/community partnerships focused on 
community and economic development and methods for institutionalizing 
these partnerships at colleges and universities.
    (3) Development of inner cities--e.g., studies of reinvestment 
pressures; theories of capital/land/market failure that explain why 
vast areas of many cities have essentially lain dormant or suffered 
depopulation or disinvesment; government policies or market 
interventions that would alleviate these patterns.
    (4) Regionalism and ``Smart Growth--e.g., the economic 
interdependence of cities and suburbs; connecting the disadvantaged to 
metropolitan resources; sustainable growth attentive to the economy, 
the environment, and social equity; rehabilitation and infill 
development; fiscal disparity issues; and regional problem-solving and 
coalition building.
    (5) Community development and community building--e.g., impacts and 
effectiveness; faith-based and higher education community building 
efforts; emerging models; challenges and pitfalls.
    (6) Understanding the basic processes of urban demographic, social, 
and/or political change.

Goal #2, Promoting Self-sufficiency and Asset Development by 
Families and Individuals

    (1) Workforce development through the roles of placed-based 
initiatives, education providers, community-based organizations, 
educational institutions, and housing providers--e.g., roles; impacts 
and effectiveness; links to welfare-to-work; one-stop shops; emerging 
models.
    (2) Home equity conversion mortgages (HECMs)--e.g., impact of HECMS 
on social welfare, availability of housing for younger families, effect 
on optimal aggregate debt to housing equity ratio as the population 
ages.
    (3) Strategies to combat homelessness--e.g., effective models, 
causes; links to welfare-to-work and affordable housing; issues of and 
responses to youth homelessness.

Goal #3, Increasing the Availability of Decent, Safe, and 
Affordable Housing in American Communities

    (1) Housing finance--e.g., institutional barriers to efficiency in 
the housing finance system; enabling the housing finance system to 
better serve low-income and minority borrowers more effectively; the 
present and future role of FHA in housing finance.
    (2) Affordability of rental housing--e.g., policy and program 
options in tight or ``hot'' markets; innovative partnerships or 
finance; impacts on very-low-income families; preservation of existing 
housing stock.
    (3) Homeownership--e.g., relative importance of factors in tenure 
decisions; estimation of private and social benefits and costs of 
homeownership; role in employment, household savings, and investment 
decisions; effects of demographics, macro-economic environment, and 
government policies on homeownership.
    (4) Housing markets--e.g., factors affecting rents, home values, 
tenure, vacancy rates, market absorption of new units, construction 
activity.
    (5) Housing stock--e.g., durability of stock; factors determining 
rehabilitation and remodeling; comparisons with stock in other 
developed countries.
    (6) Housing needs of the elderly and persons with disabilities--
e.g., availability; design and quality; affordability; accessibility; 
linked services; aging in place.

[[Page 12424]]

    (7) Evaluation of existing housing programs--e.g., opting out of 
Section 8 project-based contracts, cost-benefit analyses of alternative 
methods for providing housing assistance.

Goal #4, Ensuring Equal Opportunity in Housing for All Americans

    (1) Fair housing--e.g., effectiveness of local initiatives; 
emerging models; links to schooling or other services; gentrification; 
housing choice; environmental justice; zoning and land use; political 
management and coalition building; NIMBY-ism; effect on low-income 
families.
    (2) Discrimination in housing and lending--e.g., methods to detect 
discrimination; systemic patterns and practices.
    (3) Concentration of poverty--e.g., impact of housing strategies; 
effective strategies to promote deconcentration.
    (B) Eligible Applicants. You must have your Ph.D. and meet the 
following conditions:
    (1) You must have an academic appointment with an institution of 
higher education. This means that you must either be on a tenure track 
or be on a term (teaching or research) appointment that will extend 
beyond the 15-month duration of this fellowship;
    (2) You must have received your Ph.D. no earlier than January 1, 
1996;
    (3) It is realistic to believe that your proposed research project 
can be completed within the 15-month fellowship period; and
    (4) You must have support from your institution as attested to in 
the letter described below in Section III(E)(1).
    In addition, you must meet all the applicable threshold 
requirements found in Section II(B) of the General Section of the 
SuperNOFA.
    (C) Eligible Activities. Your grant must support costs related to 
completion of your research project. Eligible costs include, but are 
not limited to, your salary for two summers, graduate assistants to 
work on the project, up to $2,500 per course for the cost of employing 
a replacement for the course(s) your university relieves you from 
teaching, computer software, survey development and administration, the 
purchase of data, travel expenses to collect data or to make 
presentations at meetings on your findings; transcription services, 
compensation for interviews; and no more than eight (8) percent of the 
university's indirect costs.
    (D) Ineligible Activities. Your grant may not be used to pay for 
tuition, computer hardware, meals, relocation costs, or other costs not 
directly related to your research project. Fellowship funding cannot be 
used to substitute for university funding.
    (E) Other Requirements. (1) Support from your university. Support 
from your university is required. Institutions will be required to 
contribute, at a minimum, the following:
    (a) Designating a faculty advisor to monitor your progress on your 
research project;
    (b) Office space, computer usage, etc.; and
    (c) Waived indirect costs above the eight percent allowed to be 
covered by this fellowship. In addition, your application will be 
viewed more favorably if your institution agrees to reduce your course 
load by at least one course per term or semester, but to continue 
paying you your full salary.
    (2) Progress reporting. You will be required to submit a report, 
halfway through your fellowship, on the progress you have made towards 
completion of the research project and the likelihood that you will 
complete it on time.
    (3) Mentors. You will be required to work with a mentor on your 
research project. The mentor, who can be someone in your institution or 
elsewhere, should be a well-respected scholar in the area of your 
research topic. The mentor will be expected to provide you with advice 
and direction on substantive research issues. The mentor and the 
faculty monitor described above can be, but do not have to be, the same 
person.

IV. Application Selection Process

    The competition and selection process for this program will be run 
by the National Academy of Sciences (NAS). NAS will conduct two types 
of review: a threshold review to determine your eligibility to apply; 
and a technical review to rate your 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 the following 
standards are met:
    (1) You are eligible to apply for this program, as defined in 
Section III(B) above and have provided a letter from department chair 
confirming this;
    (2) You have obtained a mentor and have included a letter from this 
person confirming this and describing his/her role in your research;
    (3) Your institution has agreed to provide some support to you, 
above that provided by this funding, as part of this grant.
    (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 100.

Rating Factor 1: Appropriateness of Your Methodology and Approach 
to the Topic (25 points)

    In reviewing this factor, NAS will determine the extent to which 
your research design and methodology are likely to produce data and 
information that will successfully answer your research hypotheses. NAS 
will also evaluate the extent to which the methodology you propose to 
use is sound and generally accepted by the relevant research community. 
Reviewers will be looking at the extent to which you use standard 
methodological practices in line with research already completed or 
existing publications in the field related to your research questions.

Rating Factor 2: Ability of Your Research Project To Add to the 
Knowledge Base of the Topic To Be Studied (20 points)

    In reviewing this factor, NAS will determine the extent to which 
your proposed project undertakes research on an area not covered by 
previous research or proposes to look at a previously studied research 
topic in a new and different way. Reviewers will look the clarity and 
compellingness of the case the applicant makes for this project in the 
context of the existing literature and knowledge base for that topic.

Rating Factor 3: Relevance of Your Research to HUD's Strategic 
Goals (15 points)

    In reviewing this factor, NAS will determine the extent to which 
your proposed research project will produce policy-relevant information 
that is directly related to one of the strategic goals listed above 
(i.e., the research could have an effect on one of the goals and on 
HUD's programs and policies to achieve these goals). More information 
can be found about these goals by going to the HUD web site at http://www.hud.gov/reform/strpln.html. The less directly related to one of 
these goals your research project is, the less points you will receive. 
For example, a study of minorities' housing choice decisions would have 
high relevance to HUD's strategic goals; a study of transportation 
inequities would have medium relevance; and a study of the effects of 
global warming on urban development would have low relevance.

[[Page 12425]]

Rating Factor 4: Your Skills and Preparation (15 points)

    In reviewing this factor, NAS will determine the extent to which 
your training, past employment, and past written work, such as your 
dissertation, teaching, coursework, and previously completed research 
papers that were accepted for presentation or publication, lay a 
foundation for this proposed work.

Rating Factor 5: Commitment of the University (10 points)

    In reviewing this factor, NAS will determine the extent of the 
commitment of your university, beyond that required in Section 
III(E)(1). The quality of your institution's commitment, in terms of 
its furthering your research project will also be evaluated under this 
factor. For example, your university could propose to cover the cost of 
a graduate assistant to work on your research project in order to 
demonstrate its commitment beyond what is required of it. The larger 
the commitment, translated into dollar terms, the higher the points. 
Full points can only be received if your institution agrees to reduce 
your course load by one course a semester or term but to continue 
paying you your full salary.

Rating Factor 6: Timely Completion of Your Research Project (10 
points)

    In reviewing this factor, NAS will determine the extent to which 
your research design and methodology and plan for completion of your 
research project can feasibly be completed within the fifteen-month 
fellowship period. Applications that propose extremely complex and 
time-consuming data collection efforts (e.g., major longitudinal 
studies or a very large number of sites visits within the grant period) 
will determined to be less feasible of completion within the allowed 
time frame. For example, if you propose a methodology based on 
information that may not be publicly available until after the end of 
the grant period (e.g., Census information), or a data collection plan 
that will take longer than the time you have allowed for it, you will 
get a lower score than if you have presented a time line and 
methodology that show evidence that the research project can be 
completed within the grant period.

Rating Factor 7: Quality of the Mentoring Plan (5 points)

    In reviewing this factor, NAS will determine the appropriateness of 
the person chosen to be your mentor (in terms of his/her previous work 
(e.g., research, publications, presentations, standing in the research 
community) and availability) and the role the mentor has agreed to play 
in your project. The higher the time commitment the mentor makes to 
you, the higher points your will receive.
    (C) Selections. NAS will fund applications in rank order, until it 
has awarded all available funds. However, as noted in Section II, NAS 
reserves the right to make awards for less than the amount requested in 
your application. After all application selections have been made, NAS 
may require that you participate in negotiations to determine the 
specific terms of the fellowship and the grant budget. In cases where 
NAS cannot successfully complete negotiations, or you fail to provide 
NAS with requested information, an award will not be made. In such 
instances, NAS 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 or electronic copy of your 
application. Please note the page limits for some of the items listed 
below and do not exceed them.
    The application kit made available by NAS will include, but may not 
be limited to, the following items:
    (A) Applicant information including:
    (1) Title of your research project;
    (2) Your name, university and home addresses, university and home 
telephone and facsimile numbers, and e-mail address;
    (3) Your university's name, department, mailing address, telephone 
and facsimile numbers.
    (4) Your advisor's name, address, telephone and facsimile number, 
and e-mail address;
    (5) Your mentor's name, address, telephone and facsimile number, 
and e-mail address;
    (6) Evidence of being eligible to apply because you received your 
Ph.D. no earlier than January 1, 1996;
    (7) Your graduate and post-graduate educational background.
    (B) A letter from the chair of your department that you have met 
all the eligibility criteria described in Section III(B).
    (C) A letter from the appropriate official that describes your 
university's support, as described in Section III(E).
    (D) A letter from your mentor stating his/her qualifications to be 
your mentor, his/her proposed role in your research project, and his/
her availability to be your mentor.
    (E) A one-page abstract of your research project.
    (F) A narrative of the proposed research, not to exceed 10 double-
spaced typed pages. This narrative must include the following in the 
following order:
    (1) Statement of the problem;
    (2) Research design and methodology;
    (3) Policy relevance of the research;
    (4) How the research will add to the current knowledge base.
    (G) A working bibliography of your proposed project.
    (H) An annotated bibliography, e.g., a two- or three-sentence 
annotation for ten to twelve key sources in your working bibliography.
    (I) List of your publications: books, refereed journal articles, 
chapters contributed to books, articles in published proceedings, and 
any other articles.
    (J) List of text and poster presentations made during the last five 
years.
    (K) A one-page abstract of your dissertation.
    (L) Grants and awards received during the last five years.
    (M) Teaching load during the last five years.
    (N) Two letters of reference.
    (O) A proposed budget.
    (P) Certifications. These forms must be signed by the applicant and 
can be downloaded from the HUD web site at www.hud.gov.
    (1) HUD-2992, Certification regarding debarment and suspension 
pursuant to 24 CFR part 24.
    (2) HUD-50071, Disclosure of lobbying pursuant to 24 CFR part 87.
    (3) HUD-50070, Certification of Drug-Free Workplace, pursuant to 24 
CFR 24.600 et seq.

VI. Environmental Requirements

    The provision of assistance under this program is categorically 
excluded from environmental review under the National Environmental 
Policy Act of 1969 (42 U.S.C. 4321) and not subject to compliance under 
related environmental authorities under 24 CFR 50.19(b)(1) and (b)(9).

VII. Authority

    This program is being undertaken under HUD's research authority 
under Title V of the Housing and Urban Development Act of 1970 (Pub.L. 
91-609).

[FR Doc. 01-4310 Filed 2-23-01; 8:45 am]
BILLING CODE 4210-32-P