[Federal Register Volume 68, Number 79 (Thursday, April 24, 2003)]
[Notices]
[Pages 20314-20321]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-10094]



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Part III





Department of Housing and Urban Development





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Notice of Funding Availability (NOFA) for the Permanent Housing and 
Special Efforts for Subpopulations Technical Assistance Program 
(PHASES-TA); Notice

  Federal Register / Vol. 68, No. 79 / Thursday, April 24, 2003 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4802-N-01]


Notice of Funding Availability (NOFA) for the Permanent Housing 
and Special Efforts for Subpopulations Technical Assistance Program 
(PHASES-TA)

AGENCY: Office of Community Planning and Development, HUD.

ACTION: Notice of funding availability (NOFA).

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SUMMARY: Purpose of the Program: The purpose of the technical 
assistance (TA) program detailed in this NOFA is: To provide technical 
assistance to grantees, project sponsors, and potential applicants for 
the McKinney-Vento Act funded Supportive Housing Program, Section 8 
Moderate Rehabilitation Single Room Occupancy, and Shelter Plus Care 
projects to promote the development of permanent housing and supportive 
services as part of the Continuum of Care (CoC) approach, including 
innovative approaches to enable homeless persons to live as 
independently as possible. A Continuum of Care approach helps 
communities plan for and provide a balance of emergency, transitional, 
and permanent housing and service resources to address the needs of 
homeless persons so they can make the critical transition from the 
streets to permanent housing and independent living. In addition to 
prevention, the fundamental components of a CoC system are outreach and 
assessment to identify an individual's or family's needs and make 
connections to facilities and services, emergency shelter, transitional 
housing, and permanent housing arrangements. In addition, this TA 
program is intended to provide assistance to faith-based and other 
community grassroots organizations, veteran-specific organizations, and 
organizations serving Colonias areas to better enable them to develop 
and implement viable project proposals to assist homeless persons using 
McKinney-Vento funds.
    HUD's Strategic Goals: Activities funded through this NOFA are 
meant, to the extent practicable, to support the Strategic Goals 
described below:
    Strategic Goal 1. Effectively address the challenge of 
homelessness. Ending chronic homelessness within a decade is a primary 
goal of HUD's homeless assistance programs. HUD is also the primary 
agency responsible for providing housing and related resources to 
prevent homelessness and help homeless families and individuals move to 
permanent housing.
    Strategic Goal 2. Strengthen and expand faith-based and other 
community partnerships that enhance communities. HUD has a long and 
rich history of cooperating with faith-based and other community-based 
organizations to address the needs of underserved communities, 
including the needs of those Americans for whom homelessness, the lack 
of affordable housing, and limited alternatives for special needs 
housing lead to despair and hopelessness. Building on this history, HUD 
plans to strengthen and expand its partnerships with faith-based and 
other community-based groups to take further advantage of their 
capacity to provide quality services to communities and families.
    Available Funds. Up to $2 million in FY 2002 funds is available for 
the PHASES-TA program. (Approximately $1 million will be available in 
TA funds for development and implementation of permanent housing, with 
the remaining $1 million to be used for technical assistance for faith-
based and other community organizations, veteran-specific 
organizations, and organizations either currently serving or desiring 
to serve Colonias.)
    Eligible Applicants. Specific eligibility requirements for the 
PHASES-TA program are found below in Section III (C).
    Application Deadline. June 18, 2003.
    Match: None.

ADDITIONAL INFORMATION: 

I. Application Due Date; Application Submission Procedures; Further 
Information and Technical Assistance

    Application Due Date: Applicants must submit a completed 
application (original and one copy) by June 18, 2003, to the address 
shown below. Only one application per applicant is permitted.
    Application Submission Procedures. HUD has standardized security 
procedures that affect the application submission process. Please read 
the following instructions carefully and completely. HUD will not 
accept hand delivered applications. Applications may be mailed using 
DHL, Falcon Carrier, FedEx, United Parcel Service (UPS), or the United 
States Postal Service (USPS). No other delivery services are permitted 
into HUD Headquarters without escort. Applicants must, therefore, use 
one of the five carriers listed above.
    Mailed Applications. An application will be considered timely filed 
if it is postmarked on or before 5:15 pm EDT on June 18, 2003, and 
received by the designated HUD office on or within twenty-one (21) days 
of the application due date. All applicants must obtain and save a 
Certificate of Mailing showing the date when the application was 
submitted to the United States Postal Service (USPS). The Certificate 
of Mailing will be the applicant's documentary evidence that the 
application was timely filed.
    Applications Sent by Overnight/Express Mail Delivery. If the 
application is sent by overnight delivery or express mail, the 
application will be timely filed if it is received on or before June 
18, 2003, or when the applicant submits documentary evidence that the 
application was placed in transit with the overnight delivery/express 
mail service by no later than June 18, 2003. Due to security measures, 
applicants must use one of four carrier services that are permitted 
into HUD Headquarters without escort. These services are DHL, Falcon 
Carrier, FedEx and UPS. Delivery by these services must be made during 
HUD Headquarters business hours, 8:30 a.m. to 5:30 p.m. Eastern Time, 
Monday through Friday. If these companies do not service an applicant's 
area, the applicant should submit the application via the United States 
Postal Service.
    Addresses for Submitting Applications. Applicants must submit 
completed applications to HUD Headquarters, U.S. Department of Housing 
and Urban Development, Office of Community Planning and Development 
(CPD) Processing and Control Branch, Room 7251, 451 Seventh Street, 
SW., Washington, DC 20410. A completed application consists of the 
original application and one copy. When submitting an application, 
applicants should refer to the Permanent Housing and Special Efforts 
for Subpopulations Technical Assistance (PHASES-TA) Program. Applicants 
should include name, mailing address (including zip code), telephone 
number (including area code), and fax number (including area code).
    Further Information and Technical Assistance. For supplemental 
information or technical assistance, applicants may contact Jean Whaley 
at 202-708-3176, x2774 (this is not a toll-free number) in HUD 
Headquarters. Persons with hearing and speech challenges may access the 
above number via TTY by calling the Federal Relay Service at 1-800-877-
8339. Information on this NOFA may also be obtained through the HUD Web 
site on the Internet at http://www.hud.gov.

II. Amount Allocated

    (A) The amount allocated for the PHASES-TA program is up to 
$2,000,000.

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    (B) HUD will determine the total amount to be awarded to each 
provider based upon the size and needs of the provider's operating 
service area, 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. 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) and types 
and scope of technical assistance proposed.
    (C) To the extent permitted by funding constraints, HUD intends to 
provide coverage for as full a range as possible of eligible 
activities. To achieve this objective, HUD will fund the highest 
ranking providers that bring the required expertise in one or more 
specialized activity areas, and may fund portions of providers' 
proposed programs in which they have the greatest skill and capability 
for given geographic areas. HUD will apply rating factors, identified 
in Section V of this NOFA, to select a range of providers and 
activities that would best serve program objectives for the programs 
funded under this NOFA.

III. Program Description; Program Award Period; Eligible Applicants; 
Eligible Activities

(A) Program Description

    Up to $2 million in funds are available for technical assistance 
providers to help organizations that operate or wish to provide 
McKinney-Vento programs to better serve their clients' permanent and/or 
special housing and supportive service needs. Here the term ``special'' 
refers to one or more of three designated populations: homeless 
veterans, homeless persons in Colonias, or homeless persons being 
assisted by faith-based and other community grassroots organizations. 
Faith-based and other community grassroots organizations are defined as 
those organizations that are headquartered in the local community to 
which they provide services; and have social service budgets of 
$300,000 or less (not including other portions of the budget such as 
salaries and expenses), or have six or fewer full-time equivalent 
employees. Local affiliates of national organizations are not 
considered ``grassroots.'' Local affiliates of national organizations 
are encouraged, however, to partner with grassroots organizations but 
must demonstrate that they are currently working with a grassroots 
organization, e.g., having a congregation or civic organization, or 
other charitable organization provide volunteers.
    Thus far, the three types of technical assistance that have been 
delineated include TA to providers who serve homeless veterans, TA to 
providers who serve homeless persons in Colonias, and TA to providers 
who serve homeless persons through faith-based and other community 
grassroots organizations. The fourth kind of technical assistance will 
be for providers of permanent housing serving any or all categories of 
homeless people. Eligible applicants are able to apply for funding to 
address the technical assistance needs of as few as one, and as many as 
all four, of these TA areas. This section of the NOFA reflects the 
statutory requirements of the PHASES-TA program.

(B) Program Award Period

    (1) Cooperative agreements will be for a period of up to 18 months. 
HUD, however, reserves the right to:
    (a) Terminate awards in accordance with provisions contained in OMB 
Circular A-102 and A-110, and 24 CFR parts 84-85, anytime after 12 
months;
    (b) Withdraw funds from a specific provider, if HUD determines that 
the need for assistance is not commensurate with the award for 
assistance; or
    (c) Extend the performance period for up to a total of 12 
additional months of individual awardees that have performed 
satisfactorily or for which there is a demonstrated continuing need for 
assistance. As a condition of receiving an award, a successful 
applicant must agree to serve for an extended period.
    (2) In cases where an applicant selected for funding is currently 
providing technical assistance under an existing HUD grant/cooperative 
agreement, HUD reserves the right to adjust the start date of funding 
available under this NOFA 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

    HUD is specifically looking for applicants who satisfy any one, or 
a combination of, the conditions from the following list:
    (1) Applicant is a provider of permanent housing and/or supportive 
services to homeless individuals and/or families;
    (2) Applicant has experience with the McKinney-Vento funding 
process;
    (3) Applicant is a provider that services primarily homeless 
veterans and their families or focuses on homeless veterans as part of 
the homeless population it serves;
    (4) Applicant is a provider that serves homeless persons in 
Colonias and their families;
    (5) Applicant is a faith-based or community organization that 
serves homeless individuals and/or families;
    (6) Applicant is a public and/or private nonprofit or for-profit 
group, including educational institutions and area-wide planning 
organizations, qualified to provide technical assistance on McKinney-
Vento Act Homeless Assistance activities.
    An organization may not provide assistance to itself. All applicant 
organizations must have demonstrated ability to provide 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. A consortium of 
organizations may apply for one or more 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.

(D) Eligible Activities

    Eligible activities under this NOFA are described below. All 
proposed activities must be generally eligible as described in (1), and 
address one of the following from (2), (3), (4), or (5), below:
    (1) Funds are available to provide technical assistance to grantees 
and project sponsors for McKinney-Vento Act funded homeless assistance 
projects. Funds also may be used to provide technical assistance to 
potential applicants and potential project sponsors of McKinney-Vento 
Act homeless assistance grants. The assistance may include, but is not 
limited to, written information such as reports, manuals, guides and 
brochures; person-to-person exchanges; on-site or remote technical 
assistance visits and provision of technical expertise; and training 
and related costs. Eligible activities as appropriate for each of the 
four separate categories of technical assistance are listed below:
    (2) Permanent housing. Provide assistance to (i) identify expert 
resources and facilitate the exchange of information needed to help 
participating organizations/jurisdictions build the capacity to develop 
and/or implement permanent housing in

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projects funded under the McKinney-Vento Act in order to better serve 
homeless persons and families; (ii) develop and publish descriptive 
material, in the form of a best practices guide, and include best 
practice examples for use by organizations working to develop and 
implement a McKinney-Vento funded permanent housing project; (iii) 
develop regional workshops focused on developing and implementing 
permanent housing projects funded under the McKinney-Vento Act; (iv) 
conduct 25 on-site or remote technical assistance visits to 
organizations seeking to develop or implement a permanent housing 
project using McKinney-Vento funds; (v) develop a guidebook on how Safe 
Havens can be developed and implemented as Supportive Housing Program 
permanent housing for the handicapped homeless and Section 8 Single 
Room Occupancy (SRO) projects. Safe Havens are a form of permanent 
housing that serves hard-to-reach homeless persons with severe mental 
illness who are unwilling or unable to participate in supportive 
services.
    (3) Colonias. Colonias are primarily rural communities that are 
located within 150 miles of the U.S.-Mexican border and lack adequate 
infrastructure and basic services. For providers who serve homeless 
persons in Colonias, provide assistance to (i) identify projects 
receiving HUD McKinney-Vento Act funds that can be cited as best 
practices and or expert resources for effectively coordinating between 
Colonias and community organizations; (ii) identify and analyze 
barriers that tend to exclude or discourage Colonias from participation 
in the Continuum of Care process or other efforts to assist homeless 
persons; (iii) develop one or more workshops focused on developing and 
implementing housing projects funded under the McKinney-Vento Act and 
serving homeless persons in Colonias; (iv) develop and publish 
descriptive material in the form of a best practices guide for use by 
organizations working to develop and implement a McKinney-Vento-funded 
housing and/or services project serving homeless persons in Colonias.
    (4) Faith-based and other community organizations. Provide 
assistance to (i) identify active projects receiving HUD McKinney-Vento 
Act funds that can be cited as best practices and/or expert resources 
for effectively coordinating between Continuum of Care systems and 
faith-based and other community organizations; (ii) identify and 
analyze factors that may tend to discourage faith-based and other 
community organizations from participation in HUD's homeless programs; 
(iii) develop 3-5 regional workshops, institutes, or other forums that 
will attract faith-based and other community organizations interested 
in developing projects to serve homeless individuals and families. 
Assistance will focus on the organization's capacity, which means that 
in addition to knowledge of, and experience with, homelessness in 
general, the organization carrying out the project, its employees and/
or its partners must have the necessary knowledge, experience, and 
administrative systems in place to carry out the specific activities 
proposed (e.g., housing development, housing management, and service 
delivery) and the TA provided will be able to successfully assist or 
train organizations to compete for funding assistance under HUD's 
McKinney-Vento Act Homeless Assistance Program; (iv) conduct 10 on-site 
or remote technical assistance visits to faith-based and other 
community organizations seeking to develop or implement McKinney-Vento 
projects;
    (5) Homeless veterans. Using previously identified best practices 
and expert resources, provide assistance to (i) facilitate the exchange 
of information needed to help participating organizations/jurisdictions 
build capacity to develop veteran-specific McKinney-Vento projects, 
i.e., in which the primary target group is homeless veterans; (ii) 
develop and participate in 3-5 training workshops, institutes, forums, 
or national or regional conferences and present the pertinent 
information obtained; (iii) conduct ten on-site or remote technical 
assistance visits to organizations seeking to develop or implement a 
veteran-specific McKinney-Vento project using McKinney-Vento funds; 
(iv) analyze coordination between the Continuum of Care and the 
Department of Veterans Affairs Community Homelessness Assessment, Local 
Education and Networking Groups (CHALENG) planning systems as it 
relates to addressing housing to meet the needs of veterans who are 
chronically homeless. The analysis should lead to development of more 
efficient planning and/or delivery of housing to chronically homeless 
veterans.

IV. Program Requirements

(A) Statutory Requirements

    To be eligible for funding under this NOFA, the applicant must meet 
all statutory and regulatory requirements applicable to the McKinney-
Vento program or programs for which funding is sought. If applicants 
need copies of the program regulations, they are available through the 
HUD Web site, http://www.hud.gov.

(B) Threshold Requirements

    (1) Ineligible Applicants. HUD will not consider an application 
from an ineligible applicant.
    (2) Compliance with Fair Housing and Civil Rights Laws.
    (a) All applicants and their sub-recipients must comply with all 
Fair Housing and Civil Rights laws, statutes, regulations, and 
Executive Orders as enumerated at 24 CFR 5.105(a).
    (b) Applicants may not apply for assistance under this NOFA, if the 
applicants:
    (i) Have been charged with a systemic violation of the Fair Housing 
Act alleging ongoing discrimination;
    (ii) Are a defendant in a Fair Housing Act lawsuit filed by the 
Department of Justice alleging an on-going pattern or practice of 
discrimination; or
    (iii) Have received a letter of non-compliance findings under Title 
VI, Section 504, or Section 109, and if the charge, lawsuit, or letter 
of findings has not been resolved to HUD's satisfaction before the 
application deadline stated in the 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 on-going discrimination in 
the policies or practices involved in the charge, lawsuit, or letter of 
findings.
    (3) Conducting Business in Accordance with HUD's Core Values and 
Ethical Standards. Entities subject to 24 CFR parts 84 and 85 (most 
nonprofit organizations and state, local and tribal governments or 
government agencies or instrumentalities who receive federal awards of 
financials assistance) are required to develop and maintain a written 
code of conduct (see Sections 84.42 and 85.36(b)(3)). Consistent with 
regulations governing specific programs, an applicant's code of conduct 
must: prohibit real and apparent conflicts of interest that may arise 
among officers, employees, or agents; prohibit the solicitation and 
acceptance of gifts or gratuities by its officers, employees, and 
agents for their personal benefit in excess of minimal value; and 
outline administrative and disciplinary actions available to remedy 
violations of such standards. If awarded assistance under this NOFA, 
applicants will be required, prior to entering into a grant agreement 
with HUD, to submit a copy of their code of conduct and describe the 
methods they will use to ensure that all officers, employees, and 
agents of their organizations are aware of their code of conduct;

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(C) Additional Program Requirements

    (1) Profit/Fee. No increment above cost, and no fee for profit, may 
be paid to any recipient of an award under this NOFA:
    (2) Demand/Response Delivery System.
    (a) Awardees must operate within the structure of the Demand/
Response System described in this section.
    (b) Under the Demand/Response System, awardees will be required to: 
(i) When requested by a Government Technical Representative (GTR), 
market the availability of their services to existing and potential 
recipients to include local jurisdictions in which the assistance will 
be delivered; (ii) when requested by a GTR, conduct a Needs Assessment 
to identify the type and nature of the assistance needed by the 
assistance recipients. These needs assessments should identify the 
nature of the problem to be addressed by the technical assistance 
services, and then delineate the plan of action to address the need, 
including the type of technical assistance services to be provided, the 
duration of the services, the staff assigned to provide the assistance, 
anticipated products and/or outcomes, 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 within the locality; (iii) obtain 
approval for the Technical Assistance Delivery Plan (TADP) from HUD 
(See Section a below); (iv) work cooperatively with other PHASES-TA 
providers in their geographic areas to ensure that clients are provided 
with the full range of PHASES-TA services needed and available. PHASES-
TA providers are expected to be knowledgeable about the range of 
services available from other providers, make referrals and arrange 
visits by other PHASES-TA providers when appropriate, and carry out 
PHASES-TA activities concurrently when it is cost-effective and in the 
interests of the client to do so. HUD may direct PHASES-TA providers to 
conduct joint activities.
    (3) Technical Assistance Delivery Plan (TADP).
    (a) After selection for funding, but prior to award, an applicant 
must develop a TADP in consultation with and approved by an Office of 
Community Planning and Development GTR.
    (b) The TADP must clearly delineate all the tasks and sub-tasks for 
each program the applicant will undertake. The plan must identify the 
improved program performance or other results expected from the 
activity and the methodology for measuring the success of the PHASES-
TA. The TADP must show the location of the community/state in which the 
PHASES-TA activities will occur, the level of PHASES-TA funding and 
proposed activities by location, a time schedule for delivery of the 
activities, budget-by-task, budget summary, and staffing plan.
    (4) Forms, Certifications, and Assurances. The applicant must 
submit signed copies of the standard forms, certifications, and 
assurances listed in this section. As part of HUD's continuing efforts 
to improve the NOFA process, several of the required standard forms 
have been simplified. The standard forms, certifications, and 
assurances are:
    [sbull] Application for Federal Assistance (HUD-424);
    [sbull] Applicant Assurance and Certifications (HUD-424-B);
    [sbull] Budget Summary for Competitive Grant Programs (HUD-424-C);
    [sbull] Grant Application Detailed Budget Worksheet (HUD-424-CBW);
    [sbull] Applicant/Recipient Disclosure/Update Report (HUD-2880);
    [sbull] Certification of Consistency with RC/EZ/EC Strategic Plan 
(HUD-2990), if applicable;
    [sbull] Certification of Consistency with the Consolidated Plan 
(HUD-2991), if applicable;
    [sbull] Acknowledgment of Application Receipt (HUD-2993);
    [sbull] Client Comments and Suggestions (HUD-2994); and
    [sbull] If engaged in lobbying, the Disclosure Form Regarding 
Lobbying (SF-LLL).
    Copies of these standard forms are available from the HUD Web site 
at http://www.hud.gov.
    (5) Financial Management and Audit Information. After selection for 
funding, but prior to award, an applicant must submit a certificate 
from an Independent Public Accountant or the cognizant government 
auditor, stating that its financial management system meets prescribed 
standards for 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.
    (6) Training Sessions. When conducting training sessions as part of 
PHASES-TA activities, providers are required to; (a) design the course 
materials as ``step-in'' packages (also called ``train-the-trainer'' 
packages) so that HUD or its designee may separately give the course on 
its own; (b) arrange for joint delivery (grantee and HUD staff or 
designees, for example) of the training when so requested by the GTR; 
and (c) when requested by the 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 PHASES-TA 
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 PHASES-TA 
clients, and send trainers to HUD-approved Train-the-Trainer sessions.
    (7) Reports to GTRs. PHASES-TA awardees will be required to report 
to Headquarters GTRs. At a minimum, this reporting will be on a 
quarterly basis unless otherwise specified in the approved TADP.

(D) Additional Non-Discrimination Requirements

    Applicants, and their sub-recipients, must comply with the 
Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et seq), 
Section 504 of the Rehabilitation Act of 1973, and Title IX of the 
Education Amendments Act of 1972 (20 U.S.C. 1681 et seq).

(E) Accessible Technology

    The Rehabilitation Act Amendments of 1998 apply to all electronic 
technology (EIT) used by a grantee for transmitting, receiving, using 
or storing information to carry out the responsibilities of any federal 
grant awarded. The Act's coverage includes, but is not limited to, 
computers (hardware, software, word-processing, e-mail, and web pages), 
facsimile machines, copiers and telephones. When developing, procuring, 
maintaining, or using EIT, funding recipients must ensure that the EIT 
allows employees with disabilities and members of the public with 
disabilities to have access to and use of information and data that is 
comparable to the access and use of information and data by employees 
and members of the public who do not have disabilities. If these 
standards impose a hardship 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

[[Page 20318]]

to a person with disabilities at any location other than the location 
at which the information services are generally provided.

V. Application Selection Process

(A) Rating and Ranking

    HUD will evaluate applications competitively and rank them against 
all other applicants that have applied for the PHASES-TA program.
    (1) Once scores are assigned, all applications will be listed in 
rank order.
    (2) Applications will be funded in rank order; however, HUD 
reserves the right to make selections out of rank order to provide for 
geographic distribution of its funds.
    (3) HUD reserves the right to adjust funding levels for each 
applicant as follows:
    (a) Adjust funding levels for any provider based upon the size and 
needs of the provider's operating service area, 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;
    (c) If funds remain after all selections have been made, remaining 
funds may be made available for other HUD-administered McKinney-Vento 
Act program competitions.

(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 PHASES-TA application 
is 100. The minimum score for an applicant to be considered in the 
funding range is 75, with a minimum of 15 points for Factor 1. 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, 
applicants should discuss the specific TA projects, activities, tasks, 
etc., suggested to be carried out during the term of the cooperative 
agreement. See Sections IV(C)(2) and (3) of this NOFA for a discussion 
of the Demand/Response Delivery System and the TADP and the extent to 
which such activities may be revised at or after time of award. In 
responding to the factors, applicants should be specific about the type 
of experience, knowledge, skills and abilities that organization, 
staff, and any subcontractors have with the PHASES-TA program and 
should provide relevant examples to support the application. Applicants 
should also be specific when detailing the communities, populations 
and/or organizations which they propose to serve, especially in 
response to Factor 3, Subfactor 2.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Staff (25 Points) (Minimum for Funding Eligibility: 15 Points)
    In rating this factor, HUD will consider the extent to which the 
application demonstrates, in relation to the PHASES-TA program funding 
that is requested:
    (1) (10 points) Recent relevant and successful experience of an 
applicant's organization and staff in providing technical assistance in 
all eligible activities and to all eligible entities for the PHASES-TA 
program, as described in the NOFA; (In rating this factor, HUD will 
evaluate experience, preferably within the last 4 years, which 
describes and documents specific examples of actual past work.)
    (2) (8 points) The relevant experience, including past experience 
in providing similar services to HUD and HUD clients, competence, 
knowledge, skills, and abilities of key personnel in managing complex, 
multi-faceted or multi-disciplinary programs that require coordination 
with other PHASES-TA entities or multiple, diverse units in an 
organization; (In rating this factor, HUD will evaluate the resumes of 
key staff, consultants, and subcontractors for their recent (within 4 
years) and relevant experience in performing activities that are 
substantially the same as the activities covered by this NOFA, as well 
as clearly described and documented examples of the work.)
    (3) (7 points) Sufficient personnel or access to qualified experts 
or professionals with the knowledge, skills, and abilities to deliver 
the proposed level of technical assistance in each proposed service 
area in a timely and effective manner; (In rating this factor, HUD will 
evaluate the resumes of key staff, consultants, and subcontractors to 
determine their availability to perform the work, factoring in time and 
geography.)
Rating Factor 2: Need/Extent of the Problem (20 Points)
    In rating this factor, HUD will consider the extent to which the 
application:
    (1) (10 points) Identifies high priority needs and issues for the 
PHASES-TA program; (In rating this factor, HUD will be looking for very 
specific needs and issues and a detailed demonstration of the 
applicant's knowledge of the homeless programs.)
    (2) (10 points) Outlines a clear and cost-effective plan of 
suggested TA activities for addressing those needs and aiding a broad 
range of eligible grantees or potential grantees and/or beneficiaries; 
(In rating this factor, HUD will evaluate the proposed costs of the 
program described in the application including labor, travel, and other 
costs as it relates to costs for similar activities in other TA 
programs which HUD has undertaken.)
Rating Factor 3: Soundness of Approach (30 Points)
    In rating this factor, HUD will consider the extent to which the 
application:
    (1) (7 points) Provides evidence of a sound approach in addressing 
identified needs; (In rating this factor, HUD will evaluate the 
specific techniques and methods proposed to alleviate the needs 
identified in the application.)
    (2) (8 points) Provides a cost-effective plan for designing, 
organizing, managing, and carrying out the suggested technical 
assistance activities within the framework of the Demand/Response 
System; (In rating this factor, HUD will evaluate how clearly the 
applicant spells out how it will operate under the requirements of the 
Demand/Response System, including: (a) How it will operate under the 
direction of, and respond to requests for assistance from HUD; (b) how 
it will handle competing demands for assistance; and (c) how it will 
coordinate activities. The work plan should have built-in flexibility 
to allow for unanticipated demands for assistance.)
    (3) (10 points) Demonstrates an effective outreach and assistance 
program to the identified clients for the categories of assistance 
being proposed; (In rating this factor, HUD will evaluate whether the 
applicant specifically names and accurately identifies communities 
(meaning neighborhoods as well as localities) and/or organizations that 
are significantly disadvantaged and underserved by McKinney-Vento 
programs. HUD will also evaluate if the applicant persuasively 
demonstrates that the

[[Page 20319]]

identified community/organization has a high potential to participate 
in McKinney-Vento programs if it receives the level of TA proposed.)
    (4) (5 points) Proposes a feasible, creative plan to transfer 
models and lessons learned in its PHASES-TA program activities to other 
community programs; (In rating this factor, HUD will evaluate whether 
the applicant has proposed a clear and feasible plan for obtaining and 
disseminating information on lessons learned in each of its TA 
activities to other TA clients, using state of the art or new promising 
technology as appropriate.)
Rating Factor 4: Quality/Responsiveness and Sustainability (15 Points)
    HUD will review applications to determine if they meet the 
following quality standards:
    (1) (10 points) The proposed TA must be appropriate and responsive 
to the needs of the project sponsors, McKinney-Vento grantees, and 
potential applicants to be served, as well as the localities involved. 
The PHASES-TA applicant should emphasize how they will advise and train 
project applicants 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. All of these 
elements are especially important when addressing the needs of 
providers desiring to provide permanent housing for severely mentally 
ill persons, homeless veterans, homeless persons in Colonias, and 
chronically homeless and hard-to reach individuals and families; (In 
rating this factor, HUD will evaluate the specificity in which each 
element of this factor is addressed that demonstrates both an 
understanding of the issues and solid experience and methods in 
fulfilling each of the elements.) HUD may find the technical assistance 
to be inappropriate if:
    (a) The technical assistance to be provided does not show how 
participants will be helped to expand their capacity to develop 
permanent housing, if proposing activities in this category of 
technical assistance; or, for those proposing to serve the other three 
categories, if the proposal does not show how participants will be 
helped to expand their capacity to develop McKinney-Vento projects 
serving the special subpopulations they propose to serve.
    (b) Development of housing and housing accessibility for persons 
with disabilities will not be provided as required by applicable laws 
including Section 504 of the Rehabilitation Act of 1973, the Americans 
with Disabilities Act of 1990 and the Fair Housing Act and their 
implementing regulations.
    (c) The technical assistance provided or activities proposed will 
not result in service delivery in the most integrated setting 
appropriate for qualified persons with disabilities, consistent with 
the objectives of the President's New Freedom Initiative and Olmstead 
v. L.C.
    (d) The technical assistance to be provided does not address 
community-wide planning to avoid duplication of service activity or 
service provision.
    (e) The technical assistance to be provided does not demonstrate 
responsive, efficient and cost-effective planning in its proposed 
activities.
    (2) (5 Points). The proposed TA must promote sustainability. 
Sustainability refers to the potential for TA recipient organizations 
to become self-sustaining financially, and the potential of a specific 
project or activity to be sustained into the future absent any 
McKinney-Vento funding; (In rating this factor, HUD will evaluate the 
specificity in which sustainability is addressed and any experience the 
applicant can document in achieving this goal.)
Rating Factor 5: Achieving Results and Program Evaluation (10 Points)
    This factor emphasizes HUD's commitment to ensure that grantees 
keep promises made in their applications and to assess their 
performance to ensure performance goals are met. Program evaluation 
requires that the applicant identify program outcomes, interim products 
or benchmarks, and performance indicators that will allow measure of 
performance. Performance indicators should be quantifiable and measure 
actual against planned achievements. Applicants are also asked to 
describe their successful past performance, including timely and cost-
effective delivery of services, in other relevant community development 
and/or technical assistance programs.
    In rating this factor, HUD will consider the extent to which the 
application:
    (1) (5 points) Proposes an effective, outcome-oriented evaluation 
plan for measuring performance. The evaluation plan should identify 
outcomes to be measured, how they will be measured, and the steps in 
place to make adjustments to work plans if performance targets are not 
met within established timeframes. The evaluation plan should also 
identify shortcomings and recommend areas for improvement when 
providing technical assistance services. The applicant is also asked to 
describe previous experience developing such plans; (In rating this 
factor, HUD will evaluate the specificity in which the evaluation plan 
is developed and the applicant's previous experience in developing such 
plans.)
    (2) (5 points) Demonstrates successful past performance in 
administering HUD McKinney-Vento TA grants. Applicants new to HUD's 
Community Development Technical Assistance (CD-TA) Programs should 
certify to that fact. In order to reach new technical assistance 
providers in the McKinney-Vento Act homeless assistance program area, 
up to 25% of the funds will be reserved for applicants who have not 
previously been funded under a community and planning development 
technical assistance competition. If qualified new applicants are not 
found in each field office and/or at the national level, the remaining 
funds will be made available for previously funded providers. (Note: 
There will be no point deduction on this subfactor for new applicants 
who comply with the above requirement.) Applicants new to the HUD 
Supportive Housing-TA or Homeless-TA Programs should certify to that 
fact, but should demonstrate successful past performance in providing 
technical assistance in other community development programs. (In 
rating this factor, HUD will use currently available information in HUD 
files, including financial and drawdown information, for all current 
Community Development TA providers.)

VI. Application Submission Requirements

    The application must, at a minimum, contain the following items:
    (A) Transmittal Letter which identifies the NOFA, the dollar amount 
requested, and the applicant or applicants submitting the application.
    (B) Narrative statement addressing the Factors for Award described 
in section V of this NOFA. An applicant should number the narrative 
response in accordance with each factor for award. This narrative 
statement will be the basis for evaluating the 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(C)(2) of this NOFA.
    (C) Budget Summary identifying costs for implementing the plan of 
suggested TA activities by cost category, in accordance with the 
following:
    (1) Direct Labor by position or individual, indicating the 
estimated hours per position, the rate per hour,

[[Page 20320]]

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 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 the PHASES-
TA program.

VII. Corrections, Debriefing

(A) 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 applicants may want to provide. HUD may contact applicants 
to clarify an item in an application or to correct technical 
deficiencies. HUD may not seek clarification of items or responses that 
improve the substantive quality of responses to any rating factors. In 
order to not 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 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, HUD will notify applicants in writing by describing the 
clarification or technical deficiency. HUD will notify applicants by 
facsimile (FAX) or by USPS, return receipt requested. Clarifications or 
corrections of technical deficiencies in accordance with the 
information provided by HUD must be submitted 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, an applicant's 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.

(B) Applicant Debriefing

    Beginning not less than 30 days after the Department publicly 
announces the awards for assistance, and for at least 120 days after 
such announcement, HUD will provide any requesting applicant with a 
debriefing on their application. All requests for debriefing must be 
made in writing or email by the authorized official whose signature 
appears on the HUD-424 or his or her successor in office. Applicants 
should submit their requests to Jean Whaley, who may be reached at 
(202) 708-3176, extension 2774 (this is not a toll-free number). 
Information provided to applicants during the debriefing will include, 
at a minimum, the final score received for each rating factor, final 
evaluator comments for each rating factor, and the final assessment 
indicating the basis upon which assistance was provided or denied.

VIII. Findings and Certifications

(A) Federalism Impact

    Executive Order 13132 (captioned ``Federalism'') prohibits, to the 
extent practicable and permitted by law, an agency from promulgating a 
regulation that has federalism implications and either imposes 
substantial direct compliance costs on state and local governments and 
is not required by statute, or preempts state law, unless the relevant 
requirements of section 6 of the Executive Order are met. This NOFA 
does not have federalism implications and does not impose substantial 
direct compliance costs on state and local governments nor preempt 
state law within the meaning of the Executive Order.

(B) Accountability in the Provision of HUD Assistance

    Section 102 of the Department of Housing and Urban Development 
Reform Act of 1989 (HUD Reform Act) and the regulations 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. HUD will comply with the documentation, 
public access, and disclosure requirements of section 102 with regard 
to the assistance awarded under this NOFA, as follows:
    (1) Documentation and public access requirements. HUD will ensure 
that documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a 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 at 24 CFR part 15.
    (2) Disclosures. HUD will make available for public inspection for 
5 years all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this NOFA. Update reports (also reported on HUD Form 
2880) will be made available along with the applicant disclosure 
reports, but in no case for a period of less than three years. All 
reports, both applicant disclosures and updates, will be made available 
in accordance with the Freedom of Information Act (5 U.S.C. 552) and 
HUD's implementing regulations at 24 CFR part 15.
    (3) Publication of Recipients of HUD Funding. HUD's regulations at 
24 CFR part 4 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; 
and/or
    (ii) Assistance 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.

(C) Section 103 HUD Reform Act

    HUD will comply with section 103 of the Department of Housing and 
Urban Development Reform Act of 1989 and HUD's implementing regulations 
in subpart B of 24 CFR part 4 with regard to the funding competition 
announced today. These requirements 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 section 103 from providing advance information

[[Page 20321]]

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 section 103 and subpart B of 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, such as whether particular subject matter can be discussed 
with persons outside HUD, the employee should contact the appropriate 
Field Office Counsel.

(D) Paperwork Reduction Act Statement

    The information collection requirements in this NOFA have been 
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501-3520). The OMB number is 2506-0166, valid through November 30, 
2004. 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.

(E) Environmental Requirements

    This NOFA does not direct, provide for assistance or loan and 
mortgage insurance for, or otherwise govern or regulate, real property 
acquisition, disposition, leasing, rehabilitation, alteration, 
demolition, or new construction, or establish, revise or provide for 
standards for construction or construction materials, manufactured 
housing, or occupancy. Accordingly, under 24 CFR 50.19 (c)(1), this 
NOFA is categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321).
    In accordance with 24 CFR 50.19(b)(9) and 58.34(a)(9), the 
assistance provided by this NOFA 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.

(F) Catalog of Federal Domestic Assistance Numbers

    The Federal Domestic Assistance number for this program is 14.506.

IX. Authority

    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 the 
Shelter Plus Care Technical Assistance Programs are authorized by the 
FY 2002 HUD Appropriations Act.

    Dated: April 15, 2003.
Roy A. Bernardi,
Assistant Secretary for Community Planning and Development.
[FR Doc. 03-10094 Filed 4-23-03; 8:45 am]
BILLING CODE 4210-29-P