[Federal Register Volume 69, Number 94 (Friday, May 14, 2004)]
[Notices]
[Pages 27293-27816]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-10548]



[[Page 26941]]

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

Part II





Department of Housing and Urban Development





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



Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding Availability 
(NOFA), Policy Requirements and General Section to the SuperNOFA for 
HUD's Discretionary Programs; Notice

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 26942]]


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

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4900-N-01]


Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding 
Availability (NOFA), Policy Requirements and General Section to the 
SuperNOFA for HUD's Discretionary Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Notice of HUD's FY2004 NOFA Policy Requirements and General 
Section to the FY2004 SuperNOFA for HUD's Discretionary Programs 
(Notice).

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

Overview Information

    A. Federal Agency Name: Department of Housing and Urban Development 
(HUD), Office of the Secretary.
    B. Funding Opportunity Title: Policy requirements applicable to all 
HUD federal financial assistance programs issued through a NOFA during 
FY2004.
    C. Announcement Type: Initial announcement of the general policy 
requirements that apply to all HUD federal financial assistance NOFAs 
for FY2004 issued simultaneously with and after the publication of this 
Notice.
    D. Funding Opportunity Number: FR 4900-N-01.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: A CFDA 
number is provided for each HUD federal financial assistance program. 
When using the www.Grants.gov Web site you will be asked for the CFDA 
number. Please refer to the Program NOFA for the CFDA number assigned 
to the program.
    F. Dates: The key dates that apply to all HUD federal financial 
assistance made available through HUD's FY2004 NOFAs are found in each 
individual Program NOFA.
    G. Optional, Additional Overview Content Information: HUD's general 
policy requirements set forth in this Notice apply to all HUD federal 
financial assistance made available through HUD's FY2004 NOFAs. These 
policies cover those NOFAs issued through this SuperNOFA as well as 
those issued after publication of the SuperNOFA in the Federal 
Register.

Full Text of Announcement

I. Funding Opportunity Description

    This Notice provides information regarding the Department of 
Housing and Urban Development's (HUD's) FY2004 policy requirements 
applicable to all of HUD's federal financial assistance programs 
announced through NOFAs published along with this Notice and any 
subsequent NOFAs published for FY2004. Each Program NOFA that is part 
of this SuperNOFA will provide a description of the specific 
requirements for the program for which funding is made available and 
each will refer to applicable policies contained in this Notice. Each 
Program NOFA will also describe any additional procedures and 
requirements that apply to the individual Program NOFA, including a 
description of the eligible applicants, eligible activities, threshold 
requirements, factors for award, and any additional program 
requirements or limitations. To ensure that you are able to adequately 
address all of the application requirements for any program for which 
you intend to apply, please be sure you carefully read both this Notice 
of HUD's NOFA policy requirements and the individual Program NOFAs to 
ensure you respond to all the requirements for all programs for which 
you will be seeking funding.

II. Award Information

    Funding Available. Each Program NOFA will identify the amount and 
source of funds available in FY2004, as provided by HUD appropriations 
and other relevant authority. The FY2004 SuperNOFA contains 50 funding 
opportunities composed of programs and program components totaling 
approximately $2.3 billion. As a service to our customers, Attachment A 
of this notice contains a chart of the funds being made available in 
HUD's SuperNOFA for FY2004. If HUD recaptures funds in any program, HUD 
reserves the right to increase the available funding for the applicable 
program by those amounts. Note that additional NOFAs may be issued 
separately from the issuance of the FY2004 SuperNOFA.

III. Eligibility Information

    A. Eligible Applicants: The individual Program NOFAs describe the 
eligible applicants and eligible activities for each program.
    B. Cost Sharing or Matching: The individual Program NOFAs describe 
the applicable cost sharing, matching requirements, or leveraging 
requirements related to each program, if any.
    C. Other:

Requirements and Procedures Applicable to All Programs

    Except as may be modified in the individual Program NOFAs in 
FY2004, the requirements, procedures and principles listed below apply 
to all programs in FY2004 for which funding is announced via NOFA and 
published in the Federal Register simultaneously with or after the 
publication of this Notice. Please read the individual Program NOFAs 
for additional requirements or information.
    1. Statutory and Regulatory Requirements. To be eligible for 
funding under HUD NOFAs issued during FY2004, you, the applicant, must 
meet all statutory and regulatory requirements applicable to the 
program or programs for which you seek funding. If you need copies of 
the program regulations, they are available from the NOFA Information 
Center or through the www.hud.gov/grants/index.cfm Web site. See the 
individual Program NOFAs for instructions on how HUD will respond to 
proposed activities that are ineligible. With the exception of the 
Section 202 Supportive Housing for the Elderly program and the Section 
811 Supportive Housing for Persons with Disabilities program, HUD may 
also eliminate the ineligible activities from funding consideration and 
reduce funding amounts accordingly.
2. Threshold Requirements
    a. Ineligible Applicants. HUD will not consider an application from 
an ineligible applicant.
    b. Dun and Bradstreet Data Universal Numbering System (DUNS) Number 
Requirement. Beginning in federal FY2004, any applicant seeking funding 
directly from HUD or other federal agencies must obtain a DUNS number 
and include the number in its Application for Federal Assistance 
submission. Failure to provide a DUNS number will prevent you from 
obtaining an award. Individuals who personally apply for federal 
financial assistance, apart from any governmental, business or 
nonprofit organization they may represent, are excluded from the 
requirement to obtain a DUNS number. This policy is pursuant to the 
Office of Management and Budget (OMB) Policy issued in the Federal 
Register on June 27, 2003 (68 FR 38402). HUD's regulation implementing 
the DUNS Number requirement for its programs was issued in the Federal 
Register on March 26, 2004 (69 FR 15671). A copy of the OMB Federal 
Register notice and HUD's regulation implementing the DUNS number can 
be found on HUD's Web site at http://www.hud.gov/offices/adm/grants/
duns.cfm. Failure to provide a DUNS number with the application 
submission will be treated as a technical deficiency to the 
application. If the DUNS number is not provided within the cure period 
(see Section V.B.4., Corrections to Deficient Applications), the 
application will not be funded. The www.grants.gov Web site URL at 
http://www.grants.gov/GetStarted provides step-by-step

[[Page 26943]]

instructions for obtaining a DUNS number as well as procedures for 
registering in the Central Contractor Registry and E-Authentication. 
The registration in the Central Contractor Registry and receiving 
credentials from the Grants.gov E-Authentication provider are not 
necessary for submitting a paper copy application to HUD; only the DUNS 
number is required. Central Contractor Registration and E-
Authentication is required for submittal of electronic grant 
applications through the Grants.gov portal. For FY2004, HUD is 
maintaining its policy of accepting paper copies of the application 
sent directly to HUD. However, it is HUD's intent to move to electronic 
submission of all applications in FY2005.
    c. Compliance with Fair Housing and Civil Rights Laws.
    (1) Applicants must comply with all applicable fair housing and 
civil rights requirements in 24 CFR 5.105(a). In addition to these 
requirements, there may be program-specific threshold requirements 
identified in the individual Program NOFAs.
    (2) If you, the applicant:
    (a) Have been charged with an on-going systemic violation of the 
Fair Housing Act; or
    (b) 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
    (c) Have received a letter of findings identifying ongoing systemic 
noncompliance 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; and
    (d) The charge, lawsuit or letter of findings referenced in subpart 
(a), (b), or (c) above has not been resolved to HUD's satisfaction 
before the application deadline, then you are ineligible and HUD will 
not rate and rank your application. HUD will determine if actions to 
resolve the charge, lawsuit or letter of findings taken prior to the 
application deadline are sufficient to resolve the matter.
    Examples of actions that would normally be considered sufficient to 
resolve the matter include, but are not limited to:
    (i) A voluntary compliance agreement signed by all parties in 
response to a letter of findings;
    (ii) A HUD-approved conciliation agreement signed by all parties;
    (iii) A consent order or consent decree; or
    (iv) An issuance of a judicial ruling or a HUD Administrative Law 
Judge's decision.
    d. Conducting Business in Accordance with 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 that receive federal awards of financial 
assistance) are required to develop and maintain a written code of 
conduct (see 24 CFR 84.42 and 85.36(b)(3)). Consistent with regulations 
governing specific programs, your 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 your 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 a HUD Program NOFA 
announced in FY2004, you will be required, prior to entering into an 
agreement with HUD, to submit a copy of your code of conduct and 
describe the methods you will use to ensure that all officers, 
employees, and agents of your organization are aware of your code of 
conduct. Failure to meet the requirement for a code of conduct will 
prohibit you from receiving an award of funds from HUD.
    e. Delinquent Federal Debts. Consistent with the purpose and intent 
of 31 U.S.C. 3720B and 28 U.S.C. 3201(e), no award of federal funds 
will be made to an applicant that has an outstanding delinquent federal 
debt unless (1) the delinquent account is paid in full, (2) a 
negotiated repayment schedule is established and the repayment schedule 
is not delinquent, or (3) other arrangements satisfactory to HUD are 
made prior to the deadline submission date.
    f. Pre-Award Accounting System Surveys. HUD may arrange for a pre-
award survey of the applicant's financial management system in cases 
where the recommended applicant has no prior federal support, HUD's 
program officials have reason to question whether the applicant's 
financial management system meets federal financial management 
standards, or the applicant is considered a high risk based upon past 
performance or financial management findings. HUD will not disburse 
funds to any applicant that does not have a financial management system 
that meets federal standards.
    g. Name Check Review. Recommended applicants are subject to a name 
check review process. Name checks are intended to reveal matters that 
significantly reflect on the applicant's management and financial 
integrity, or if any key individual has been convicted or is presently 
facing criminal charges. If the name check reveals significant adverse 
findings that reflect on the business integrity or responsibility of 
the applicant or key individual, HUD reserves the right to (1) deny 
funding or consider suspension or termination of an award immediately 
for cause, (2) require the removal of any key individual from 
association with management or implementation of the award, and (3) 
make appropriate provisions or revisions with respect to the method of 
payment or financial reporting requirements.
    h. False Statements. A false statement in an application is grounds 
for denial or termination of an award and grounds for possible 
punishment as provided in 18 U.S.C. 1001.
    i. Prohibition Against Lobbying Activities. You, the applicant, are 
subject to the provisions of Section 319 of Public Law 101-121 
(approved October 23, 1989) (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. 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. Federally recognized 
Indian tribes and tribally designated housing entities (TDHEs) 
established by federally recognized Indian tribes as a result of the 
exercise of the tribe's sovereign power are excluded from coverage of 
the Byrd Amendment, but Indian tribes and TDHEs established under only 
state law must comply with this requirement.
    j. Debarment and Suspension. In accordance with 24 CFR part 24, no 
award of federal funds may be made to applicants that are presently 
debarred or suspended, or proposed to be debarred or suspended, from 
doing business with the federal government. This requirement applies to 
all lower tier covered transactions and to all solicitations for lower 
tier covered transactions. The prohibition includes the following:
    (1) Having principals who, within the previous three years, have 
been convicted of or had a civil judgment rendered against them for 
commission

[[Page 26944]]

of fraud or a criminal offense in connection with obtaining, attempting 
to obtain, or performing a public (federal, state or local) 
transaction, violation of federal or state anti-trust statutes or 
commission of embezzlement, theft, forgery, bribery, falsification or 
destruction of records, making false statements or receiving stolen 
property; and
    (2) Charges or indictments by a governmental entity (federal, state 
and local) for commission of any of the above violations.
3. Other Threshold Requirements
    The individual Program NOFAs for which you are applying may specify 
other threshold requirements. Additional threshold requirements may be 
identified in the discussion of ``eligibility'' requirements in the 
individual Program NOFAs. If a Program NOFA requires a certification of 
consistency with the Consolidated Plan and the applicant fails to 
provide a certification, or the certification provided identifies the 
proposed activities as inconsistent with the impacted area's 
consolidated plan, HUD, upon review of the facts, may deny funding for 
an application based upon the inconsistency.
4. Additional Non-discrimination and Other Requirements
    You, the applicant, and your subrecipients must comply with:
    a. The Americans with Disabilities Act of 1990 (42 U.S.C. 1201 et 
seq.), the Age Discrimination Act of 1974 (42 U.S.C. 6101 et seq.), and 
Title IX of the Education Amendments Act of 1972 (20 U.S.C. 1681 et 
seq.).
    b. Affirmatively Furthering Fair Housing. Under Section 808(e)(5) 
of the Fair Housing Act, HUD is obliged to affirmatively further fair 
housing. HUD requires the same of its funding recipients. If you are a 
successful applicant, you will have a duty to affirmatively further 
fair housing opportunities for classes protected under the Fair Housing 
Act. Protected classes include race, color, national origin, religion, 
sex, disability, and familial status. Unless otherwise instructed in 
the individual Program NOFA, your application must include specific 
steps to:
    (1) Overcome the effects of impediments to fair housing choice 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 individual Program NOFA 
rating factors that address affirmatively furthering fair housing. 
These requirements apply to all HUD programs announced via a NOFA, 
unless specifically excluded in the individual Program NOFA.
    c. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Certain programs to be issued during FY2004 require 
recipients of assistance to comply with Section 3 of the Housing and 
Urban Development Act of 1968 (Section 3), 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 at subpart E. Section 3 requires 
recipients to ensure that, to the greatest extent feasible, training, 
employment, and other economic opportunities will be directed to low- 
and very-low income persons, particularly those who are recipients of 
government assistance for housing, and business concerns that provide 
economic opportunities to low- and very low-income persons. Review the 
individual Program NOFAs to determine if Section 3 applies to the 
program for which you are seeking funding.
    d. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. HUD is committed 
to ensuring that small businesses, small disadvantaged businesses, and 
women-owned businesses participate fully in HUD's direct contracting 
and in contracting opportunities generated by HUD financial assistance. 
Too often, these businesses still experience difficulty accessing 
information and successfully bidding on federal contracts. State, 
local, and tribal governments are required by 24 CFR 85.36(e) and 
nonprofit recipients of assistance (grantees and sub-grantees) by 24 
CFR 84.44(b) to take all necessary affirmative steps in contracting for 
the purchase of goods or services to assure that minority firms, 
women's business enterprises, and labor surplus area firms are used 
whenever possible or as specified in the individual Program NOFAs.
    e. Relocation. The relocation requirements of the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended, and the implementing government-wide regulation at 49 
CFR part 24 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. Some HUD program regulations also cover persons 
who are temporarily relocated. For example, 24 CFR 
570.606(b)(2)(i)(D)(1), (2) and (3) provide guidance on temporary 
relocation for the CDBG program. Applicants should review the 
regulations for the programs for which they are applying when planning 
their project.
    f. Executive Order 13166, Improving Access to Services for Persons 
With Limited English Proficiency (LEP). Executive Order 13166 seeks to 
improve access to federally assisted services, programs and benefits 
for individuals with limited English proficiency. Applicants obtaining 
an award from HUD must seek to provide access to program benefits and 
information to LEP individuals through translation and interpretive 
services in accordance with LEP Guidance published on December 19, 2003 
(68 FR 70967). For assistance and information regarding your LEP 
obligation, go to www.LEP.gov.
    g. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD is committed to full 
implementation of Executive Order 13279. The Executive Order 
established fundamental principles and policymaking criteria to guide 
federal agencies in formulating and developing policies that have 
implications for faith-based and community organizations to ensure the 
equal protection for these organizations in social services programs 
receiving federal financial assistance. Consistent with this order, HUD 
has undertaken a review of all policies and regulations that have 
implications for faith-based and community organizations and has 
established a policy priority to provide full and equal access to 
grassroots faith-based and other community-based organizations in HUD 
program implementation. In addition, on September 30, 2003 (68 FR 
56396), HUD issued a final rule to remove barriers to the participation 
of faith-based organizations in the following HUD programs:
     HOME Investment Partnerships (24 CFR part 92);
     Community Development Block Grants (CDBG) (24 CFR part 
570);
     HOPE for Homeownership of Single Family Homes (HOPE 3) (24 
CFR part 572);
     Housing Opportunities for Persons With AIDS (HOPWA) (24 
CFR part 574);
     Emergency Shelter Grants (ESG) (24 CFR part 576);
     Shelter Plus Care (24 CFR part 582);

[[Page 26945]]

     Supportive Housing (24 CFR part 583); and
     Youthbuild (24 CFR part 585).
    Copies of the regulatory changes can be found at: http://www.hud.gov/grants/index.cfm.
    h. Accessible Technology. The Rehabilitation Act Amendments of 1998 
(the Act) applies to electronic information technology (EIT) used by 
HUD for transmitting, receiving, using, or storing information to carry 
out the responsibilities of any federal funds awarded. The Act's 
coverage includes, but is not limited to, computers (hardware, 
software, word-processing, email, and web pages), facsimile machines, 
copiers, and telephones. Consistent with the principles of the Act, HUD 
requires the same of its funding recipients. If you are a successful 
applicant, you will be required when developing, procuring, 
maintaining, or using EIT, to 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, a recipient may provide an alternative means to 
allow the individual to use the information and data. However, no 
recipient will be required to provide information services to a person 
with disabilities at any location other than a location at which the 
information services are generally provided.
    i. Procurement of Recovered Materials. State agencies and agencies 
of a political subdivision of a state that are using assistance under a 
HUD Program NOFA for procurement, and any person contracting with such 
an agency with respect to work performed under an assisted contract, 
must comply with the requirements of Section 6002 of the Solid Waste 
Disposal Act, as amended by the Resource Conservation and Recovery Act.
    In accordance with Section 6002, these agencies and persons must 
procure items designated in guidelines of the Environmental Protection 
Agency (EPA) at 40 CFR part 247 that contain the highest percentage of 
recovered materials practicable, consistent with maintaining a 
satisfactory level of competition, where the purchase price of the item 
exceeds $10,000 or the value of the quantity acquired in the preceding 
fiscal year exceeded $10,000; must procure solid waste management 
services in a manner that maximizes energy and resource recovery; and 
must have established an affirmative procurement program for 
procurement of recovered materials identified in the EPA guidelines.
    j. Participation in HUD-Sponsored Program Evaluation. As a 
condition of the receipt of financial assistance under a HUD Program 
NOFA, all successful applicants will be required to cooperate with all 
HUD staff or contractors performing HUD-funded research and evaluation 
studies.
    k. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. Compliance with 
HUD regulations at 24 CFR 5.108 that implement Executive Order 13202 is 
a condition of receipt of assistance under a HUD Program NOFA.
    l. Salary Limitation for Consultants. FY2004 funds may not be used 
to pay or to provide reimbursement for payment of the salary of a 
consultant whether retained by the federal government or the grantee at 
more than the daily equivalent of the rate paid for level IV of the 
Executive Schedule, unless specifically authorized by law.
    m. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. Certain OMB circulars also apply to HUD 
programs in this SuperNOFA. The policies, guidance, and requirements of 
OMB Circular 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 A-122 (Cost 
Principles for Nonprofit Organizations), OMB Circular A-133 (Audits of 
States, Local Governments, and Non-Profit Organizations), and the 
regulations at 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 individual Program NOFAs of this SuperNOFA, and to 
the remedies for noncompliance, except when inconsistent with the 
provisions of the Consolidated Appropriations Act, 2004 (Public Law 
108-199, approved January 23, 2004), other federal statutes or 
regulations, or the provisions of this SuperNOFA Notice. Compliance 
with additional OMB Circulars or government-wide regulations may be 
specified for a particular program in the Program Section of the Super 
NOFA. Copies of the OMB Circulars may be obtained from EOP 
Publications, Room 2200, New Executive Office Building, Washington, DC 
20503, telephone (202) 395-3080 (this is not a toll-free number) or 
(800) 877-8339 (TTY Federal Information Relay Service); or, from the 
Web site, http://www.whitehouse.gov/omb/circulars/index.html.
    n. Environmental Requirements. If you become a recipient under one 
of the FY2004 HUD programs in this SuperNOFA that assist physical 
development activities or property acquisition, you are generally 
prohibited from acquiring, rehabilitating, converting, demolishing, 
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 
recipient's Request for Release of Funds (Form HUD 7015.15) following a 
Responsible Entity's completion of an environmental review.
    You, the applicant, should consult the individual Program NOFA for 
the program(s) for which you are interested in applying to determine 
the procedures for, timing of, and any exclusions from environmental 
review under a particular program. For applicants applying for funding 
under the Section 202 Supportive Housing for the Elderly program or 
Section 811 Supportive Housing for Persons with Disabilities program, 
please note the environmental review requirements for these programs.
    o. Conflicts of Interest. If you are a consultant or expert who is 
assisting HUD in rating and ranking applicants for funding under this 
SuperNOFA or future NOFAs published in FY2004, 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 
programs in this SuperNOFA or NOFAs published in FY2004, you may not 
serve on a selection panel and you may not serve as a technical advisor 
to HUD. All individuals involved in rating and ranking HUD FY2004 NOFAs 
either published simultaneously with this Notice or after the 
publication of this Notice, 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

[[Page 26946]]

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 a FY2004 this Super NOFA 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 a 
FY2004 NOFA published subsequent to the date of this Notice. 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.
    p. Drug-Free Workplace. If you receive an award of funds from HUD, 
you are required to provide a drug-free workplace. Compliance with this 
requirement means that you will:
    (1) Publish a statement notifying employees that it is unlawful to 
manufacture, distribute, dispense, possess, or use a controlled 
substance in the applicant's workplace and that such activities are 
prohibited. The statement must specify the actions that will be taken 
against employees for violation of this prohibition. The statement must 
also notify employees that as a condition of employment under the 
federal award that they are required to abide by the terms of the 
statement and that each employee must agree to notify the employer in 
writing of any violation of a criminal drug statute occurring in the 
workplace no later than five calendar days after such violation.
    (2) Establish an on-going drug-free awareness program to inform 
employees about:
    (a) The dangers of drug abuse in the workplace;
    (b) The applicant's policy of maintaining a drug-free workplace; 
and
    (c) Any available drug counseling, rehabilitation, or employee 
maintenance programs; and
    (d) The penalties that may be imposed upon employees for drug abuse 
violations occurring in the workplace.
    (3) Notify the federal agency in writing within 10 calendar days 
after receiving notice from an employee of a drug abuse conviction or 
otherwise receiving actual notice of a drug abuse conviction. The 
notification must be provided in writing to HUD's Office of 
Departmental Grants Management and Oversight, Department of Housing and 
Urban Development, 451 Seventh Street, SW, Room 3156, Washington DC 
20410-3000, along with the following information:
    (a) The program title and award number for each HUD award covered;
    (b) The HUD staff contact name, phone, and fax number; and
    (c) A grantee contact name, phone, and fax number.
    (4) Require that each employee engaged in the performance of the 
federally funded award be given a copy of the drug-free workplace 
statement required in item (1) and notify the employee that one of the 
following actions will be taken against the employee within 30 calendar 
days of receiving notice of any drug abuse conviction:
    (a) Institution of a personnel action against the employee, up to 
and including termination consistent with requirements of the 
Rehabilitation Act of 1973, as amended; or
    (b) Requiring that the employee participate satisfactorily in a 
drug abuse assistance or rehabilitation program approved for such 
purposes by a federal, state, or local health, law enforcement, or 
other appropriate agency.
    q. Safeguarding Resident/Client Files. In maintaining resident 
files, HUD funding recipients shall observe state and local laws 
concerning the disclosure of records that pertain to individuals. 
Further, recipients are required to adopt and take, reasonable measures 
to ensure that resident/client files are safeguarded.

IV. Application and Submission Information

A. Addresses to Request Application Package

    This section describes how you may obtain application forms, 
additional information about the HUD Program NOFAs, and technical 
assistance. Copies of the published NOFAs and application forms for HUD 
programs announced through NOFA may be downloaded from the Grants.gov 
Web site at http://www.grants.gov/FIND or you may call HUD's NOFA 
Information Center at 800-HUD-8929. Persons with hearing or speech 
impairments may call 800-HUD-2209.
    1. Application Kits. There are no application kits for HUD programs 
this year. All the information you need to apply will be in the NOFA 
and available on http://www.grants.gov/Find. In response to concerns 
about the length of time it takes for the publication and dissemination 
of application kits, HUD has made an effort to improve the readability 
of its NOFAs and publish all required forms and formats for application 
submission in the Federal Register. As a result of this effort, you 
will not have to wait for an application kit to begin to prepare your 
application for funding. HUD is continuing to streamline programs and 
application submission requirements and encourages the applicant 
community to offer additional suggestions. Please pay attention to the 
submission requirements and format for submission specified in each 
Program NOFA to ensure that you have submitted all required elements of 
your application.
    The published Federal Register document is the official document 
that HUD uses to evaluate applications. Therefore, if there is a 
discrepancy between any materials published by HUD in its Federal 
Register publications and other information provided in paper copy or 
on www.Grants.gov/Find, the Federal Register publication prevails. 
Please be sure to review your application submission against the 
requirements in the Federal Register file of the NOFA or NOFAs to which 
you are responding by application. Paper copies of these documents can 
be obtained from the NOFA Information Center by calling 800-HUD-8929; 
persons with speech or hearing impairments may call 800-HUD-2209.
    2. Guidebook and Further Information. A guidebook to HUD programs 
titled ``Connecting with Communities: A User's Guide to HUD Programs 
and the FY2004 NOFA Process'' is available from the NOFA Information 
Center and the HUD Web site at www.hud.gov/grants/index.cfm. The 
guidebook provides a brief description of all HUD programs, eligible 
applicants for the programs, and examples of how programs can work in 
combination to serve local community needs. You may also request 
general information, paper copies of this Notice of HUD NOFA policy 
requirements, any Program NOFA, and applications. This information may 
be obtained by calling the NOFA Information Center at 800-HUD-8929 or 
800-HUD-2209 (TTY) between the hours of 9 a.m. and 8 p.m. (Eastern 
Time), Monday through Friday, except on federal holidays.
    When requesting information, please refer to the name of the 
document or Program NOFA in which you are interested. Be sure to 
provide your name, address (including zip code), and telephone number 
(including area code). To ensure sufficient time to prepare your 
application, copies of this Notice of HUD NOFA policy requirements and 
individual Program NOFAs will be available immediately following 
publication of these documents. The NOFA Information Center opens for 
business simultaneously with the publication of this Notice of HUD NOFA

[[Page 26947]]

policy requirements. You can also obtain information on this Notice of 
HUD NOFA policy requirements and download application information for 
HUD programs issued through NOFAs during FY2004 through the 
www.Grants.gov/find Web site.
    3. For Technical Assistance. Before the application due date, HUD 
staff will be available to provide you with general guidance and 
technical assistance about this Notice of HUD NOFA policy requirements 
or about individual Program NOFAs. However, HUD staff is not permitted 
to assist in preparing your application. Following selection of 
applicants, but before announcement of awards is made, HUD staff is 
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.

B. Content and Form of Application Submission

    Be sure to read and follow the application submission requirements 
published in the individual Program NOFA or NOFAs to which you are 
responding by application. Beginning FY2004, when you sign your 
application submission you are agreeing to assurances and 
certifications (HUD 424B).
    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 
individual Program NOFAs specify otherwise. In addition, the individual 
Program NOFAs may specify additional forms, certifications, assurances, 
or other information that may be required for a particular program. The 
HUD standard forms, certifications, and assurances are:
     Application for Federal Assistance (SF-424);
     Survey on Ensuring Equal Opportunity for Applicants (SF-
424 Supplement);
     Assurances Non-Construction Programs (HUD-424B);
     Grant Application Detailed Budget (HUD-424-CB);
     Grant Application Detailed Budget Worksheet (HUD-424-CBW);
     Disclosure of Lobbying Activities (SF-LLL);
     Applicant/Recipient Disclosure/Update Report (HUD-2880);
     Certification of Consistency with RC/EZ/EC Strategic Plan 
(HUD-2990) if applicable;
     Certification of Consistency with the Consolidated Plan 
(HUD-2991) if applicable;
     Acknowledgment of Application Receipt (HUD-2993);
     Client Comments and Suggestions (HUD 2994) (Optional);
     Program Outcome Logic Model (HUD-96010).
     Form HUD 52515, Funding Application for the Housing Choice 
Voucher Program.
     Race and Ethnic Data Reporting Form (HUD-27061).
     America's Affordable Communities Initiative (HUD-27300).

Copies of these standard forms and the Funding Application for the 
Housing Choice Voucher Program (HUD-52515) are included in Appendix A 
to this General Section. Copies of program forms required to be 
submitted to meet specific program requirements will be included with 
each Program NOFA.

C. Submission Dates and Times

    Each Program NOFA will identify a specific due date for application 
submission. You, the applicant, must submit a completed application to 
HUD on or before the respective program's established application due 
date. Application due dates can be found under the section labeled 
``Submission Dates and Times'' of each HUD NOFA issued in FY2004. 
Appendix B also provides a funding chart which identifies the programs 
in HUD's SuperNOFA along with the application due dates.

D. Intergovernmental Review

    Executive Order 12372, Intergovernmental Review of Federal 
Programs, was issued to foster intergovernmental partnership and 
strengthen federalism by relying on state and local processes for the 
coordination and review of federal financial assistance and direct 
federal development. HUD implementing regulations are published at 24 
CFR part 52. The order allows each state to designate an entity to 
perform a state review function. The official listing of State Points 
of Contact (SPOC) for this review process can be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not listed on the Web 
site have chosen not to participate in the intergovernmental review 
process and, therefore, do not have a SPOC. If your state has a SPOC, 
you should contact the SPOC to see if it is interested in reviewing 
your application prior to submission to HUD.
    Please make sure that you allow ample time for this review process 
when developing and submitting your applications. If your state does 
not have a SPOC, send your applications directly to HUD.

E. Funding Restrictions

    The individual Program NOFAs will describe any funding restrictions 
that apply to each program.

F. Other Submission Requirements

    1. Delivery and Receipt Procedures. The following procedures apply 
to the delivery and receipt of applications in HUD Headquarters, the 
Grants Management Center (GMC), the University Partnerships 
Clearinghouse, and field offices. Please read the following 
instructions carefully and completely, as failure to comply with these 
procedures may disqualify your application. HUD's delivery and receipt 
policies are:
    a. Hand deliveries will be permitted. Hand delivered packages must 
be received at HUD Headquarters, the Public and Indian Housing Grants 
Management Center (GMC), or the University Partnership Clearinghouse no 
later than 5 p.m. EST, Monday through Friday, except for federal 
holidays. Hand delivered packages to the HUD Field Offices must be 
received no later than 4 p.m. local time for the office receiving the 
application. However, if HUD staff is not available to accept your 
package or the courier service is not allowed to enter the building to 
deliver the package due to security or other reasons, the package will 
be determined not delivered and not accepted by HUD. In such instances, 
HUD recommends that, you, the applicant, or your agent take your 
package to the nearest post office and follow the mailing instructions 
for postal service timely delivery. HUD will not take responsibility 
for ensuring that staff is available to take your package and will not 
breach security measures in order to accept an undeliverable package.
    b. HUD will not accept or consider any applications sent by 
facsimile.
    c. HUD urges applicants sending packages by courier to the Robert 
C. Weaver Headquarters Building, the University Partnerships 
Clearinghouse, or the Public and Indian Housing Grants Management 
Center (GMC), to use the following courier services, as these services 
have unescorted access to these buildings: DHL, Falcon Carrier, Federal 
Express (FedEx), and United Parcel Service (UPS). Packages may be 
mailed using the United States Postal Service. Mailed applications will 
be accepted as being timely submitted if they are received at the 
designated HUD location (including the room number specified for 
receipt) not later than 15 days after the due date and time, and show a 
postmark of having been delivered to

[[Page 26948]]

the postal facility for mailing by 12:00 midnight local time on the 
application due date. If the Postal Service does not normally postmark 
large packages, the proof of timely submission shall be receipt within 
15 days at the designated HUD facility and, upon request by a HUD 
official, proof of mailing using USPS Form 3817 (Certificate of 
Mailing) or a receipt from the Postal Service which contains the post 
office name, location, and date and time of mailing. For submission 
through the United States Postal Service, no other proof of timely 
submission will be accepted.
    d. Applications mailed to a location or office that is not 
designated for receipt of the application, which results in the 
designated office not receiving your application in accordance with the 
requirements for timely submission, will cause your application to be 
considered late and ineligible to receive funding consideration. HUD 
will not be responsible for directing packages to the appropriate 
office.
    Applicants should pay close attention to these submission and 
timely receipt instructions as they can make a difference in whether 
HUD will accept your application for funding consideration. Please 
remember that mail sent to federal facilities is screened prior to 
delivery, so please allow sufficient time for your package to be 
delivered. If an application is received late because of the processing 
time required for the screening, it will not be considered for funding.
    2. Proof of Timely Submission. Proof of timely submission of an 
application is specified below.
    a. In the case of packages sent to HUD via a delivery service, 
other than the United States Postal Service, timely submission shall be 
evidenced via a delivery service receipt indicating that the 
application was delivered to a carrier service at least 24 hours prior 
to the application deadline, and, if applicable, that through no fault 
of the applicant, the delivery could not be made on or before the 
application due date. Couriers turned away from a HUD facility due to 
security issues will not be considered as meeting the requirement of 
``no fault of the applicant,'' because applicants have been advised 
that delivery delays can arise when using courier services, resulting 
in a late application submission.
    b. For packages submitted via the United States Postal Service, 
proof of timely submission shall be a postmark not later than the 
application due date or receipt not later than five days after the 
application due date at the designated HUD facility and, upon request 
by a HUD official, proof of mailing using USPS Form 3817 (Certificate 
of Mailing) or a receipt from the Post Office which contains the post 
office name, location, and date and time of mailing. For submission 
through the United States Postal Service, no other proof of timely 
submission will be accepted. Applications not meeting the timely 
submission requirements will not be considered for funding.
    3. Addresses. You, the applicant, must submit a complete 
application and the required number of copies to the locations 
identified in the Program NOFA or NOFAs to which you are responding by 
application. When submitting your application, you must refer to the 
name of the program for which you are applying and include the correct 
room number to ensure your application is properly directed. Addresses 
for deliveries to HUD's Robert C. Weaver Headquarters Building, the 
University Partnerships Clearinghouse, or the Public and Indian Housing 
Grants Management Center (GMC) are identified in each Program NOFA, as 
well as the consolidated chart of funding opportunities for programs in 
the SuperNOFA. Addresses for field office locations are contained in 
Appendix C of this General Section, ``List of HUD Field Offices.''
    For applications directed to the Office of Native American Programs 
(ONAP), please be sure to use the addresses provided in Appendix D of 
this General Section, ``List of Office of Native American Programs 
Field Offices.'' For the Section 202 Supportive Housing for the 
Elderly, Section 811 Supportive Housing for Persons with Disabilities, 
Assisted Living Conversion for Eligible Multifamily Projects, and the 
Service Coordinators in Multifamily Housing programs, please see the 
Program NOFAs for the applicable field office listing.
    Please be sure to include the Program NOFA name and room number on 
your submission package.
    4. Copies of Applications. Each Program NOFA may specify, that to 
facilitate the review of your application, one or more copies of the 
application also must be sent to an additional HUD location (for 
example, the original application to HUD Headquarters and a copy to the 
HUD field office). If you are required to submit an application to HUD 
Headquarters, the University Partnerships Clearinghouse, or the GMC, as 
well as field offices, the determination that your application was 
received on time will be made solely on receipt of the application at 
HUD Headquarters, the University Partnerships Clearinghouse, or the 
GMC, as applicable. If an application received on time at HUD 
Headquarters, the University Partnerships Clearinghouse, or GMC is not 
complete, but a complete copy was submitted and received on time at a 
HUD field office, HUD may conduct its review using the field office 
copy. See the information in the, ``Mailing and Receipt Procedures'' 
and ``Proof of Timely Submission'' sections above for additional 
information. If you do not submit the required number of copies HUD may 
request that you provide the additional copies to the appropriate HUD 
office(s) in accordance with the procedures described in Section V.B.4 
of this Notice, ``Corrections to Deficient Applications.'' In some 
Program NOFAs failure to submit the required number of copies may 
disqualify your application, so please read each NOFA carefully.
    5. Electronic Submission of Packages using Grants.gov. For FY2005, 
HUD intends to have applications submitted via the federal government's 
new electronic application portal called Grants.gov. Applicants are 
urged to become familiar with the Grants.gov Web site and to follow the 
steps under ``Get Started'' so that you will be prepared to apply on 
line for HUD and other federal agency programs.
    For FY2004, paper copy applications will be considered by HUD to be 
the official application submission. HUD urges all applicants to become 
familiar with the Grants.gov site (www.grants.gov) and register to 
receive funding opportunity notifications, as well as to apply on line 
for funding. Registration to apply on line via Grants.gov requires 
obtaining a DUNS number, as well as registering in the Central 
Contractor Registry. To apply on line, applicants will also need to 
follow the requirements for E-Authentication. The Grants.gov site 
provides instructions on how to get a DUNS number, as well as 
registration and E-Authentication procedures. The Grants.gov Web site 
provides a customer support line (800-518-GRANTS) to address Grants.gov 
technology issues. HUD will establish a help line to address questions 
on program issues. Individuals who personally apply for federal 
financial assistance, apart from any business or nonprofit organization 
they may operate, are excluded from the requirement to obtain a DUNS 
number.
    Paper copy submission will not apply to two programs that HUD is 
piloting for electronic applications through Grants.gov/Find and 
Grants.gov/APPLY. The two programs are the Housing Counseling Training 
and FY2003 Capacity Building Grants. These are issued outside the 
SuperNOFA.

[[Page 26949]]

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications. For 
each Program NOFA, the points awarded for the rating factors total 100. 
Depending upon the program for which you, the applicant, are seeking 
funding, the funding opportunity may provide for up to four bonus 
points as provided below:
    a. RC/EZ/EC. HUD's FY2004 NOFAs provide for the award of two bonus 
points for eligible activities/projects that the applicant proposes to 
located in federally designated Empowerment Zones (EZs), Enterprise 
Communities (ECs), Urban Enhanced Enterprise Communities (EECs), or 
Renewal Communities (RCs), are intended to serve the residents of these 
areas, and are certified to be consistent with the area's strategic 
plan. (For ease of reference in this Notice, all of the federally 
designated areas are collectively referred to as ``RC/EZ/ECs'' and 
residents of any of these federally designated areas as ``RC/EZ/EC 
residents.'') The individual funding announcements will indicate if the 
bonus points are available under the program. This Notice contains a 
certification that must be completed for the applicant to be considered 
for RC/EZ/EC bonus points. A list of RC/EZ/ECs is available is included 
in this Notice as Appendix E and can also be obtained from the NOFA 
Information Center, and at www.grants.gov [bs]Find 
under the program you are seeking funding. Applicants can determine if 
their program/project activities are located in one of these designated 
areas by using the locator on HUD's Web site at http://hud.esri.com/
egis/cpd/rcezec/welcom.htm#.
    b. Brownfields Showcase Communities. In the Brownfields Economic 
Development Initiative (BEDI) competition, two bonus points are 
available for federally designated Brownfields Showcase Communities. 
(Please see the FY2004 BEDI program NOFA for additional information.) 
The designation of Brownfields Showcase Communities is a federal agency 
initiative sponsored by twenty federal agencies including HUD. A list 
of the federally designated RC/EZ/ECs, Enhanced ECs, and Brownfields 
Showcase Communities is available from the NOFA Information Center or 
through HUD's Web site at http://www.hud.gov.
    2. The Five Standard Rating Factors for FY2004. HUD has established 
the following five factors as the standard factors for awarding the 
majority of its FY2004 Program NOFAs. Additional details about the five 
rating factors and the maximum points for each factor are provided in 
the Program NOFAs. For a specific funding opportunity, HUD may modify 
these factors to take into account explicit program needs or statutory 
or regulatory limitations. You, the applicant, should carefully read 
the factors for award as described in the Program NOFA to which you 
responding by application. The standard factors for award, except as 
modified in the Program NOFAs, 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: Achieving Results and Program Evaluation.
    The Continuum of Care Homeless Assistance Programs have only two 
factors that receive points: Need and Continuum of Care.

B. Reviews and Selection Process

1. HUD's Strategic Goals
    Implementing HUD's Strategic Framework and Demonstrating Results. 
HUD is committed to ensuring that programs result in the achievement of 
HUD's strategic mission. To support this effort, grant applications 
submitted for HUD programs will be rated on how well they tie proposed 
outcomes to HUD's policy priorities and Annual Goals and Objectives, as 
well as the quality of the applicant's proposed Evaluation and 
Monitoring Plans. HUD's Strategic Framework establishes the following 
Goals and Objectives for the Department:
    a. Increase Homeownership Opportunities:
    (1) Expand national homeownership opportunities.
    (2) Increase minority homeownership.
    (3) Make the home buying process less complicated and less 
expensive.
    (4) Fight practices that permit predatory lending.
    (5) Help HUD-assisted renters become homeowners.
    (6) Keep existing homeowners from losing their homes.
    b. Promote Decent Affordable Housing:
    (1) Expand access to affordable rental housing.
    (2) Improve the physical quality and management accountability of 
public and assisted housing.
    (3) Increase housing opportunities for the elderly and persons with 
disabilities.
    (4) Help HUD-assisted renters make progress toward self-
sufficiency.
    c. Strengthen Communities:
    (1) Improve economic conditions in distressed communities.
    (2) Make communities more livable.
    (3) End chronic homelessness.
    (4) Mitigate housing conditions that threaten health.
    d. Ensure Equal Opportunity in Housing:
    (1) Resolve discrimination complaints on a timely basis.
    (2) Promote public awareness of Fair Housing laws.
    (3) Improve housing accessibility for persons with disabilities.
    e. Embrace High Standards of Ethics, Management, and 
Accountability:
    (1) Rebuild HUD's human capital and further diversify its 
workforce.
    (2) Improve HUD's management, internal controls and systems, and 
resolve audit issues.
    (3) Improve accountability, service delivery, and customer service 
of HUD and our partners.
    (4) Ensure program compliance.
    f. Promote Participation of Grassroots Faith-Based and Other 
Community-Based Organizations:
    (1) Reduce regulatory barriers to participation by grassroots 
faith-based and other community-based organizations.
    (2) Conduct outreach to inform potential partners of HUD 
opportunities.
    (3) Expand technical assistance resources deployed to grassroots 
faith-based and other community-based organizations.
    (4) Encourage partnerships between grassroots faith-based and other 
community-based organizations and HUD's traditional grantees.

You can find out about HUD's Strategic Framework and Annual Performance 
Plans at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
    2. Policy Priorities. HUD encourages applicants to undertake 
specific activities that will assist the Department in implementing its 
policy priorities and which help the Department achieve its goals for 
FY2004 and beyond, when the majority of funding recipients will be 
reporting programmatic results and achievements. Applicants that 
include work activities that specifically address one or more of these 
policy priorities will receive higher rating scores than applicants 
that do not address these HUD priorities. Each NOFA issued in FY2004 
will specify which priorities relate to a particular program and how 
many points will be awarded for addressing those priorities.
    a. Providing Increased Homeownership and Rental Opportunities for 
Low- and Moderate-Income Persons, Persons with

[[Page 26950]]

Disabilities, the Elderly, Minorities, and Families with Limited 
English Proficiency. Too often, these individuals and families are shut 
out of the housing market through no fault of their own. Often 
developers of housing, housing counseling agencies, and other 
organizations engaged in the housing industry must work aggressively to 
open up the realm of homeownership and rental opportunities to low- and 
moderate-income persons, persons with disabilities, the elderly, 
minorities, or families with limited English proficiency. Many of these 
families are anxious to have a home of their own but are not aware of 
the programs and assistance that are available. Applicants are 
encouraged to address the housing, housing counseling, and other 
related supportive services needs of these individuals and coordinate 
their proposed activities with funding available through HUD's 
affordable housing programs and home loan programs.
    Proposed activities support strategic goals a, b, and d.
    b. Improving our Nation's Communities. HUD wants to improve the 
quality of life for those living in distressed communities. Applicants 
are encouraged to include activities which:
    (1) Bring private capital into distressed communities;
    (a) Finance business investments to grow new businesses;
    (b) Maintain and expand existing businesses;
    (c) Create a pool of funds for new small and minority-owned 
businesses; and
    (d) Create decent jobs for low-income persons.
    (2) Improve the environmental health and safety of families living 
in public and privately-owned housing by including activities which:
    (a) Coordinate lead hazard reduction programs with weatherization 
activities funded by state and local governments and the federal 
government; and
    (b) Reduce or eliminate health related hazards in the home caused 
by toxic agents such as molds and other allergens, carbon monoxide, and 
other hazardous agents and conditions.
    (3) Make communities more livable by:
    (a) Providing public and social services; and
    (b) Improving infrastructure and community facilities.
    Activities support strategic goals b, c, and d.
    c. Encouraging Accessible Design Features. As described in Section 
III.C.2.c., applicants must comply with applicable civil rights laws 
including the Fair Housing Act, Section 504 of the Rehabilitation Act 
of 1973, and the Americans with Disabilities Act. These laws, and the 
regulations implementing them, provide for nondiscrimination based on 
disability and require housing and other facilities to incorporate 
certain features intended to provide for their use and enjoyment by 
persons with disabilities. HUD is encouraging applicants to add 
accessible design features beyond those required under civil rights 
laws and regulations. These features would eliminate many other 
barriers limiting the access of persons with disabilities to housing 
and other facilities. Copies of the Uniform Federal Accessibility 
Standards (UFAS) are available from the NOFA Information Center (800-
HUD-8929 or 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-
2000, (202) 755-5404 or 800-877 8339 (TTY Federal Information Relay 
Service).
    Accessible design features are intended to promote visitability and 
incorporate features of universal design as described below:
    (1) Visitability in New Construction and Substantial 
Rehabilitation. Applicants 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 that there is at least 
one entrance at grade (no steps), approached by an accessible route, 
such as a sidewalk, and that 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. More information about visitability is 
available at http://www.concretechange.org.
    Activities support strategic goals b, c, and d.
    (2) Universal Design. Applicants are encouraged to incorporate 
universal design in the construction or rehabilitation of housing, 
retail establishments, and community facilities funded with HUD 
assistance. 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, and electronic communication mechanisms or when 
communicating with community residents at public meetings or events.
    HUD believes that by creating housing that is accessible to all, it 
can increase the supply of affordable housing for all, regardless of 
ability or age. Likewise, creating places where people work, train, and 
interact which are useable and open to all residents increases 
opportunities for economic and personal self-sufficiency. More 
information on Universal Design is available from the Center for 
Universal Design, at http://www.design.ncsu.edu:8120/cud/, or the 
Resource Center on Accessible Housing and Universal Design, at http://
www.abledata.com/Site--2/accessib.htm.
    Activities support strategic goals a, b, c, and d.
    d. Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation.
    (1) HUD encourages nonprofit organizations, including grassroots 
faith-based and other community-based organizations, to participate in 
the vast array of programs for which funding is available through HUD's 
programs. HUD also encourages states, units of local government, 
universities, colleges, and other organizations to partner with 
grassroots organizations, e.g., civic organizations, faith communities, 
and grassroots faith-based and other community-based organizations that 
have not been effectively utilized. These grassroots organizations have 
a strong history of providing vital community services such as 
assisting the homeless and preventing homelessness, counseling 
individuals and families on fair housing rights, providing elderly 
housing opportunities, developing first-time homeownership programs, 
increasing homeownership and rental housing opportunities in 
neighborhoods of choice, developing affordable and accessible housing 
in neighborhoods across the country, creating economic development 
programs, and supporting the residents of public housing

[[Page 26951]]

facilities. HUD wants to make its programs more effective, efficient, 
and accessible by expanding opportunities for grassroots organizations 
to participate in developing solutions for their own neighborhoods. 
Additionally, HUD encourages applicants to include these grassroots 
faith-based and other community-based organizations in their workplans. 
Applicants, their partners, and participants must review the individual 
FY2004 HUD program announcements to determine whether they are eligible 
to apply for funding directly or whether they must establish a working 
relationship with an eligible applicant in order to participate in a 
HUD funding opportunity. Grassroots faith-based and other community-
based organizations, and applicants that currently or propose to 
partner, fund, subgrant, or subcontract with grassroots organizations 
(including grassroots faith-based or other community-based nonprofit 
organizations eligible under applicable program regulations) in 
conducting their work programs will receive higher rating points as 
specified in the individual FY2004 HUD program announcements.
    (2) Definition of Grassroots Organizations:
    (a) HUD will consider an organization a ``grassroots organization'' 
if the organization is headquartered in the local community to which it 
provides services; and,
    (i) Has a social services budget of $300,000 or less, or
    (ii) Has six or fewer full-time equivalent employees.
    (b) 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 faith community or civic organization, or 
other charitable organization provide volunteers).
    (c) The cap provided in paragraph (2)(a)(i) above includes only 
that portion of an organization's budget allocated to providing social 
services. It does not include other portions of the budget such as 
salaries and expenses not directly expended in the provision of social 
services.
    Activities support strategic goal f.
    e. Participation of Minority-Serving Institutions in HUD Programs. 
Pursuant to Executive Orders 13256, ``President's Board of Advisors on 
Historically Black Colleges and Universities,'' 13230, ``President's 
Advisory Commission on Educational Excellence for Hispanic Americans,'' 
13216, ``Increasing Participation of Asian Americans and Pacific 
Islanders in Federal Programs,'' and 13270, ``Tribal Colleges and 
Universities,'' HUD is strongly committed to broadening the 
participation of Minority-Serving Institutions (MSIs) in its programs. 
HUD is interested in increasing the participation of MSIs in order to 
advance the development of human potential, strengthen the nation's 
capacity to provide high quality education, and increase opportunities 
for MSIs to participate and benefit from federal financial assistance 
programs. HUD encourages all applicants and recipients to include 
meaningful participation of MSIs in their work programs. A listing of 
MSIs can be found on the Department of Education Web site at http://
www.ed.gov/about/offices/list/ocr/edlite-minorityinst.html or HUD's Web 
site at http://www.hud.gov/grants/index.cfm.
    Activities support strategic goals c and d.
    f. Ending Chronic Homelessness within 10 Years. President Bush has 
set a national goal to end chronic homelessness within 10 years. 
Secretary Alphonso Jackson has embraced this goal and has pledged that 
HUD's grant programs will be used to support the President's goal and 
more adequately meet the needs of chronically homeless individuals. A 
person experiencing chronic homelessness is defined as an unaccompanied 
individual with a disabling condition who has been continuously 
homeless for a year or more or has experienced four or more episodes of 
homelessness over the last three years. Applicants are encouraged to 
target assistance to chronically homeless persons by undertaking 
activities that will result in:
    (1) Creation of affordable group homes or rental housing units;
    (2) Establishment of a set-aside of units of affordable housing for 
the chronically homeless;
    (3) Establishment of substance abuse treatment programs targeted to 
the homeless population;
    (4) Establishment of job training programs that will provide 
opportunities for economic self-sufficiency;
    (5) Establishment of counseling programs that assist homeless 
persons in finding housing, financial management, anger management, and 
building interpersonal relationships;
    (6) Provision of supportive services, such as health care 
assistance that will permit homeless individuals to become productive 
members of society;
    (7) Provision of service coordinators or one-stop assistance 
centers that will ensure that chronically homeless persons have access 
to a variety of social services.
    Applicants that are developing programs to meet the goals set in 
this policy priority should be mindful of the requirements of the 
regulations implementing Section 504 of the Rehabilitation Act, in 
particular, 24 CFR 8.4(b)(1)(iv), 8.4(c)(1) and 8.4(d).
    Activities support strategic goals b and c.
    g. Removal of Regulatory Barriers to Affordable Housing.
    On March 22, 2004 (69 FR 13450), HUD published a final notice 
announcing its intention to establish the Removal of Regulatory 
Barriers to Affordable Housing policy priority in the majority of its 
FY2004 NOFAs. In the March 22, 2004, notice, HUD advised that 
applicants would be required to respond to a series of evaluative 
questions in order to receive the rating points associated with this 
priority. On April 21, 2004 (69 FR 21663), HUD published a correction 
to Question 5 in PART A of the questionnaire. In the April 21, 2004, 
notice, HUD also responded to questions that arose after the 
publication of the March 22, 2004, notice. Through this initiative, HUD 
is seeking input into how it can more effectively work with the public 
and private sectors to remove regulatory barriers to affordable 
housing. The March 22, 2004, notice, as clarified in the April 21, 
2004, notice, addresses how HUD will evaluate the effectiveness of 
state and local government efforts to remove regulatory barriers to 
affordable housing.
    Increasing the affordablity of rental and homeownership housing 
continues to be a high priority of the Department. Over the last 15 
years, there has been increased recognition that unnecessary, 
duplicative, excessive, or discriminatory public processes often 
significantly increase the cost of housing development and 
rehabilitation. Often referred to as ``regulatory barriers to 
affordable housing,'' many public statutes, ordinances, regulatory 
requirements, or processes and procedures significantly impede the 
development or availability of affordable housing without providing a 
commensurate or demonstrable health or safety benefit. ``Affordable 
housing'' is decent quality housing that low-, moderate- and middle-
income families can afford to buy or rent without spending more than 30 
percent of their income; spending more than 30 percent of income on 
shelter may require families to sacrifice other necessities of life.

[[Page 26952]]

    Addressing these barriers to housing affordability is a necessary 
component of any overall national housing policy. However, addressing 
such barriers must be viewed as a complement, not a substitute, for 
other efforts to meet affordable housing needs. For many families, 
federal, state, and local subsidies are fundamental tools for meeting 
these affordable needs. In many instances, however, other sometimes 
well-intentioned public policies work at cross-purposes with subsidy 
programs by imposing significant constraints. From zoning that keeps 
out affordable housing, especially multifamily housing, to other 
regulations and requirements that unnecessarily raise the costs of 
construction, the need to address this issue is clear. For example, 
affordable rehabilitation is often constrained by outmoded building 
codes that require excessive renovation. Barrier removal will not only 
make it easier to find and get approval for affordable housing sites 
but it will also allow available subsidies to go further in meeting 
these needs. For housing for moderate-income families often referred to 
as ``work force'' housing, barrier removal can be the most essential 
component of meeting housing needs.
    Under this policy priority, higher rating points are available to 
(1) governmental applicants that are able to demonstrate successful 
efforts in removing regulatory barriers to affordable housing, and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. To obtain the 
policy priority points for efforts to successfully remove regulatory 
barriers, applicants must complete form HUD 27300, ``Questionnaire for 
HUD's Initiative on Removal of Regulatory Barriers.'' A copy of HUD's 
notice entitled, ``America's Affordable Communities Initiative, HUD's 
Initiative on Removal of Regulatory Barriers: Announcement of Incentive 
Criteria on Barrier Removal in HUD's FY2004 Competitive Funding 
Allocations'' (AACI notice) can be found on HUD's Web site at http://www.hud.gov/grants/index.cfm.
    Local jurisdictions and counties with land use and building 
regulatory authority applying for funding, as well as housing 
authorities, nonprofit organizations, and other qualified applicants 
applying for funding for a project located in these jurisdictions, are 
invited to answer the 20 questions in PART A of form HUD 27300. For 
those applications in which regulatory authority is split between 
jurisdictions (e.g., county and town) the applicant should answer the 
question for that jurisdiction that has regulatory authority over the 
issue at question. An applicant that scores at least five in Column 2 
will receive one point in the NOFA evaluation. An applicant that scores 
10 or greater in Column 2 will receive a total of two points in the 
evaluation.
    State agencies or departments applying for funding, as well as 
housing authorities, nonprofit organizations and other qualified 
applicants applying for funds for projects located in unincorporated 
areas or areas otherwise not covered in PART A are invited to answer 
the 15 questions in PART B. Under PART B an applicant that scores at 
least four in Column 2 will receive one point in the NOFA evaluation. 
Under PART B an applicant that scores eight or greater will receive a 
total of two points in the respective evaluation. Applicants that will 
be providing services in multiple jurisdictions may choose to address 
the questions in either PART A or PART B for that jurisdiction in which 
the preponderance of services will be performed if an award is made. In 
no case will an applicant receive for this policy priority greater than 
two points for barrier removal activities. An applicant that is a tribe 
or tribally designated housing entity (TDHE) may choose to complete 
either PART A or PART B based upon a determination by the tribe or TDHE 
as to whether the tribe's or the TDHE's association with the local 
jurisdiction or the state would be the more advantageous for its 
application.

    Note: Upon completion of all NOFA evaluations, grant selections, 
and awards, it is HUD's intent to add relevant data obtained from 
this evaluative factor to the database on state and local regulatory 
reform actions maintained at the Regulatory Barrier Clearinghouse 
Web site at www.huduser.org.rbc/ used by states, localities, and 
housing providers to identify regulatory barriers and learn of 
exemplary local efforts at regulatory reform.

    Form HUD-27300 can be found in the appendix to this General 
Section. A limited number of questions on form HUD-27300 expressly 
request the applicant to provide brief documentation with its response. 
Other questions require that, for each affirmative statement made, the 
applicant supply a reference, URL, or brief statement indicating where 
the back-up information may be found, and a point of contact, including 
a telephone number or e-mail address. Applicants are encouraged to read 
the March 22, 2004 and April 21, 2004, America's Affordable Communities 
Initiative notice, as well as this General Section of the SuperNOFA, to 
obtain an understanding of this policy priority and how it can impact 
their score. HUD also will provide a satellite broadcast on this 
subject as part of its SuperNOFA Training. The SuperNOFA webcast 
schedule can be found on HUD's Web site at http://www.hud.gov/webcasts/
index.cfm.
    Activities support strategic goals a and b.
    3. Threshold Compliance. Only applications that meet all of the 
threshold requirements will be eligible to be rated and ranked.
    4. 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 to clarify an item in your 
application or to correct technical deficiencies. 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 
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 
inconsistencies in the funding request, a 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 you in writing by describing the clarification or technical 
deficiency. HUD will notify applicants by facsimile 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, 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. In order to 
meet statutory deadlines for the obligation of funds or for timely 
completion of the review process, Program NOFAs may reduce the number 
of days for submitting a response to a HUD clarification or correction 
to a technical deficiency. Please be sure to carefully read each 
Program NOFA for any additional information and instructions.
    5. Rating Panels. To review and rate applications, HUD may 
establish panels which may include persons not

[[Page 26953]]

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.
    6. Rating. HUD will evaluate and rate all applications for funding 
that meet the threshold requirements. HUD will consider the following 
when rating your application(s):
    a. Past Performance. In evaluating applications for funding, HUD 
will take into account applicants' past performance in managing funds, 
including, but not limited to, the ability to account for funds 
appropriately; timely use of funds received either from HUD or other 
federal, state, or local programs; meeting performance targets for 
completion of activities and receipt of promised matching or leveraged 
funds; and number of persons to be served or targeted for assistance. 
HUD may consider information available from HUD's records, the name 
check review, or public sources, such as newspapers, Inspector General 
or Government Accounting Office Reports or Findings, or hotline 
complaints that have been proven to have merit.
    b. Deducting Points for Poor Performance. In evaluating past 
performance, HUD may elect to deduct points from the rating score or 
establish threshold levels as specified under the Factors for Award in 
the individual Program NOFAs.
    7. Ranking. HUD will rank applicants within each program or, for 
Continuum of Care applicants, across the three programs identified in 
the Continuum of Care NOFA. HUD will rank applicants only against those 
applying 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.

C. Anticipated Announcement and Award Dates

    The individual Program NOFAs will provide the applicable 
information regarding this subject.

VI. Award Administration Information

A. Award Notices

    1. Negotiation. After HUD has rated and ranked all applications and 
made selections, HUD may require, depending upon the program, that a 
selected applicant participate in negotiations to determine the 
specific terms of the funding 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 such an instance, HUD 
may offer an award and proceed with negotiations with the next highest-
ranking applicant.
    2. Adjustments to Funding:
    a. HUD reserves the right to fund less than the full amount 
requested in your application to ensure the fair distribution of funds 
and ensure that the purposes or requirements of a specific program are 
met.
    b. HUD will not fund any portion of your application that is not 
eligible for funding under specific program statutory or regulatory 
requirements; does not meet the requirements of this Notice; or may be 
duplicative of other funded programs or activities from prior year 
awards or other selected applicants. Only the eligible portions of your 
application (including non-duplicative portions) may be funded.
    c. 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 an award offer, HUD 
will make an offer of funding to the next highest-ranking application.
    d. If funds remain after all selections have been made, remaining 
funds may be made available within the current fiscal year for other 
competitions within the program area or held-over for future 
competitions.
    3. Funding Errors. In the event HUD commits an error that, when 
corrected, would result in selection of an otherwise eligible applicant 
during the funding round of a Program NOFA, HUD may select that 
applicant when sufficient funds become available.
    4. Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance and compliance actions of 
funding recipients in accordance with the applicable standards and 
sanctions of their respective programs.
    5. Debriefing. For a period of at least 120 days, beginning 30 days 
after the awards for assistance are publicly announced, HUD will 
provide to a requesting applicant a debriefing related to its 
application. All debriefing requests must be made in writing or by 
email by the authorized official whose signature appears on the SF-424 
or his or her successor in office, and submitted to the person or 
organization identified as the Contact under the section entitled 
``Agency Contact(s)'' in the individual Program NOFAs under which you 
applied for assistance. Information provided during a debriefing will 
include, at a minimum, the final score you 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.

B. Administrative and National Policy Requirements

    See Section III.C. of this Notice regarding related requirements.

C. Reporting

    The individual Program NOFAs will identify applicable reporting 
requirements related to each program, including racial and ethnic data 
collection requirements based upon the OMB standards for federal data 
on race and ethnicity, dated August 13, 2002. The reporting shall 
include submission of a completed Logic Model indicating results 
achieved against the proposed output goal(s) and proposed outcome(s) 
which you stated in your approved application and agreed upon by HUD. 
The submission of the Logic Model and required information should be in 
accord with the reporting time frames identified in each Program NOFA.

VII. Agency Contact(s)

    The individual Program NOFAs will identify the applicable agency 
contacts related to each program. Questions regarding this Notice 
should be directed to Dorthera (Rita) Yorkshire or Eric Gauff, in HUD's 
Office of Departmental Grants Management, at 202-708-0667. Persons with 
speech or hearing impairments may contact Ms. Yorkshire or Mr. Gauff 
using the toll-free Federal Relay Service at 800-877-8339. Questions 
regarding specific program requirements should be directed to the 
agency contacts identified in each Program NOFA.

VIII. Other Information

A. Grants.gov and Pub. L. 106-107 Streamlining Activities

    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 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.

[[Page 26954]]

    HUD is working with the 26 federal grant-making agencies on 
President George W. Bush's Grants.gov ``FIND and APPLY'' Initiative. 
This Initiative is an effort by federal agencies to develop a common 
electronic application and reporting system for federal financial 
assistance. This system will provide ``one-stop shopping'' for funding 
opportunities for all federal programs. This system is being developed 
in response to public and government concerns that it is difficult for 
organizations to know all the funding available from the federal 
government and how to apply for funding. It also is an effort by the 
federal government to develop common application requirements, further 
streamlining the application process, making it easier for you, our 
customers, to apply for funding.
    The first segment of the Grants.gov Initiative focuses on allowing 
the public to easily FIND funding opportunities and then APPLY via 
Grants.gov. Funding decisions will still be under the control of the 
federal agency sponsoring the program funding opportunity. In FY2004, 
HUD is posting all of its funding notices on www.Grants.gov/FIND with 
links to HUD's Web site for copies of the NOFA sections and form-
fillable forms which applicants can download and complete for 
submission of paper copy applications. During FY2004, HUD applicants 
will be able to continue to submit paper copies of their application to 
HUD for funding consideration and, in fact, the paper copy will be the 
official copy to submit to the Department. To find out more about 
Grants.gov, please go to its Web site and look at the Tutorials and 
Getting Started information. It is HUD's intent to move to a fully 
electronic application system in FY2005, so becoming familiar with the 
functionality of the Grants.gov Web site would benefit the applicant 
community.

B. Paperwork Reduction Act Statement

    The information collection requirements in this Notice have been 
approved by OMB under the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501-3520). In accordance with the Paperwork Reduction Act, HUD may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a valid OMB 
control number. Each Program NOFA will identify its applicable OMB 
control number.

C. Authority

    HUD's authority for making funding available under its FY2004 
programs is identified in each Program NOFA under the section entitled 
``Funding Opportunity Description.''

D. Environmental Impact

    A Finding of No Significant Impact with respect to the environment 
has been made for this Notice 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(2)(C)). The Finding of 
No Significant Impact is available for public inspection between 8 a.m. 
and 5 p.m. in the Office of the General Counsel, Regulations Division, 
Room 10276, Department of Housing and Urban Development, 451 Seventh 
Street, SW., Washington, DC 20410-0500.

E. Executive Orders and Congressional Intent

    1. Executive Order 13132, Federalism. Executive Order 13132 
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 Notice 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.
    2. Sense of Congress. It is the sense of Congress, as published in 
Division G of the Consolidated Appropriations Act, 2004 (Public Law 
108-199, approved January 23, 2004), that, to the greatest extent 
practicable, all equipment and products purchased with funds made 
available in the Consolidated Appropriations Act, 2004, should be 
American-made.

F. Public Access, Documentation and Disclosure

    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, HUD published a notice that also provides 
information on the implementation of Section 102 (57 FR 1942). The 
documentation, public access, and disclosure requirements of Section 
102 apply to assistance awarded under individual NOFAs published as 
part of HUD's SuperNOFA or thereafter, as follows:
    1. Documentation, public access, and disclosure requirements. HUD 
will ensure that documentation and other information regarding each 
application submitted pursuant to its FY2004 NOFAs published in the 
FY2004 SuperNOFA or NOFAs published thereafter, are sufficient to 
indicate the basis upon which assistance was provided or denied. This 
material, including any letters of support, will be made available for 
public inspection for a five-year period beginning not less than 30 
days after the award of the assistance. Material will be made available 
in accordance with the Freedom of Information Act (5 U.S.C. 552) and 
HUD's implementing regulations (24 CFR part 15).
    2. HUD Form 2880. HUD will also make available to the public for 
five years all applicant disclosure reports (HUD Form 2880) submitted 
in connection with an FY2004 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 (24 CFR part 5).
    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 funding decisions made by the 
Department to provide:
    a. Assistance subject to Section 102(a) of the HUD Reform Act; and
    b. 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.

G. Section 103 of the HUD Reform Act

    HUD's regulations implementing Section 103 of the HUD Reform Act, 
codified at 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 
prohibited 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 should confine their 
inquiries

[[Page 26955]]

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.) The TTY number for persons with speech or hearing 
impairment is 800-877-8339. HUD employees who have specific program 
questions should contact the appropriate field office counsel or 
Headquarters counsel for the program to which the question pertains.

H. The FY2004 HUD NOFA Process and Future HUD Funding Processes

    Each year, HUD strives to improve its NOFA process. The FY2004 
NOFAs have been revised based upon comments received during the FY2003 
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. In FY2004, as part of Public 
Law 106-107 streamlining efforts and the interagency eGrants 
Initiative, HUD is making considerable changes to the format and 
presentation of its funding notices. HUD is continually striving to 
ensure effective communication with HUD program funding recipients and 
potential funding recipients. HUD has been posting pertinent documents 
related to these efforts on its website. HUD encourages you to visit 
HUD's website on an ongoing basis to keep abreast of the latest 
developments. HUD's website address for information on the Grants.gov 
Initiative is http://www.hud.gov/offices/adm/grants/egrants/
egrants.cfm.
    Information on Grant streamlining activities can be found at http:/
/www.hud.gov/offices/adm/grants/pl-106107/pl106-107.cfm.
    The programs for which funding is available in the FY2004 SuperNOFA 
is published simultaneously with this policy Notice and follows this 
section and its appendices.

    Dated: April 22, 2004.
Alphonso Jackson,
Secretary.
BILLING CODE 4210-32-P

[[Page 26956]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.000


[[Page 26957]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.001


[[Page 26958]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.002


[[Page 26959]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.003


[[Page 26960]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.004


[[Page 26961]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.005


[[Page 26962]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.006


[[Page 26963]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.007


[[Page 26964]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.008


[[Page 26965]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.009


[[Page 26966]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.010


[[Page 26967]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.011


[[Page 26968]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.012


[[Page 26969]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.013


[[Page 26970]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.014


[[Page 26971]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.015


[[Page 26972]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.016


[[Page 26973]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.017


[[Page 26974]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.018


[[Page 26975]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.019


[[Page 26976]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.020


[[Page 26977]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.021


[[Page 26978]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.022


[[Page 26979]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.023


[[Page 26980]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.024


[[Page 26981]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.025


[[Page 26982]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.026


[[Page 26983]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.027


[[Page 26984]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.028


[[Page 26985]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.029


[[Page 26986]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.030


[[Page 26987]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.031


[[Page 26988]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.032


[[Page 26989]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.033


[[Page 26990]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.034


[[Page 26991]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.035


[[Page 26992]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.036


[[Page 26993]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.037


[[Page 26994]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.038


[[Page 26995]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.039


[[Page 26996]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.040


[[Page 26997]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.041


[[Page 26998]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.042


[[Page 26999]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.043


[[Page 27000]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.044


[[Page 27001]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.045


[[Page 27002]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.046


[[Page 27003]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.047


[[Page 27004]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.048


[[Page 27005]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.049


[[Page 27006]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.050


[[Page 27007]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.051


[[Page 27008]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.052


[[Page 27009]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.053


[[Page 27010]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.054


[[Page 27011]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.055


[[Page 27012]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.056


[[Page 27013]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.057


[[Page 27014]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.058


[[Page 27015]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.059


[[Page 27016]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.060


[[Page 27017]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.061


[[Page 27018]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.062


[[Page 27019]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.063


[[Page 27020]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.064


[[Page 27021]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.065


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27023]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.066


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27025]]



COMMUNITY DEVELOPMENT TECHNICAL ASSISTANCE

Overview Information

    A. Federal Agency Name. Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title. Community Development Technical 
Assistance (CD-TA).
    C. Announcement Type. Initial Announcement.
    D. Funding Opportunity Number. The Federal Register number for this 
NOFA is FR-4900-N-12. The OMB approval number for this program is 2506-
0166 for HOME Investment Partnerships Program (HOME), HOME Investment 
Partnerships Program for Community Housing Development Organizations 
[CHDO (HOME)], McKinney-Vento Homeless Assistance (Homeless), and 
Community Development Block Grants (CDBG), 2506-0133 for Housing 
Opportunities for Persons With AIDS (HOPWA), and 2506.0142 for 
Youthbuild.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers. The HOME 
and CHDO (HOME) CFDA numbers are 14.239; Homeless is 14.235; HOPWA is 
14.241; CDBG Entitlement Grants is 14.218; CDBG for Small Cities 
Program is 14.219; CDBG for States is 14.228; CDBG for Insular Areas is 
14.225; CDBG--Section 108 is 14.248; Youthbuild is 14.243.
    F. Dates. The application due date is July 8, 2004.
    G. Additional Overview and Content Information. Applicants 
interested in providing technical assistance to entities participating 
in HUD's community development programs should carefully review the 
General Section of the SuperNOFA and the information listed in this CD-
TA NOFA. Funds are available to provide technical assistance for six 
separate program areas: HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and 
Youthbuild. Applicants may apply for one, two, three, four, five, or 
all six CD-TA program areas. The application is contained in this CD-TA 
NOFA at Section IV.B. Approximately $36.8 million is available. No cost 
sharing is required. Grants will be administered under cooperative 
agreements with significant HUD involvement (see Section II.C of this 
NOFA).

Full Text of Announcement

I. Funding Opportunity Description

    A. CD-TA Purpose. The purpose of the CD-TA program is to provide 
assistance to achieve the highest level of performance and results for 
six separate community development program areas: (1) HOME; (2) CHDO 
(HOME); (3) Homeless; (4) HOPWA; (5) CDBG; and (6) Youthbuild. 
Information about the six community development programs and their 
missions, goals, and activities can be found on the HUD Web site at 
www.hud.gov.
    B. Description of National TA and Local TA. There are two types of 
technical assistance (TA) funding available in this NOFA: National TA 
and Local TA.
    National TA activities are those that address, at a nationwide 
level, one or more of the CD-TA program activities and/or priorities 
identified in Section III.C. of this NOFA. National TA activities may 
include the development of written products, development of on-line 
materials, development of training courses, delivery of training 
courses previously approved by HUD, organization and delivery of 
workshops and conferences, and delivery of direct TA as part of a 
national program. Applicants for National TA must also be willing to 
work in any HUD field office area, although work in the field office 
areas is likely to be a negligible portion of National TA activities. 
National TA activities are administered by a Government Technical 
Representative (GTR) and Government Technical Monitor (GTM) at HUD 
Headquarters.
    Local TA activities also must address the CD-TA program activities 
and/or priorities identified in this NOFA, however the Local TA is 
targeted to the specific needs of the HUD community development program 
recipients in the field office area in which the TA is proposed. Local 
TA activities are limited to the development of need assessments, 
direct TA to HUD community development program recipients, organization 
and delivery of workshops and conferences, and customization and 
delivery of previously HUD-approved trainings. Local TA will be 
administered by a GTR and GTM in the respective HUD field office. 
Please note that the Pooled Local HOME and Homeless TA (described in 
Section II.A. below) are Local TA carried out in field office 
jurisdictions and directed by field office GTRs and GTMs.
    C. Authority. HOME TA is authorized by the HOME Investment 
Partnerships Act (42 U.S.C. 12781-12783); 24 CFR part 92. CHDO (HOME) 
TA is authorized by the HOME Investment Partnerships Act (42 U.S.C. 
12773); 24 CFR part 92. For the McKinney-Vento Act Homeless Assistance 
Programs TA, the Supportive Housing Program is authorized under 42 
U.S.C. 11381 et seq.; 24 CFR 583.140; Emergency Shelter Grants, Section 
8 Moderate Rehabilitation Single Room Occupancy Program, and Shelter 
Plus Care TA are authorized by the FY2004 HUD Appropriations Act. HOPWA 
TA is authorized under the FY2004 HUD Appropriations Act. CDBG TA is 
authorized under Title I of the Housing and Community Development Act 
of 1974 (42 U.S.C. 5301-5320); 24 CFR 570.402. Youthbuild TA is 
authorized under Title IV of the Cranston-Gonzalez National Affordable 
Housing Act, as amended by the Housing and Community Development Act of 
1992 (42 U.S.C. 12899); 24 CFR part 585.

II. Award Information

    A. Available Funds. Approximately $36.8 million is available for 
the CD-TA program. Additional funds may become available as a result of 
recapturing unused funds. This chart shows how the funds are divided 
among National TA and Local TA activities:

----------------------------------------------------------------------------------------------------------------
                                                                                                   Pooled local
                   Program                                National TA                Local TA           TA
----------------------------------------------------------------------------------------------------------------
HOME.........................................  $3,500,000.......................      $2,845,000      $3,245,250
CHDO (HOME)..................................  1,600,000........................       5,392,250               0
Homeless.....................................  6,600,000........................       2,941,000       1,000,000
HOPWA........................................  2,000,000........................               0               0
CDBG.........................................  Up to 1,500,000..................               0               0
Youthbuild...................................  6,211,325........................               0               0
----------------------------------------------------------------------------------------------------------------


[[Page 27026]]

    The Local TA funds are divided among HUD's field office 
jurisdictions for the HOME, CHDO (HOME), and Homeless programs. No 
Local TA funds are available for HOPWA, CDBG, or Youthbuild.
    For the HOME and Homeless Local TA, field offices were given the 
option to either accept applications directly for their local CD-TA 
funds or to place their funds into a pooled account and choose from the 
pooled account selectees. Field offices participating in the pooled 
account will receive assistance from selected TA providers serving the 
pooled account jurisdictions. Consequently, applicants proposing TA 
services to the members of the pool must be willing to provide coverage 
to all the field office jurisdictions in the pool. An applicant for 
Pooled Local TA should take this requirement into account when 
determining its funding request. Applicants for Pooled Local TA are 
encouraged to partner with other TA providers to expand the coverage of 
the application. The lead organization in the TA partnership should 
submit the application reflecting the joint efforts of the TA 
partnership.
    The chart below shows the amounts available in dollars for Local TA 
by CD-TA program:

----------------------------------------------------------------------------------------------------------------
                                                                        Pooled      CHDO                 Pooled
                      Local TA area                           HOME       HOME      (Home)    Homeless   homeless
----------------------------------------------------------------------------------------------------------------
Alabama..................................................          0    165,000     48,000          0     30,000
Alaska...................................................     40,000          0     35,000     30,000          0
Arkansas.................................................     20,000          0     60,000     40,000          0
California--Northern and Arizona, Nevada.................    250,000          0    200,000    200,000          0
California--Southern.....................................    300,000          0    250,000    250,000          0
Caribbean................................................          0    100,000    200,000          0     40,000
Colorado and Montana, North Dakota, South Dakota, Utah,      170,000          0    170,000          0    150,000
 Wyoming.................................................
Connecticut..............................................     55,000          0     55,000     40,000          0
District of Columbia area................................          0    100,000     60,000     50,000          0
Florida--Southern........................................     60,000          0     60,000     70,000          0
Florida--Northern........................................    150,000          0    100,000          0    180,000
Georgia..................................................          0    140,000          0          0     60,000
Hawaii...................................................     75,000          0     25,000     40,000          0
Illinois.................................................          0    250,000    525,000    225,000          0
Indiana..................................................    100,000          0    230,000          0     40,000
Kansas and Missouri--Western.............................          0     50,000     50,000          0     40,000
Missouri--Eastern........................................     85,000          0     85,000     85,000          0
Kentucky.................................................          0    150,000    150,000     60,000          0
Louisiana................................................          0    100,000    100,000          0     40,000
Maryland, except District of Columbia area...............          0     60,000     30,000          0     60,000
Massachusetts, Maine, New Hampshire, Rhode Island,           300,000          0    250,000    300,000          0
 Vermont.................................................
Michigan.................................................    250,000          0    250,000    138,000          0
Minnesota................................................    125,000          0    125,000    125,000          0
Mississippi..............................................          0    111,250    156,250          0     50,000
Nebraska and Iowa........................................          0     40,000     90,000     20,000     40,000
New Jersey...............................................          0    250,000    125,000          0     80,000
New Mexico...............................................    200,000          0    200,000     50,000          0
New York--Downstate......................................          0    200,000    150,000    310,000          0
New York--Upstate........................................          0     85,000     70,000          0     57,000
North Carolina...........................................          0    125,000    225,000          0     80,000
Ohio.....................................................    365,000          0    290,000    180,000          0
Oklahoma.................................................          0     35,000     35,000          0     40,000
Oregon and Idaho.........................................          0    100,000    100,000     26,000          0
Pennsylvania--Eastern....................................          0     75,000    100,000          0     75,000
Pennsylvania--Western and West Virginia..................    145,000          0    158,000    102,000          0
South Carolina...........................................     75,000          0          0     50,000          0
Tennessee................................................          0    150,000    150,000     60,000          0
Texas--Northern..........................................          0    600,000    150,000    140,000          0
Texas--Southern..........................................     80,000          0          0     50,000          0
Virginia, except District of Columbia area...............          0     75,000     50,000          0     40,000
Washington...............................................          0     84,000     35,000          0     48,000
Wisconsin................................................          0    200,000    250,000    150,000          0
----------------------------------------------------------------------------------------------------------------

    B. Performance Period. The awards are for a period of up to 36 
months. HUD, however, reserves the right to withdraw funds from a 
specific TA 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.
    C. Terms of Award. HUD will enter into a cooperative agreement with 
selected applicants for the performance period. Because CD-TA awards 
are made as cooperative agreements, implementation entails significant 
HUD involvement. Significant HUD involvement is required in all aspects 
of TA planning, delivery, and follow-up.
    In addition to the requirements listed in the General Section of 
the SuperNOFA, selected applicants are subject to the following 
requirements:
    1. Demand/Response System. All CD-TA awardees must operate within 
the structure of the demand-response system. Under the demand-response 
system, TA providers are required to:
    a. When requested by a GTR, market the availability of their 
services to existing and potential recipients within the jurisdictions 
in which the assistance will be delivered;
    b. Respond to requests for assistance from the GTR;
    c. When requested by a GTR, conduct a needs assessment to identify 
the type

[[Page 27027]]

and nature of the assistance needed by the recipient of the assistance;
    d. Obtain the local HUD field office's approval before responding 
to direct requests for technical assistance from HOME Participating 
Jurisdictions (PJs), Community Housing Development Organizations 
(CHDOs), and McKinney-Vento Act Homeless Assistance, HOPWA, and CDBG; 
and
    e. For CHDO (HOME) TA providers, secure a 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.
    2. Training. 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 so that HUD 
or other CD-TA providers may independently conduct the course on their 
own;
    b. Make the course materials available to the GTR in sufficient 
time for review (minimum of three weeks) and receive concurrence from 
the GTR on the content and quality prior to delivery;
    c. Provide all course materials in an electronic format that will 
permit wide distribution among TA providers, field offices, and HUD 
grantees;
    d. Arrange for joint delivery of the training with HUD 
participation when requested by the GTR;
    e. Deliver HUD-approved training courses that have been designed 
and developed by others on a ``step-in'' basis when requested; and
    f. Send trainers to approved ``train-the-trainers'' sessions. The 
costs associated with attending these required sessions are eligible 
under the cooperative agreement.
    3. Field Office Involvement under National TA awards. When National 
TA providers are undertaking activities in field office jurisdictions, 
the National TA providers must work cooperatively with HUD field 
offices. Providers must notify the applicable HUD field office of the 
planned activities; consider the views or recommendations of that 
office, if any; follow those recommendations, to the degree 
practicable; and report to the applicable field office on the 
accomplishments of the assistance.

III. Eligibility Information

    A. Eligible Applicants. The eligible applicants for each of the six 
CD-TA programs are listed in the chart below. In accordance with the 
President's faith-based initiative, HUD welcomes the participation of 
eligible faith-based and community organizations in the CD-TA programs.

------------------------------------------------------------------------
         Program                        Eligible applicants
------------------------------------------------------------------------
HOME.....................  A for-profit or nonprofit professional and
                            technical services company or firm that has
                            demonstrated knowledge of the HOME program
                            and the capacity to provide technical
                            assistance services;
                           A HOME Participating Jurisdiction (PJ);
                           A public purpose organization, established
                            pursuant to state or local legislation,
                            responsible to the chief elected officer of
                            a PJ;
                           An agency or authority established by two or
                            more PJs to carry out activities consistent
                            with the purposes of the HOME program; or a
                            national or regional nonprofit organization
                            that has membership comprised predominately
                            of entities or officials of entities of PJs
                            or PJs' agencies or established
                            organizations.
CHDO (HOME)..............  A public or private nonprofit intermediary
                            organization that customarily provides
                            services, in more than one community,
                            related to the provision of decent housing
                            that is affordable to low-income and
                            moderate-income persons or related to the
                            revitalization of deteriorating
                            neighborhoods; has demonstrated experience
                            in providing a range of assistance (such as
                            financing, technical assistance,
                            construction and property management
                            assistance) to CHDOs or similar
                            organizations that engage in community
                            revitalization; and has demonstrated the
                            ability to provide technical assistance and
                            training for community-based developers of
                            affordable housing.
                           Note: Any organization funded to assist CHDOs
                            under CD-TA may not undertake CHDO set-aside
                            activities itself within its service area
                            while under cooperative agreement with HUD.
Homeless.................  A state;
                           A unit of general local government;
                           A public housing authority; or
                           A public or private nonprofit or for-profit
                            organization, including educational
                            institutions and area-wide planning
                            organizations.
HOPWA....................  A for-profit or nonprofit organization;
                           A state; or
                           A unit of general local government.
CDBG.....................  A state;
                           A unit of general local government;
                           A national or regional nonprofit organization
                            that has membership comprised predominately
                            of entities or officials of entities of CDBG
                            recipients;
                           A for-profit or nonprofit professional and
                            technical services company or firm that has
                            demonstrated knowledge of the CDBG program
                            and the capacity to provide technical
                            assistance services; or
                           A public or private nonprofit or for-profit
                            organization, including educational
                            institutions and area-wide planning
                            organizations.
Youthbuild...............  A public or private nonprofit agency that has
                            significant prior experience in the
                            operation of projects similar to the
                            Youthbuild program and that has the capacity
                            to provide effective technical assistance.
------------------------------------------------------------------------

    Applicants must also meet the threshold requirements of the General 
Section of the SuperNOFA, including the Civil Rights threshold at 
Section III(C).
    A consortium of organizations may apply for one or more CD-TA 
programs, but one organization must be designated as the applicant.
    Applicants may propose assistance using in-house staff, 
consultants, sub-contractors, sub-recipients, and local organizations 
with the requisite experience and capabilities. Where appropriate, 
applicants should make use of TA providers located in the field office 
jurisdiction receiving services. This draws upon local expertise and 
persons familiar with the opportunities and resources available in the 
area to be served while reducing travel and other costs associated with 
delivering the proposed TA services.
    B. Cost Sharing or Matching. None.
    C. Other:
    1. Eligible Activities and Priorities. Funds may be used to provide 
TA to prospective applicants, applicants, grantees, and project 
sponsors of the

[[Page 27028]]

HOME, CHDO (HOME), Homeless, HOPWA, CDBG, and Youthbuild programs. The 
TA activities may include but are not limited to written information 
such as papers, manuals, guides, and brochures; assistance to 
individual communities; needs assessments; and training. The priority 
TA areas for each of the six program areas are:
    a. HOME TA. By statute, HUD may provide HOME program technical 
assistance to meet specified objectives. From these objectives, HUD has 
identified four HOME program technical assistance priorities for 
FY2004. These priorities are:
    (1) Improve the ability of PJs to design and implement housing 
programs that reflect sound underwriting, management, and fiscal 
controls; demonstrate measurable outcomes in the use of public funds; 
and provide accurate and timely reporting of HOME program 
accomplishments.
    (2) Encourage public-private partnerships that yield an increase in 
the amount of private dollars leveraged for HOME-assisted projects and 
result in an increase in the commitment and production of HOME-assisted 
units.
    (3) Assist PJs in developing strategies that ameliorate the 
affordability gap between rapidly increasing housing costs and the less 
rapid growth in incomes among low-income households, especially among 
underserved populations (e.g., residents of the Colonias, homeless 
persons, and persons with disabilities).
    (4) Assist PJs in developing strategies that increase and help 
sustain homeownership opportunities for low-income households--
particularly low-income, minority households--and directly result in 
the commitment and completion of HOME-assisted units.
    b. CHDO (HOME) TA:
    (1) By statute, HUD may provide HOME program technical assistance 
to meet specified objectives. From these objectives, HUD has identified 
three CHDO-specific technical assistance priorities for FY2004. These 
priorities are:
    (a) Assist new CHDOs and potential CHDOs develop the organizational 
capacity to own, develop, and sponsor HOME-assisted projects. A new 
CHDO is defined as a nonprofit organization that within three years of 
the publication of this NOFA was determined by a PJ to qualify as a 
CHDO. A potential CHDO is defined as a nonprofit organization that is 
expected by the PJ to qualify as a CHDO and is expected to enter into a 
written agreement with that PJ to own, develop, or sponsor HOME-
assisted housing within 24 months of the PJ determining the 
organization qualifies as a CHDO. HUD welcomes the participation of 
otherwise eligible faith-based and community organizations.
    (b) Improve the HOME program production and performance of existing 
CHDOs in the areas of:
    (i) Program design and management, including underwriting, project 
financing, property management, and compliance; and
    (ii) Organizational management and capacity, including fiscal 
controls, board development, contract administration, and compliance 
systems.
    (c) Provide organizational support, technical assistance, and 
training to community groups for the establishment of community land 
trusts, as defined in section 233(f) of the Cranston-Gonzales National 
Affordable Housing Act.
    (2) Additional CHDO (HOME) Eligible Activities are:
    (a) Under the ``Pass-Through'' provision, CD-TA providers may 
propose to fund various operating expenses for eligible CHDOs that own, 
develop, or sponsor HOME-assisted housing. Such operating expenses may 
include reasonable and necessary costs for the operation of the CHDO 
including salaries, wages, and other employee compensation and 
benefits; employee education, training and travel; rent; utilities; 
communication costs; taxes; insurance; equipment, materials, and 
supplies.
    (b) CD-TA providers must establish written criteria for selection 
of CHDOs receiving pass-through funds. PJs must designate the 
organizations as CHDOs; and generally, the organizations should not 
have been in existence more than three years. CD-TA providers must 
enter into an agreement with the CHDO that the agreement and pass-
through funding may be terminated at the discretion of HUD 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 initially receiving pass-through funding. The pass-
through amount, when combined with other capacity building and 
operating support available through the HOME program, cannot exceed the 
greater of 50 percent of the CHDO's operating budget for the year in 
which it receives funds, or $50,000 annually.
    c. Homeless TA. Homeless TA funds are available to provide 
McKinney-Vento Homeless Assistance Act-funded grantees, project 
sponsors, and potential recipients with skills and knowledge needed to 
develop and operate projects and activities. TA activities are focused 
on these priorities:
    (1) Facilitate the exchange of information between community 
organizations to develop and implement a community-wide discharge plan 
for individuals exiting publicly-funded institutions (e.g., criminal 
justice system, foster care system, mental health system) so that these 
individuals do not become homeless.
    (2) Improve the ability of eligible applicants to develop and 
operate permanent housing projects for chronically homeless persons.
    (3) Develop materials on effective grant administration for 
grantees and sponsors.
    (4) Improve the ability of eligible grantees and sponsors in 
reaching out to chronically homeless persons.
    (5) Improve the ability of grantees and sponsors in coordinating 
services available through mainstream resources with housing units 
available for homeless persons.
    (6) Facilitate the formation of metropolitan, regional, and 
statewide Homeless Management Information Systems (HMIS) and improve 
the ability of communities to prepare data for their Annual Homeless 
Assessment Reports.
    (7) Develop materials on effective grant management for Emergency 
Shelter Grants (ESG) recipients, including guidance on IDIS 
implementation.
    (A person experiencing chronic homelessness is defined as an 
unaccompanied individual with a disabling condition who has been 
continuously homeless for a year or more or has experienced four or 
more sustained episodes of homelessness over the last three years.)
    d. HOPWA TA. HOPWA TA funds are available to provide grantees, 
project sponsors, and potential recipients with the skills and 
knowledge to effectively develop, operate, and support HOPWA-eligible 
project activities that result in measurable performance outputs and 
outcomes. TA activities focused are on these priorities:
    (1) Improve the ability of grantees to develop comprehensive 
housing strategies, through collaborative public and private 
partnerships, that coordinate the use of mainstream resources and 
promote the long-term sustainability of HOPWA-assisted rental housing 
programs.
    (2) Identify and train grantees and project sponsors on successful 
examples of how local or regional employment and re-entry discharge 
planning programs and efforts can complement the overall delivery and 
effectiveness of

[[Page 27029]]

housing and supportive services which result in greater client self-
sufficiency and independence.
    (3) Develop materials and training for grantees and project 
sponsors (a) on implementing and achieving long-term performance 
outcome measures that promote housing stability, reduce the risk of 
homelessness, and improve access to care and (b) on implementing sound 
fiscal and financial management practices.
    (4) Develop materials that promote the utilization and coordination 
of Homeless Management Information Systems in the provision of HOPWA-
assisted housing and supportive services for homeless and chronically 
homeless persons served under this program.
    (5) Provide direct TA for local HOPWA programs in coordination with 
HUD field office oversight of those HOPWA-funded projects. It is 
estimated that up to 40 percent of HOPWA TA funds will be made 
available for this purpose.
    e. CDBG TA. HUD may provide CDBG program technical assistance to 
meet specified objectives, in particular the facilitating of skills and 
knowledge in planning, developing, and administering activities under 
the CDBG program for recipients and other entities that may need but do 
not possess such skill and knowledge, including measuring programs and 
activities under the CDBG program. Technical assistance funds will 
support local and state grantees' efforts in these areas as well as 
support for efforts to streamline the Consolidated Plan, program 
management, and analytical support of information for performance 
measurement. TA activities are focused on the following priorities:
    (1) Assist grantees' efforts to streamline the Consolidated Plan, 
making it more results-oriented and useful to communities in assessing 
their own progress toward addressing the problems of low-income areas 
in their communities.
    (2) Improve CDBG recipient understanding of performance measurement 
from a national programmatic perspective.
    (3) Improve recipient knowledge and skills to develop and implement 
local CDBG performance measurement systems.
    (4) Assist recipients' development of local CDBG performance 
measurement systems.
    (5) Develop model, local protocols that ensure accurate, required 
program recordkeeping and performance data by recipients, subrecipients 
and sub-grantees.
    (6) Develop materials on effective grant administration for 
grantees, subrecipients, and sub-grantees.
    (7) Improve CDBG and Section 108 program knowledge through program-
specific recipient training.
    f. Youthbuild TA. Youthbuild TA funds are available to provide 
appropriate training, information, and technical assistance to 
federally funded Youthbuild programs and to HUD in the management, 
supervision, and coordination of such Youthbuild programs. TA 
activities are focused on the following priorities:
    (1) Improve the management and implementation of Youthbuild 
programs by providing on-site and telephone assistance, preparing 
appropriate instruction materials, and conducting training workshops on 
key aspects of the Youthbuild program.
    (2) Improve Youthbuild program applications by providing assistance 
to eligible applicants in the preparation of their grant applications, 
giving priority to community-based organizations in the provision of 
this assistance.
    (3) Strengthen Youthbuild program design by facilitating peer-to-
peer assistance for Youthbuild grantee staff and disseminating best 
program practices that are identified through training workshops, peer-
to-peer assistance, and on-site TA.
    (4) Assist HUD in the management, supervision, and coordination of 
Youthbuild programs by preparing handbooks or printed materials to 
provide guidance to Youthbuild grantees and by collecting and analyzing 
performance evaluation data from Youthbuild grantees.
    2. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement. Applicants need to 
obtain a DUNS number to receive an award from HUD.
    3. Other Eligibility Requirements. All applicants requesting 
funding from programs under this NOFA must be in compliance with the 
applicable threshold requirements found in the General Section of the 
SuperNOFA. Applicants that do not meet these requirements will be 
ineligible for funding.
    4. False Statements. An applicant's false statement in an 
application is grounds for denial or termination of an award and 
grounds for possible punishment as provided in 18 U.S.C. 1001.

IV. Application and Submission Information

    A. Addresses to Request Application Package. See the General 
Section of the SuperNOFA.
    B. Content and Form of Application Submission. Applicants must 
submit a completed application for each National TA and Local TA area 
and program for which they are applying. For example, an applicant for 
National TA for HOME, for Local TA in three field office jurisdictions, 
and for HOME Pooled Local TA would submit five separate and distinct 
applications.
    A completed application consists of an application submitted by an 
authorized official of the organization and containing all relevant 
sections of the application, as shown in the checklist below in Section 
IV.B.4.
    1. Number of Copies. Applicants for National TA must submit two 
copies of their application to HUD Headquarters. Applicants for Pooled 
Local TA must submit two copies of their application to HUD 
Headquarters. Applicants for Local TA must submit one copy of their 
application to HUD Headquarters and must also send one copy of their 
application to the HUD field office in which their organization is 
applying. See Section VII.C. of the CD-TA NOFA for information on field 
office addresses.
    2. Page Limitation. Narratives addressing Factors 1-5 are limited 
to no more than 25 typed pages. That is, reviewers will not review more 
than 25 pages for all five factors combined, except that the page limit 
does not include the Form HUD-96010, Logic Model.
    3. Prohibition on Attachments. Attachments are prohibited. 
Reviewers will not consider resumes, charts, letters, or any other 
documents attached to the application.
    4. Checklist for Application Submission. Assemble the application 
in the following order. Please enter page numbers on the narrative 
pages of the application.

--SF-424, Application for Federal Assistance (from General Section of 
SuperNOFA)
--An Application Cover Page indicating in bold (a) the type of TA 
proposed in the application whether HOME National, HOME Local, HOME 
Pooled, CHDO National, CHDO Local, Homeless National, Homeless Local, 
Homeless Pooled, HOPWA National, CDBG National, or Youthbuild National; 
(b) the amount of funds requested in the application; and (c) for Local 
TA, the jurisdiction proposed in the application.
--Narrative addressing Factor 1

[[Page 27030]]

--Narrative addressing Factor 2
--Narrative addressing Factor 3
--Narrative addressing Factor 4
--Narrative addressing Factor 5
--HUD-96010, Logic Model
--HUD-424-CB, Grant Application Detailed Budget Form (from General 
Section of SuperNOFA)
--HUD-424-CBW, Detailed Budget Worksheet for Non-Construction Projects 
(from General Section of SuperNOFA)
--If applying for CHDO (HOME) TA, statement as to whether the 
organization proposes to pass through funds to new CHDOs.
--If applying for the CHDO (HOME) TA, a certification as to whether the 
organization qualifies as a primarily single-state provider under 
section 233(e) of the Cranston-Gonzales Affordable Housing Act.
--HUD-424 B, Assurances--Non-Construction Programs (from General 
Section of SuperNOFA)
--SF-LLL, Disclosure of Lobbying Activities (from General Section of 
SuperNOFA)
--HUD-2880, Applicant/Recipient Disclosure/Update Report (from General 
Section of SuperNOFA)

    C. Submission Dates and Times. The application is due to HUD on 
July 8, 2004.
    D. Intergovernmental Review. Intergovernmental review is not 
applicable to CD-TA applications.
    E. Funding Restrictions. An organization may not provide assistance 
to itself. An organization may not provide assistance to another 
organization with which it contracts or sub-awards funds to carry out 
activities under the TA award.
    Funding from HOME and from CHDO (HOME) TA to any single eligible 
organization (excluding funds for organizational support and housing 
education ``passed through'' to CHDOs), whether as an applicant or sub-
recipient is limited to not more than 20 percent of the operating 
budget of the recipient organization for any one-year period of each 
cooperative agreement. In addition, funding under either HOME or CHDO 
(HOME) TA to any single organization is limited to 20 percent of the 
$17,894,000 made available for HOME and CHDO (HOME) TA in FY2004.
    Not less than 40 percent of the approximately $6,992,250 for CHDO 
(HOME) shall be made available for eligible TA providers that have 
worked primarily in one state. HUD will consider an applicant as a 
primarily single state TA provider if it can document that more than 50 
percent of its past activities in working with CHDOs or similar 
nonprofit and other organizations (on the production of affordable 
housing, revitalization of deteriorating neighborhoods, and/or the 
delivery of technical assistance to these groups) was confined to the 
geographic limits of a single state.
    No fee or profit may be paid to any recipient or sub-recipient of 
an award under this CD-TA NOFA.
    F. Other Submission Requirements:
    Addresses for Submitting Applications. Submit applications to: HUD 
Headquarters; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 7251; Washington, DC 20410; ATTENTION: CD-TA.
    Submit applications for Local TA to the appropriate field office(s) 
at the address(es) shown in Section VII.C. of this NOFA. Please mark 
the package ATTENTION: CD-TA.
    The General Section of the SuperNOFA describes application 
submission procedures and how applicants may obtain proof of timely 
submission.

V. Application Review Information

    A. Criteria. The maximum number of points to be awarded for a CD-TA 
application is 100. The minimum score for an application to be 
considered for funding is 75 with a minimum of 20 points on Factor 1. 
The CD-TA program is not subject to bonus points, as described in the 
General Section of the SuperNOFA.
    Points are assigned on five factors. Factor 1 relates to the 
capacity of the applicant and its relevant organizational experience. 
Rating of the ``applicant'' or the ``applicant's organization and 
staff'' includes any sub-contractors, consultants, and sub-recipients 
which are firmly committed to the project. In responding to Factor 1, 
applicants should specify the experience, knowledge, skills, and 
abilities of the applicant's organization and staff, and any persons 
and organizations firmly committed to the project.
    When addressing Factors 2-5, applicants should discuss the specific 
TA projects, activities, tasks, etc., that will be carried out during 
the term of the cooperative agreement. Applicants should provide 
relevant examples to support the proposal, where appropriate. 
Applicants should also be specific when detailing the communities, 
populations, and organizations that they propose to serve and the 
specific outcomes expected as a result of the TA.

Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience (30 points) (Minimum for Funding Eligibility--20 Points)

    a. (10 points) Recent and successful experience of the applicant's 
organization in providing TA in all activities and to all entities for 
the CD-TA program applied for.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates experience within the last four years of 
providing TA related to the CD-TA achievement of positive outcomes.
    b. (10 points) A comprehensive and efficient management plan which 
considers providing TA under the demand/response system and, for 
applicants proposing to serve more than one geographic area, experience 
in managing work that requires coordination with other entities or 
parts of the organization.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates there is a plan to manage TA assignments under 
the demand/response system cost effectively and, for applicants 
proposing to serve more than one geographic area, the ability to manage 
multiple TA assignments simultaneously and cost effectively.
    c. (10 points) Knowledgeable key personnel skilled in providing TA 
in all activities and to all entities for the CD-TA program applied 
for. A sufficient quantity of staff or ability to procure qualified 
experts or professionals with the knowledge, skills, and abilities to 
deliver the proposed level of TA in the proposed service area in a 
timely and effective fashion; ability to provide CD-TA in a geographic 
area larger than a single city or county.
    In rating this factor, HUD will consider the extent to which the 
application demonstrates the organization has an adequate number of key 
staff or ability to procure individuals with the knowledge of effective 
TA approaches and knowledge of the CD-TA program applied for and the 
ability to apply the knowledge to achieve positive TA outcomes.

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

    a. For National TA applications: Sound and extensive understanding 
of need for TA in relation to the eligible activities and priorities 
listed in Section III C. of the CD-TA NOFA as demonstrated by objective 
information and/or data, such as information from HOME Snapshots.
    b. For Local TA applications: Sound and extensive understanding of 
high

[[Page 27031]]

priority needs for TA in the jurisdiction as demonstrated by objective 
information and/or data, such as information from HOME Snapshots.
    c. For Local Pooled TA applications: Sound and extensive 
understanding of the high priority needs for TA of three jurisdictions 
in the pool as demonstrated by objective information and/or data, such 
as information from HOME Snapshots. (Applicants may choose any three in 
the pool; these serve as examples of the applicant's understanding of 
need.)
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates an understanding of the specific needs for TA 
and supports the description of need with reliable, program-specific, 
quantitative information. Applicants for HOME should at a minimum draw 
on HOME Snapshot information to demonstrate PJs' need, in an area or 
nationwide, for additional training and capacity building. See http://
www.hud.gov/offices/cpd/affordablehousing/programs/home/snapshot/
index.cfm.

Rating Factor 3: Soundness of Approach (40 Points)

    a. (25 points) For National TA applications: A sound approach for 
addressing the need for TA in relation to the priorities listed in 
Section IIIC. of this CD-TA NOFA.
    For Local TA applications: A sound approach for addressing high 
priority needs for TA in the jurisdiction.
    For Local Pooled TA applications: A sound approach for addressing 
the high priority needs for TA described in Factor 2 of three 
jurisdictions participating in the pool. (Applicants should use the 
same three jurisdictions as in Factor 2.)
    In rating this factor, HUD will evaluate the extent to which the 
application presents and supports a detailed, feasible, practical 
approach for addressing TA needs (Local TA applications and Pooled 
Local TA applications) or CD-TA program priorities (National TA 
applications).
    b. (10 points) A cost-effective work plan for designing, 
organizing, managing, and carrying out the proposed TA activities.
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates the efficiency of proposed activities and the 
effectiveness of operation in achieving positive outcomes.
    c. (5 points) An effective assistance program to specific 
disadvantaged communities, populations, and/or organizations which 
previously have been underserved and have the potential to participate 
in the CD-TA program.
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates an effective approach for involving previously 
underserved communities, populations, and organizations with potential, 
and a practical strategy for engaging participation in the CD-TA 
program.

Rating Factor 4: Leveraging Resources (10 Points)

    An efficient practical method to transfer manuals, guides, 
assessment forms, other work products, models, and lessons learned in 
its CD-TA activities to other grantees and/or program beneficiaries.
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates a cost-effective means of sharing resources 
developed under the CD-TA activities with a wide audience.

Rating Factor 5: Achieving Results and Program Evaluation (10 Points)

    a. (5 points) An effective, quantifiable, outcome-oriented 
evaluation plan for measuring performance using the Logic Model with 
specific outcome measures and benchmarks, including--for HOME 
applicants--targets for improving PJs' HOME Snapshot indicators and 
rankings.
    In rating this factor, HUD will evaluate the extent to which the 
application has an evaluation plan that is specific, measurable, and 
appropriate in relation to the activities proposed.
    b. (5 points) Successful past performance in administering HUD CD-
TA programs or, for applicants new to HUD's CD-TA Programs, demonstrate 
successful past performance in providing TA in other community 
development programs. Applicants should include, as applicable, 
increases in CPD or community development program accomplishments as a 
result of TA (e.g., number of homeless people or persons with HIV/AIDS 
receiving housing and services, efficiency or effectiveness of 
administration of CPD or community development programs, number of 
affordable housing units, HOME Snapshot indicators, timeliness of use 
of CPD or community development program funds).
    In rating this factor, HUD will evaluate the extent to which the 
application demonstrates past performance that is timely and in the 
delivery of community development TA. HUD will also consider past 
performance of current CD-TA providers, including financial and other 
information in HUD's files.
    B. Review and Selection Process:
    1. Review Types. Two types of reviews will be conducted. First, HUD 
will review each application to determine whether it meets threshold 
eligibility requirements. Second, HUD will review and assign scores to 
applications using the Factors for Award noted in Section V.A.
    2. Rank Order. Once rating scores are assigned, rated applications 
submitted for each National TA program, for each Local TA program, and 
for each Pooled Local TA program will be listed in rank order. 
Applications within the fundable range (score of 75+ points with 20+ 
points for Factor 1) may then be funded in rank order under the CD-TA 
program and service area for which they applied. Applicants for Pooled 
Local TA may not necessarily be funded in rank order since the amount 
of their awards, if any, will be determined by totaling the amounts 
assigned to them by the individual field offices participating in the 
pool. A field office participating in a pooled account may distribute 
some or all of its amount to any applicant for pooled funds that scores 
in the fundable range.
    3. Threshold Eligibility Requirements. All applicants requesting 
CD-TA must be in compliance with the applicable threshold requirements 
found in the General Section of the SuperNOFA and the eligibility 
requirements listed in Section III of this NOFA in order to be 
reviewed, scored, and ranked. Applications that do not meet these 
requirements and applications that were received after the submission 
deadline (see Section IV.F. of the General Section of the SuperNOFA) 
will be considered ineligible for funding and will be disqualified.
    4. Award Adjustment. In addition to the funding adjustment 
authority provided for in the General Section of the SuperNOFA, HUD 
reserves the right to adjust funding amounts for each CD-TA selectee. 
The amounts listed in the charts in Section II.A are provided to assist 
applicants to develop Local TA, Local Pooled TA, or National TA budgets 
and do not represent the exact amounts to be awarded. Once TA 
applicants are selected for award, HUD will determine the total amount 
to be awarded to any selected applicant based upon the size and needs 
of each of the selected applicant's service areas, the funds available 
for that area and CD-TA program, the number of other CD-TA applicants 
selected in that area or CD-TA program, and the scope of the TA to be 
provided.

[[Page 27032]]

    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 that cannot be fully budgeted for or 
estimated by HUD Headquarters or field offices at the time this NOFA 
was published. HUD may also require selected applicants, as a condition 
of funding, to provide coverage on a geographically broader basis than 
proposed in order to supplement or strengthen the CD-TA network in 
terms of the size of the area covered and types and scope of TA 
proposed.
    If funds remain after all selections have been made, the remaining 
funds may be distributed among field offices proportionately for Local 
TA and/or used for National TA, or made available for other CD-TA 
program competitions.

VI. Award Administration Information

    A. Award Notices. Successful applicants will receive notification 
from HUD in writing. Such notification is not an authorization to begin 
performance. Unsuccessful applicants will also receive notification 
from HUD in writing.
    After selection, HUD requires that all selected applicants 
participate in negotiations to determine the specific terms of the 
cooperative agreement, including the TADP and budget. Costs may be 
denied or modified if HUD determines that they are not allowable, 
allocable, and/or reasonable. 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, and 
proceed with negotiations with the next highest-ranking applicant.
    After selection for funding but prior to executing the cooperative 
agreement, the selected applicant must develop in consultation with the 
GTR, a TADP for each National TA and each Local TA award. The TADP must 
be approved by the GTR and delineate the tasks for each CD-TA program 
the applicant will undertake during the performance period. The TADP 
must specify the location of the proposed CD-TA activities, the amount 
of CD-TA funding and proposed activities by location, the improved 
program performance or other results expected from the CD-TA 
activities, and the methodology to be used for measuring the success of 
the CD-TA. A detailed time schedule for delivery of the activities, 
budget summary, budget-by-task, and staffing plan must be included in 
the TADP. Prior to undertaking individual tasks, the selected applicant 
generally prepares a technical plan for assistance (TPA) for approval 
by the GTR. The TPA must be consistent with the approved TADP.
    B. Administrative and National Policy Requirements. After selection 
for funding but prior to award, applicants must submit financial and 
administrative information to comply with applicable requirements. 
These requirements are found in 24 CFR part 84 for all organizations 
except states and local governments whose requirements are found at 24 
CFR part 85. Cost principles requirements are found at OMB Circular A-
122 for nonprofit organizations, OMB Circular A-21 for institutions of 
higher education, OMB Circular A-87 for states and local governments, 
and at 48 CFR 31.2 for commercial organizations. Applicants must submit 
a certification from an Independent Public Accountant or the cognizant 
government auditor, stating that the applicant's financial management 
system meets prescribed standards for fund control and accountability.
    Activities under this program are excluded from environmental 
review under 24 CFR 50.19(b)(9).
    The requirements to Affirmatively Further Fair Housing do not 
apply.
    C. Reporting. CD-TA awardees will be required to report to the GTR 
on, at a minimum, a quarterly basis unless otherwise specified in the 
approved TADP. For each reporting period, as part of the required 
report to HUD, grant recipients must include a completed Logic Model 
(form HUD 96010), which identifies output and outcome achievements.

VII. Agency Contacts

    A. For Assistance. Applicants may contact HUD Headquarters at 202-
708-3176, or they may contact the HUD field office serving their area 
shown in Section VII.C. Persons with hearing and speech challenges may 
access the above numbers via TTY (text telephone) by calling the 
Federal Relay Service at 800-877-8339 (this is a toll-free number). 
Information may also be obtained through the HUD website on the 
Internet at www.hud.gov.
    B. Satellite Broadcast. HUD will hold an informational satellite 
broadcast for potential applicants to learn more about the CD-TA 
programs and preparation of the application. For information about the 
date and time of the broadcast, consult the HUD website at: 
www.hud.gov.
    C. List of Field Office Addresses. For a listing of the HUD field 
office addresses to which applicants send Local TA applications, please 
use the following Internet address: http://www.hud.gov/offices/cpd/
about/staff/fodirectors/index.cfm. At the site, click on the map to get 
to the field office address and other contact information.

VIII. Other Information

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control numbers 2506-0166 and 2506-0133. In accordance with the 
Paperwork Reduction Act, HUD may not conduct or sponsor, and a person 
is not required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 60 hours for the application and grant administration. This 
includes the time for collecting, reviewing, and reporting the data. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

B. HUD Reform Act

    The provisions of the HUD Reform Act of 1989 that apply to the CD-
TA program are explained in the General Section of the SuperNOFA.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27033]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.067


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27035]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.068

BILLING CODE 4210-32-C

[[Page 27036]]

    2. Award Information: In Fiscal Year (FY) 2004, approximately $10.4 
million has been appropriated by the Consolidated Appropriations Act, 
2004 (Pub. L. 108-199, approved January 23, 2004, 118 Stat. 3), of 
which up to $1.98 million has been allocated to provide technical 
assistance. In addition, $614,000 in previously unexpended funds is 
being made available for this program. HUD will award two kinds of 
grants under this program; Previously Unfunded HBCU Grants and 
Previously Funded HBCU Grants.
    a. Previously Unfunded HBCU Grants will be awarded to applicants 
who have never received an HBCU grant. The maximum amount a Previously 
Unfunded HBCU or First Time applicant can request for award is $340,000 
for a three-year (36 months) grant performance period.
    b. Previously Funded HBCU Grants will be awarded to applicants that 
have received funding under previous HBCU grant competitions. The 
maximum amount an applicant can request for award is $550,000 for a 
three-year (36 months) grant performance period. In order to ensure 
that Previously Unfunded or First Time HBCU applicants receive awards 
in this competition, approximately $1.4 million has been made available 
to fund Previously Unfunded HBCU applicants. In addition, 
approximately, $7.6 million will be made available to Previously Funded 
HBCU applicants. (See Appendix C of this NOFA for a list of Previously 
Funded and Unfunded HBCUs). If funding remains after all eligible 
Previously Unfunded or First Time HBCU applicants are awarded, the 
remaining funds will be made available to fund eligible Previously 
Funded applicants.
    3. Eligible Applicants: Historically Black Colleges and 
Universities of higher education that meet the definition of 
Historically Black Colleges and Universities as determined by the 
Department of Education in 34 CFR 608.2 in accordance with that 
Department's responsibilities under Executive Order 13256, dated 
February 12, 2002, are eligible to apply for funding under this 
program. Applicants must be accredited by a national or regional 
accrediting agency recognized by the U.S. Department of Education.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Historically Black Colleges and Universities 
(HBCU) Program is to assist Historically Black Colleges and 
Universities of higher education 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 purpose of the Title I of Housing and Community Development Act of 
1974, as amended.
    A. For the purposes of this program, the term ``locality'' includes 
any city, county, township, parish, village, or other general political 
subdivision of a state, or the U.S. Virgin Islands where the 
institution is located.
    B. A ``target area'' is the area within the locality in which the 
institution will implement its proposed HBCU grant. If an institution 
wants to provide services/activities in a location other than the 
target area of that institution an applicant must provide justification 
for why they want to do so.
    C. Listed below are major modifications from the Fiscal Year (FY) 
2003 program-funding announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnerships Program NOFA;
    2. All applications must be mailed to: University Partnerships 
Clearinghouse; c/o Danya International; 8737 Colesville Road, Suite 
1200; Silver Spring, MD 20910;
    3. Points will no longer be assigned to the budget. However, a 
budget narrative must be submitted that addresses the total dollar 
amount reflected on the HUD-424-CB and HUD-40076-HBCU forms for the 
entire three-year grant performance period;
    4. Applicants no longer have to request a minimum amount of 
funding. However, the maximum amount a Previously Funded applicant can 
request for award is $550,000 and the maximum amount a Previously 
Unfunded or First Time applicant can request for award is $340,000 for 
a three-year (36 months) grant performance period;
    5. Institutions with two or more active HBCU grants that have drawn 
down less than 50 percent of the funding for each active grant three 
weeks (not two weeks as stated in the FY02 NOFA) prior to the program's 
application due date are ineligible to apply for funds under this NOFA. 
It is the applicant's responsibility to make sure this requirement is 
met; and
    6. Only one application can be submitted per institution.
    D. HUD's authority for making funding available under this NOFA is 
the Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004; 118 Stat. 3). This program is being implemented 
through this NOFA and the policies governing its operation are 
contained herein.

II. Award Information

    In Fiscal Year (FY) 2004, approximately $10.4 million has been 
appropriated by the Consolidated Appropriations Act, 2004 (Pub. L. 108-
199, approved January 23, 2004; 118 Stat. 3), of which up to $1.98 
million has been allocated to provide technical assistance. In 
addition, $614,000 in previously unexpended funds is being made 
available for this program. HUD will award two kinds of grants under 
this program, Previously Unfunded or First Time HBCU Grants and 
Previously Funded HBCU Grants.
    A. Previously Unfunded or First Time HBCU Grants will be awarded to 
applicants who have never received an HBCU grant. The maximum amount a 
Previously Unfunded or First Time HBCU applicant can request for award 
is $340,000 for a three-year (36 months) grant performance period.
    B. Previously Funded HBCU Grants will be awarded to applicants that 
have received funding under previous HBCU grant competitions. The 
maximum amount an applicant can request for award is $550,000 for a 
three-year (36 months) grant performance period.
    In order to ensure that Previously Unfunded HBCU applicants receive 
awards in this competition, approximately $1.4 million will be made 
available to fund Previously Unfunded or First Time HBCU applicants. 
Approximately $7.6 million will be made available to Previously Funded 
HBCU applicants that have received funding under previous HBCU 
competitions. If funding remains after all eligible Previously Unfunded 
or First Time HBCU applicants are awarded, the remaining funds will be 
made available to fund eligible Previously Funded applicants. (See 
Appendix C of this NOFA for a list of Previously Funded and Unfunded 
HBCUs).

III. Eligibility Information

A. Eligible Applicants

    Historically Black Colleges and Universities of higher education as 
determined by the U.S. Department of Education in 34 CFR 608.2 in 
accordance with that Department's responsibilities under Executive 
Order 13256, dated February 12, 2002, are eligible to apply for funding 
under this program. All applicants must be accredited by a national or 
regional accrediting agency recognized by the U.S. Department of 
Education.

[[Page 27037]]

B. Cost Sharing or Matching

    None required.

C. Other

1. Eligible Activities
    Eligible activities are listed in 24 CFR part 570, subpart C, 
particularly 570.201 through 570.206. Information regarding these 
activities can be found at: www.hudclips.org.
    a. Examples of eligible activities include, but are not limited to:
    (1) Acquisition of real property;
    (2) Clearance and demolition;
    (3) Rehabilitation of residential structures including lead-based 
paint hazard evaluation and reduction; and encouraging accessible 
design features in accordance with the requirements of section 504 of 
the Rehabilitation Act of 1973;
    (4) Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (5) Assistance to community-based development organizations (CBDO) 
to carry out a CDBG neighborhood revitalization, community economic 
development, or energy conservation projects, 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);
    (6) Public service activities such as those general support 
activities that can help to stabilize a neighborhood and contribute to 
sustainable redevelopment of the area, including but not limited to 
such activities as those concerned with employment, crime prevention, 
child care, health, drug abuse, education, fair housing counseling, 
energy conservation, homebuyer down payment assistance, or recreational 
needs; and
    (7) Payments of reasonable grant administrative costs related to 
planning and execution of the project (e.g., preparation/submission of 
HUD reports). Detailed explanations of these costs are provided in the 
OMB circulars that can be accessed at the White House Web site, 
www.whitehouse.gov/omb/circulars/index.html.
    b. Eligible activities that may be funded under this program are 
those eligible activities that meet both the Community Development 
Block Grant (CDBG) Program national objective and the CDBG eligibility 
requirements.
    c. The three national objectives of the Community Development Block 
Grant program are:
    (1) Benefit to low- or moderate-income persons;
    (2) Aid in the prevention or elimination of slums or blight; and
    (3) 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 objectives are 
provided at 24 CFR 570.208.
    d. The CDBG publication entitled ``Community Development Block 
Grant Program Guide to National Objectives and Eligible Activities for 
Entitlement Communities'' describes the regulations, and a copy can be 
obtained from HUD's NOFA Information Center at 800-HUD-8929 or 800-HUD-
2209 for the hearing-impaired.
2. Threshold Requirements Applicable to all Applicants
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked. Applications that do 
not meet these requirements will be considered ineligible for funding 
and will be disqualified:
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A. Eligible Applicants.
    b. The maximum amount a Previously Unfunded or First Time HBCU 
applicant can request for award is $340,000. The maximum amount a 
Previously Funded HBCU applicant can request for award is $550,000.
    c. No more than 15 percent of the total grant amount can be used 
for public service activities that benefit low- and moderate-income 
persons. Therefore, at least 85 percent of the grant amount requested 
must be used for activities qualifying under an eligibility category 
other than public services (as described at 24 CFR 570.201(e)). If an 
applicant proposes an activity that otherwise is eligible, it may not 
be funded if state or local law requires that it be carried out by a 
governmental entity.
    d. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of the grant benefit low- and moderate-income 
persons under the criteria specified in 24 CFR 570.208(a) or 
570.208(d)(5) or (6).
    e. Institutions with two or more active HBCU grants who have drawn 
down less than 50 percent of the funding for each active grant three 
weeks prior to the program's application due date are ineligible to 
apply for a grant under this NOFA. It is the applicant's responsibility 
to make sure this requirement is met.
    f. Only one application can be submitted per institution.
    g. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    h. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement).
3. Program Requirements
    In addition to the program requirements listed in the General 
Section of the SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program must be spent during a 
three-year (36 months) grant performance period.
    b. Applicants that claim leveraging from any source, including 
their own institution, must provide letters of firm commitment, 
memoranda of understanding, or agreements evidencing the extent and 
firmness of the commitment of leveraging from other federal (e.g., 
Department of Education, AmeriCorps Programs, etc.), state, local 
governments, and other private sources (including the applicant's own 
resources). These documents must be dated no earlier than the date of 
this published NOFA and follow the outline provided in Section V, 
Application Review Information, ``Factor 4: Leveraging Resources'' of 
this NOFA.
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from applicants that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. 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 in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants are particularly cautioned 
not to undertake or commit funds for acquisition or development of 
proposed

[[Page 27038]]

properties prior to HUD approval of specific properties or areas. An 
application constitutes an assurance that the 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, demolish, 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's written approval of the property 
is received. In supplying HUD with environmental information, 
applicants should use the same guidance as provided in the HUD Notice 
CPD-99-01 entitled ``Field Environmental Review Processing for HUD 
Colonias Initiative (HCI) Grants'' issued January 27, 1999.
    The General Section of the SuperNOFA provides further discussion of 
the environmental requirements. Further information and assistance on 
HUD's environmental requirements is available at http://www.hud.gov/
offices/cpd/energyenviron/environment/index.cfm.
    e. Labor Standards. Institutions and their sub-grantees, 
contractors and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may request general information, copies of the General 
Section and Program Sections of the SuperNOFA from the NOFA Information 
Center 800-HUD-8929 or 800-HUD-2209 (TTY) between the hours of 9 a.m. 
and 8 p.m. (Eastern Time) Monday through Friday, except on federal 
holidays. When requesting information, please refer to the Historically 
Black Colleges and Universities Program. Be sure to provide your name, 
address (including zip code), and telephone number (including area 
code). To ensure sufficient time to prepare an application, requests 
for copies of the NOFA can be made immediately following publication of 
the SuperNOFA. The NOFA Information Center opens for business 
simultaneously with the publication of HUD's 2004 NOFA. Applicants can 
also obtain information on the SuperNOFA and download applications 
through the HUD Web site, http://www.hud.gov.

B. Content and Form of Application Submission

    A complete application package must include an original signed 
application, three copies, and one computer disk of the application (in 
Word 6.0 or higher) of the items listed below. (The computer disk must 
include the narrative portion of the application, and all required 
forms. Forms can be downloaded from the following Web site http//
:www.hud.gov.) In order to recycle paper, applications must not be 
submitted in bound form; binder clips or loose-leaf binders are 
acceptable. Please do not use colored paper. Applications must be 
submitted on 8\1/2\ by 11-inch paper, double-spaced on one side of the 
paper, with one-inch margins (from top, bottom, left and right) and 
printed in a standard Times New Roman 12-point font. Each page must 
include the applicant's name and be numbered. Each section must be 
tabbed sequentially. The application narrative, including tables, and 
maps, must not exceed 75 pages (excluding forms, budget narrative, 
assurances, commitment letters, memoranda of understanding, agreements 
and abstract). The double-spacing requirement applies to the 
application narrative (excluding the abstract, table, maps, budget 
narrative, commitment letters, memoranda of understanding and 
agreements). Please note that although submitting pages in excess of 
the page limit will not disqualify an application, HUD will not 
consider the information on any excess pages. This may result in a 
lower score or failure to meet a threshold requirement. Except where a 
particular form may direct otherwise, all forms included in an 
application, as well as the transmittal letter, must be signed by the 
Chief Executive Officer (this is generally the President or Provost) or 
an official authorized legally to make a commitment on behalf of the 
institution. If a designee signs, the application must contain a copy 
of the official designation of signatory authority.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form. Please remember the following:
    a. The full grant amount (entire three-years) should be entered, 
not the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and email address of the designated contact. This is the person 
who will receive the reviewers' comments; therefore, please ensure the 
accuracy of the information;
    c. The Employer Identification/Tax ID number;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.520;
    f. The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. The letter should contain a statement that 
the institution is an eligible applicant because it is a two-or four-
year fully accredited institution. This letter should state the name of 
the accrediting agency, and that the accrediting agency is recognized 
by the U.S. Department of Education. Applicants can also use the 
transmittal letter as one way to demonstrate the President's commitment 
to the institutionalization of the program. The Chief Executive Officer 
(usually the President or Provost) of the institution must sign this 
letter. If the Chief Executive Officer has delegated this 
responsibility to another official, that person may sign, but a copy of 
the delegation of authority must be included or clearly stated in the 
letter.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, applicants must 
indicate the page number where each of the items can be found in the 
application (See Appendix A).
    4. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    a. A clear description of the proposed project activities, the 
target population that will be assisted, and the impact this project 
will have on the institution;
    b. The designated contact person, including phone number, facsimile 
number, and email address (This is the person who will receive the 
reviewers' comments; therefore, please ensure the accuracy of the 
information);
    c. University's name, department, mailing address, telephone 
number, facsimile number, and email address; and
    d. The principal investigator, if different from the designated 
contact person, for the project, including phone number, facsimile 
number, and email address.
    5. Narrative statement addressing the Factors for Award. HUD will 
use the

[[Page 27039]]

narrative response to the ``Factors for Award'' to evaluate, rate, and 
rank applications. The statement and work plan are the main source of 
information. Applicants are advised to review each factor carefully for 
program specific requirements. The response to each factor should be 
concise and contain only information relevant to the factor, but 
detailed enough to address each factor fully. Please do not repeat 
material in response to the five factors; instead, focus on how well 
the proposal responds to each of the factors. In factors where there 
are subfactors each subfactor must be presented separately, with the 
short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    6. Budget. The budget submission must be placed behind the 
narrative statement addressing the ``Factors for Award'' and include 
the following forms:
    a. Budget Forms.
    (1) HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also submit 
this form to reflect the total cost for the entire grant performance 
period (Grand Total).
    (2) HUD-40076-HBCU, ``Response Sheet, Budget-By-Activity''--This 
form must be used to document the entire three-year grant performance 
period. The form should include a listing of tasks to be completed for 
each activity necessary to be performed to implement the program, the 
overall costs for each activity, and the cost from each funding source. 
The budget-by-activity should clearly indicate the HUD grant amount and 
identify the source and dollar amount of the leveraged funds, if any.
    Make sure that the amount shown on the SF-424, HUD-424-CB, HUD-
40076-HBCU forms and all other required program forms is consistent and 
the budget totals are correct. Remember to check addition in totaling 
the categories on all forms so that all items are included in the 
total. All budget forms must be completed in full. If an application is 
selected for award, the applicant may be required to provide greater 
specificity to the budget during grant agreement negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000. For example, an applicant proposes to construct a building 
using HUD funding totaling $200,000. The following costs estimate 
reflects this total. Foundation cost $75,000, electrical work $40,000, 
plumbing work $40,000, finishing work $35,000, and landscaping $10,000. 
The proposed cost estimates should be reasonable for the work to be 
performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used and included. When an applicant proposes to use a 
consultant, the applicant must indicate whether there is a formal 
agreement or written procurement policy. For each consultant, please 
provide the name, if known, hourly or daily rate, and the estimated 
time on the project. Applicants must submit a cost estimate from a 
qualified firm (e.g., Architectural or Engineering), vendor, and/or 
qualified individual (e.g., independent architect) other than the 
institution for projects that involve rehabilitation of residential, 
commercial and/or industrial structures; and/or acquisition, 
construction, or installation of public facilities and improvements. 
Such an entity must be involved in the business of housing 
rehabilitation, construction and/or management. Equipment and contracts 
cannot be presented as a total estimated figure. For equipment, 
applicants must provide a list by type and cost for each item. 
Applicants using contracts must provide an individual description and 
cost estimate for each contract.
    c. Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants should 
include a copy of their indirect cost rate agreement with their 
application. Applicants who are selected for funding that do not have 
an approved indirect cost rate agreement (established by the cognizant 
federal agency, Certified Public Account, or auditor) will be required 
to establish a rate. In such cases, HUD will issue an award with a 
provisional rate and enter into an agreement to have one established.
    d. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in federal financial assistance in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Additional information regarding this requirement at the 
following Web site: http:// harvester.census.gov/sac.
    7. Appendix. Applicants must place all letters of commitment, 
memoranda of understanding and agreements for funds/resources in 
response to Factor 4 in this section. An applicant may not submit 
general support letters or resumes or other back-up materials (unless 
an applicant is willing to have the additional material count toward 
the page limits).

C. Submission Dates and Times

    A complete application package is due on or before June 25, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding 
may only be provided to applicants that meet the standards for eligible 
applicants in Section III.A.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse; c/o Danya International; 8737 Colesville 
Road, Suite 1200; Silver Spring, MD 20910. When submitting an 
application package, also please include the following information on 
the outside of the envelope:
    a. Office of University Partnerships;
    b. Historically Black Colleges and Universities Program; and
    c. Applicant's name and mailing address (including ZIP code).
    Applicants must refer to the General Section of this SuperNOFA for 
detailed requirements governing application submission and receipt. 
Applicants must also send a copy of their application to the Directors 
of the Office of Community Planning and Development (CPD) in the 
appropriate HUD field office. The address for each field office is 
listed in the General Section of this NOFA.
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee) of the institution and can be downloaded 
from the HUD Web site at www.hud.gov.
    a. Application for Federal Assistance (SF-424).

[[Page 27040]]

    b. Applicant Assurances and Certifications (HUD-424-B).
    c. Grant Application Detailed Budget (HUD-424-CB).
    d. Disclosure of Lobbying Activities (SF-LLL).
    e. America's Affordable Communities Initiative Removal of 
Regulatory Barriers (HUD-27300), if applicable.
    f. Applicant/Recipient Disclosure/Update Report (HUD-2880).
    g. Certification of Consistency with the Consolidated Plan (HUD-
2991).
    h. Certification of Consistency with the EZ/EC/RC Strategic Plan 
(HUD-2990). Must be signed by the certifying official of the EZ/EC/RC. 
The General Section of the SuperNOFA provides procedures and guidelines 
required to certify that proposed grant activities are being conducted 
in the EZ/EC/RC that serve the residents of these areas, and are 
certified to be consistent with the area's strategic plan.
    i. Budget-By-Activity (HUD-40076-HBCU).
    j. Response Sheet-Performance Narrative only (HUD 40076-HBCU).
    k. Program Logic Model (HUD-96010).
    l. Survey on Equal Opportunity (HUD-32004).
    m. Acknowledgment of Receipt of Application (HUD-2993). To confirm 
that HUD has received the application package, please complete this 
form. Applicants are not required to include this form, but it is 
recommended that an applicant do so.
    n. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help us to assess whether the changes have 
had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. Applicants are not 
required to complete this form.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 Points)
    This factor addresses the extent to which the institution 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:
    a. Knowledge and Experience--For Previously Unfunded or First Time 
Applicants (25 Points) For Previously Funded Applicants (10 Points). 
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 this kind of program. Experience will be judged in terms of 
recent and relevant knowledge and skills of the staff to undertake 
eligible program activities. HUD will consider experience within the 
last five years to be recent and experience pertaining to specific 
activities and producing specific accomplishments to be relevant. The 
following categories will be evaluated:
    (1) Undertaking specific successful community development projects 
with community-based organizations or local governments; and
    (2) Providing leadership in solving community problems that have a 
direct bearing on the proposed activities.
    b. Past Performance (15 points) Previously Funded Grant Applicants 
Only. This subfactor will evaluate the extent to which an applicant has 
performed successfully under all previously completed and open HUD HBCU 
grant(s). Applicants must demonstrate this by providing the following 
information on the HUD-40076-HBCU--Response Sheet: (Performance 
Narrative only) for each HBCU grant they have received:
    (1) A detailed list outlining the achievement of specific 
measurable objectives and outcomes consistent with the approved 
timeline/work plan in previous grants;
    (2) Comparison of proposed leveraged funds and/or resources in a 
previous grant with what was actually leveraged; and
    (3) A list of all HUD/HBCU grants received, including the dollar 
amount awarded and the amount expended as of the date of this 
application.
    The HUD-40076-HBCU ``Response Sheet'' (Performance Narrative only) 
form is located in Appendix C at the end of this NOFA). The form should 
be filled out completely and placed under this section.
2. Rating Factor 2: Need/Extent of the Problem (10 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(s) in the target area. The need(s) 
described must be relevant to the activities for which funds are being 
requested. The proposal will be evaluated on the extent to which the 
level of need for the proposed activities and the importance of meeting 
the need(s) are documented.
    Applicants must use statistics or other analyses contained in at 
least one or more current data sources that are sound and reliable. The 
data provided must be current and specific to the area where the 
proposed project activities will be carried out. Sources for localized 
data can be found at www.ffiec.gov or www.econdata.com.
    In rating this factor, HUD will consider data collected within the 
last five years to be current. To the extent that the targeted 
community's Five 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, applicants should include references to 
these documents in response to this factor.
    If the proposed activities are not covered under the scope of the 
Consolidated Plan and Analysis of Impediments to Fair Housing Choice 
(AI), indicate this clearly in the proposal and use other sound data 
sources to identify the level of need and the urgency in meeting the 
need. Other reliable data sources include, but are not limited to 
Census reports, HUD Continuum of Care gap analysis and its E-MAP 
(http://www.hud.gov/emaps), law enforcement agency crime reports, 
Public Housing Agencies' Comprehensive Plans, community needs analyses 
such as provided by the United Way, the applicant's institution, and 
other sound and reliable sources. Needs in terms of fulfilling court 
orders or consent decrees, settlements, conciliation agreements, and 
voluntary compliance agreements may also be addressed.
3. Rating Factor 3: Soundness of Approach (45 Points)
    This factor addresses the quality and effectiveness of the proposed 
work plan, the commitment of the institution to sustain the proposed 
activities, and actions regarding HUD's priorities, goals and 
objectives, and affirmatively furthering fair housing.
    This factor will be evaluated based on the extent to which the 
proposed work plan demonstrates the following:
    a. (35 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear outline 
of the proposed project and anticipated accomplishments.
    (1) Specific Services and/or Activities. The work plan must 
describe all proposed activities and major tasks required to 
successfully implement the proposed project. HUD will consider the

[[Page 27041]]

probability of success of the program, the significance of the tasks 
identified, how realistic are the proposed time frames, and who will be 
responsible for completing each proposed activity.
    (a) Describe each proposed activity and the task required to 
successfully implement and complete the proposed activities in 
measurable terms (e.g., the number of persons to be trained and 
employed; houses to be rehabilitated; or minority-owned businesses to 
be started, etc.);
    (b) For each activity describe how the activity meets a CDBG 
national objective;
    (c) Include target completion dates for each activity/task (in 6-
month intervals, up to thirty-six (36) months); and
    (d) Identify the staff member, as described in Factor 1, who will 
be responsible for completing each activity/task.
    (2) Describe how each proposed activity will:
    (a) Expand the role of the institution in its community;
    (b) Alleviate and/or fulfill the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative effort will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve and empower citizens of the target area of the proposed 
project (particularly through a committee that is representative of the 
target community).
    b. (2 Points) Involvement of the Faculty and Students. The 
applicant must describe the extent to which it proposes to integrate 
the institution's students and faculty into proposed project 
activities.
    c. (3 Points) HUD Policy Priorities. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and which will help the Department 
achieve its goals and objectives in FY2005, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
addressing this subfactor, HUD will evaluate the extent to which a 
program will further and support HUD's priorities. The quality of the 
responses provided to one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority selected will be addressed. Applicants that just list a 
priority will receive no points. Each policy priority addressed has a 
point value of one point with the exception of the policy priority to 
remove regulatory barriers to affordable housing, which has a point 
value of up to 2 points. The total number of points available to 
applicants that address policy priorities is 3. It is up to the 
applicant to determine which of the policy priorities they elect to 
address to receive the available 3 points. To receive points for 
efforts to remove regulatory barriers to affordable housing, an 
applicant must submit the completed questionnaire found in the General 
Section (Form HUD-27300). For the full list and explanation of each 
policy priority, please refer to the General Section of this SuperNOFA.
    d. (5 Points) Affirmatively Furthering Fair Housing. This subfactor 
will be evaluated on the extent to which an applicant describes how it 
proposes to undertake activities designed to affirmatively further fair 
housing, for example:
    (1) 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;
    (2) 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
    (3) Providing housing mobility counseling services.
4. Rating Factor 4: Leveraging Resources (10 Points)
    This factor addresses the ability of the applicant to secure 
resources that can be combined with HUD's grant funds to achieve the 
program's purpose.
    In evaluating this factor, HUD will consider the extent to which 
the applicant established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
project activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the grant. Resources may be provided by governmental 
entities, public or private nonprofit organizations, for-profit private 
organizations, or other entities. Applicants may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area. Overhead and other institutional 
costs (e.g., salaries, indirect costs, etc.) that the institution has 
waived may be counted. Examples of potential sources for outside 
assistance include:
     Federal, state, and local governments.
     Public Housing Agencies.
     Local or national nonprofit organizations.
     Financial Institutions and/or private businesses.
     Foundations.
     Faith-based and other community-based organizations.

For each cash or in-kind contribution to the program a letter of 
commitment, memorandum of understanding, or agreement must be provided 
that shows the extent and firmness of the commitment of leveraged funds 
(including any commitment of resources from the applicant's own 
institution) in order for these resources to count in determining 
points under this factor. Resources will not be counted for which there 
is no commitment letter, memorandum of understanding, or agreement, nor 
quantified level of commitment. Letters, memoranda of understanding, or 
agreements must be submitted from the provider on the provider's 
letterhead and be included with the application package (Applicants 
must place all letters, memoranda of understanding, or agreements in 
the Appendix). The date of the letter, memorandum of understanding, or 
agreement from the CEO of the provider organization must be dated no 
earlier than the date of this published SuperNOFA. Applications that do 
not include evidence of leveraging as described below will receive zero 
(0) points for this Factor.
    a. A firm commitment letter, memorandum of understanding, or 
agreement must address the following:
    (1) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed;
    (2) A specific description of how each contribution is to be used;
    (3) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (4) Any terms or conditions affecting the commitment, other than 
receipt of a HUD grant; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. Please remember that 
only items eligible for funding under this program can be considered.
5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented

[[Page 27042]]

evaluation plan for measuring performance and determining that 
objectives and goals have been achieved.
    ``Outcomes'' are benefits accruing to institutions of higher 
education and/or communities during or after participation in the HBCU 
program. Applicants must clearly identify the outcomes to be measured 
and achieved. Examples of outcomes include increased employment 
opportunities in the target community by a certain percentage, 
increased incomes/wages or other assets for persons trained, or 
enhanced family stability through the creation of affordable housing 
opportunities (e.g., increased assets to families and communities 
through the development of affordable housing).
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been renovated, the number of facilities that been 
constructed or rehabilitated. Outputs should produce outcomes for the 
program. At a minimum, an applicant must address the following 
activities in the evaluation plan:
    a. 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);
    b. Measurable impacts the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    This information must be placed under this section on a HUD-96010, 
Program Outcome Logic Model form. (Applicants may use as many copies of 
this form as required. It will not be included in the page count 
requirement.) A narrative is not required; however, if a narrative is 
provided, those pages will be included in the page count. Additional 
information on this form and how to use it can be found in the General 
Section of the SuperNOFA.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in Section V.A.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
2. Rating Panels
    To review and rate applications HUD may establish panels which may 
include experts or consultants not currently employed by HUD. These 
individuals may be included to obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. In order to be funded, an applicant must 
receive a minimum score of 75 points out of a possible 100 points for 
Factors 1 through 5. In addition, two bonus points may be awarded for 
RC/EZ/EC, as described in the General Section of the SuperNOFA. 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 1, Capacity of the Applicant and Relevant Organizational 
Experience shall be selected. HUD reserves the right to make selections 
out of rank order to provide for geographic distribution of grantees. 
HUD also reserves the right to reduce the amount of funding requested 
in order to fund as many highly ranked applications as possible. 
Additionally, if funds remain after funding the highest ranked 
applications, HUD may fund part of the next highest-ranking 
application. If an applicant turns 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, the remaining funds 
will be carried over to the next funding cycle competition.
4. Correction to Deficient Applications
    The General Section of the SuperNOFA provides the procedures for 
correction to deficient applications.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applications in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA.
1. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted to: Armand Carriere; Office of University 
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 8106; Washington, DC 20410. Applicants may also write to Mr. 
Carriere via email at [email protected].
2. Administrative
    Grants awarded under this NOFA 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). Applicants can access 
the OMB circulars at the White House Web site at www.whitehouse.gov/
omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to Financial 
Assistance Programs
    The General Section of the SuperNOFA provides discussion of OMB 
circulars and governmentwide regulation.
4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards, Government Contractor's Labor Relations 
on Federal and Federally Funded Construction Projects
    See the General Section of the SuperNOFA for further discussion.
5. Economic Opportunities for Low- and Very Low-Income Persons (Section 
3)
    The provisions of Section 3 of the Housing and Urban Development 
Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. Regulations may be 
found at 24 CFR part 135.

[[Page 27043]]

6. Conflicts of Interest
    See the General Section of the SuperNOFA for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred during the reporting as well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (Form HUD-96010), 
which identifies output and outcome achievements.

VII. Agency Contacts

    Applicants may contact Ophelia Wilson at (202) 708-3061, extension 
4390 or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Ms. Wilson via 
email at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0122. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 356 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, quarterly, semi-annual and 
final reports. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.

Appendix C

Historically Black Colleges and Universities, Previously Unfunded 
By HUD During Fiscal Years 1991-2003

Alabama
    Concordia College
    Selma University
    Trenholm State Technical College
Florida
    Florida Memorial College
Georgia
    Morehouse School of Medicine
    Paine College
Maryland
    University of Maryland Eastern Shore
Michigan
    Lewis College of Business
Mississippi
    Mary Holmes College
Ohio
    Wilberforce University
Pennsylvania
    Cheyney University of Pennsylvania
South Carolina
    Clinton Junior College
    Denmark Technical College
    Morris College
Tennessee
    Knoxville College
Texas
    Southwestern Christian College

Historically Black Colleges and Universities, Previously Funded By 
HUD During Fiscal Years 1991-2003

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
    C.A. Fredd Technical College
Arkansas
    Arkansas Baptist College
    Philander Smith College
    Shorter College
    University of Arkansas at Pine Bluff
Delaware
    Delaware State University
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 University
    Grambling State University
    Southern University A & M College System at Baton Rouge
    Southern University at Shreveport
    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
    Hinds Community 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
    Lane College
Texas
    Huston-Tillotson College
    Jarvis Christian 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
    Bluefield State College
U.S. Virgin Islands
    University of the Virgin Islands
BILLING CODE 4210-32-P

[[Page 27044]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.069


[[Page 27045]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.070


[[Page 27046]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.071


[[Page 27047]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.072


[[Page 27048]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.073


[[Page 27049]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.074


[[Page 27050]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.075


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27051]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.076


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27053]]



The Hispanic-Serving Institutions Assisting Communities (HSIAC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Hispanic-Serving Institutions 
Assisting Communities (HSIAC) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: The Federal Register Number for 
this NOFA is FR-4900-24. The OMB Approval Number for this program is 
2528-0198.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CDFA 
Number for this program is 14.514.
    F. Dates: The application due date is June 25, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery 
and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: The Hispanic-Serving Institutions 
Assisting Communities (HSIAC) Program assists Hispanic-Serving 
Institutions (HSI) of higher education 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, as amended.
    2. Award Information: In Fiscal Year (FY) 2004, approximately $6.95 
million has been appropriated for this program by the Consolidated 
Appropriations Act, 2004 (Pub.L. 108-199; approved January 23, 2004; 
118 Stat. 3). The maximum amount an applicant can request for award is 
$600,000 for a three-year (36 months) grant performance period.
    3. Eligible Applicants: 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) are eligible to apply for 
funding under this program. In order to meet this definition, at least 
25 percent of the full-time undergraduate students enrolled in an 
institution must be Hispanic and not less than 50 percent of these 
Hispanic students must be low-income individuals. Institutions are not 
required to be on the list of eligible HSIs prepared by the U.S. 
Department of Education. However, an institution that is not on the 
list is required to provide a statement in the application that the 
institution meets the U.S. Department of Education's statutory 
definition of an HSI. HUD intends to fund at least two eligible HSIAC 
applications (applications that received a minimum score of 75 points) 
that serve Colonias (as defined in the General Section of this 
SuperNOFA). While it is not necessary for the institution to be located 
in a Colonias, all program activities must be directed to the Colonias 
and its residents. If less than two fundable applications are eligible 
for award these funds will be made available to award additional HSIAC 
grants.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Hispanic Serving Institutions Assisting 
Communities (HSIAC) Program is to assist Hispanic Serving Institutions 
(HSI) of higher education 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 
purpose of the Title I of the Housing and Community Development Act of 
1974, as amended.
    A. For the purpose 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 where 
the institution is located.
    B. A ``target area'' is the area within the locality in which the 
institution will implement its proposed HSIAC grant.
    C. Listed below are major modifications from the Fiscal Year (FY) 
2003 program-funding announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnerships Program NOFA;
    2. All applications must be submitted to: University Partnerships 
Clearinghouse; c/o Danya International; 8737 Colesville Road, Suite 
1200; Silver Spring, MD 20910;
    3. Points will no longer be assigned to the budget. However, a 
budget narrative must be submitted that addresses the total dollar 
amount reflected on the HUD-424-CB for the entire three-year grant 
performance period; and
    4. Applicants must have drawn down at least 75 percent of the 
previous grant three weeks prior (not two weeks as stated in the FY 02 
NOFA) to the program's application due date to be eligible to apply for 
funding under this NOFA. It is the applicant's responsibility to make 
sure this requirement is met.
    D. HUD's authority for making this funding available under this 
NOFA is the Consolidated Appropriations Act, 2004 (Pub. L. 108-199, 
approved January 23, 2004, 118 Stat. 3). This program is being 
implemented through this NOFA and the policies governing its operation 
are contained herein.

II. Award Information

    In Fiscal Year (FY) 2004, approximately $6.95 million has been 
appropriated by the Consolidated Appropriations Act, 2004 (Pub. L. 108-
199, January 23, 2004, 118 Stat. 3). The maximum amount an applicant 
can request for award is $600,000 for a three-year (36 months) grant 
performance period.

III. Eligibility Information

A. Eligible Applicants

    Nonprofit Hispanic-serving institutions of higher education that 
meet the definition of an HIS of higher education established in Title 
V of the 1998 Amendments to the Higher Education Act of 1965 (Pub. L. 
105-244; enacted October 7, 1998) are eligible to apply for funding 
under this program. In order to meet this definition, at least 25 
percent of the full-time undergraduate students enrolled in an 
institution must be Hispanic and not less than 50 percent of these 
Hispanic students must be low-income individuals. Institutions are not 
required to be on the list of eligible HSIs prepared by the U.S. 
Department of Education. However, an institution that is not on the 
list is required to provide a statement in the application that the 
institution meets the U.S. Department of Education's statutory 
definition of an HSI. HUD intends to fund at least two eligible HSIAC 
applications that serve Colonias (as defined in the General Section of 
the SuperNOFA). While it is not necessary for the institution to be 
located in a Colonias, all program activities must be directed to the 
Colonias and its residents. If fewer than two applications are eligible 
for award these funds will be made available to award additional HSIAC 
grants.

B. Cost Sharing or Matching

    None Required.

C. Other

1. Eligible Activities
    Eligible activities are listed in 24 CFR part 570, subpart C, 
particularly 570.201 through 570.206. Information regarding

[[Page 27054]]

these activities can be found at: www.hudclips.org.
    a. Examples of eligible activities include, but are not limited to:
    (1) Acquisition of real property;
    (2) Clearance and demolition;
    (3) Rehabilitation of residential structures including lead-based 
paint hazard evaluation and reduction; and encouraging accessible 
design features in accordance with the requirements of section 504 of 
the Rehabilitation Act of 1973;
    (4) Facilities and improvements, such as water and sewer facilities 
and streets; including lead-based paint hazard evaluation and 
reduction; and encouraging compliance accessible with the design and 
construction requirements of Section 504 of the Rehabilitation Act of 
1973 and the Fair Housing Act;
    (5) Relocation payments and other assistance for permanently and 
temporarily relocated individuals, families, businesses, nonprofit 
organizations, and farm operations where the assistance is:
    (a) Required under the provisions of 24 CFR 570.606(b) or (c); or
    (b) Determined by the grantee to be appropriate under the 
provisions of 24 CFR 570.606(d);
    (6) 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;
    (7) Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (8) 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 entitlement grantee, CDBG Neighborhood Revitalization Strategy 
(NRS) or HUD-approved State CDBG Community Revitalization Strategy 
(CRS);
    (9) Public service activities such as general support activities 
that can help to stabilize a neighborhood and contribute to sustainable 
redevelopment of the area, including but not limited to such activities 
as those concerned with employment, crime prevention, child care, 
health, drug abuse, education, fair housing counseling, energy 
conservation, homebuyer down payment assistance, or recreational needs;
    (10) Up to 20 percent of the grant for payments of reasonable grant 
administrative costs related to planning and execution of the project 
(e.g., preparation/submission of HUD reports). Detailed explanations of 
these costs are provided in the OMB circulars that can be accessed at 
the White House Web site at: www.whitehouse.gov/omb/circulars/
index.html;
    (11) 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; and
    (12) Activities designed to promote training and employment 
opportunities (e.g., Neighborhood Networks in federally assisted or 
insured housing and employment opportunities for lower income persons 
in connection with Assisted Projects).
    b. Eligible activities that may be funded under this program are 
those activities that meet both a Community Development Block Grant 
(CDBG) Program national objective and the CDBG eligibility 
requirements.
    c. The three national objectives of the Community Development Block 
Grant program are:
    (1) Benefit to low- or moderate-income persons;
    (2) Aid in the prevention or elimination of slums or blight; and
    (3) 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.
    d. The CDBG publication entitled ``Community Development Block 
Grant Program Guide to National Objectives and Eligible Activities for 
Entitlement Communities'' describes the regulations, and a copy can be 
obtained from HUD's NOFA Information Center at 800-HUD-8929 or 800-HUD-
2209 for the hearing-impaired.
2. Threshold Requirements Applicable to All Applicants
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked.
    Applications that do not meet these requirements will be considered 
ineligible for funding and will be disqualified:
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A, Eligible Applicants.
    b. The maximum amount an applicant can request for award is 
$600,000.
    c. In order to meet the definition of a HSIAC, at least 25 percent 
of the full-time undergraduate student enrolled in an institution must 
be Hispanic and not less than 50 percent of these Hispanic students 
must be low-income individuals.
    d. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of a grant benefit low- and moderate-income 
persons under the criteria specified in 24 CFR 570.208(a) or 
570.208(d)(5) or (6).
    e. An individual campus that is one of several campuses of the same 
institution may apply separately from the other campus as long as the 
applicant's campus has a separate administrative and budget structure.
    f. Only one application can be submitted per campus.
    g. Institutions that received an HSIAC grant in FY2003 are not 
eligible to submit an application under this NOFA. If an institution 
received an HSIAC grant in FY2000, FY2001, or FY2002, the institution 
may apply under this NOFA as long as it: (a) Propose a different 
activity (activities) in their current project location, or propose 
replicating their current project in a new location and (b) have drawn 
down at least 75 percent of the previous grant three-weeks prior to 
this program's application due date. It is the applicant's 
responsibility to make sure that this requirement is met.
    h. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    i. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement.)
3. Program Requirements
    In addition to the program requirements listed in the General 
Section of this SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program must be spent during a 
three-year (36 months) grant performance period.
    b. Applicants that claim leveraging from any source, including 
their own institution, must provide letters of firm commitment, 
memoranda of

[[Page 27055]]

understanding, or agreements evidencing the extent and firmness of 
commitment of leveraging from other federal (e.g., Department of Labor, 
AmeriCorps Programs), state, local, and other private sources 
(including the applicant's own resources). These documents must be 
dated no earlier than the date of this published NOFA and follow the 
outline provided for this program in Section V, Application Review 
Information ``Factor 4: Leveraging Resources'' of this NOFA.
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from applicants that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. 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 in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants 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. An application constitutes an assurance that the 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, demolish, 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's written 
approval of the property is received. In supplying HUD with 
environmental information, applicants should use the same guidance as 
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental 
Review Processing for HUD Colonias Initiative (HCI) Grants'' issued 
January 27, 1999. The General Section of the SuperNOFA provides further 
discussion of the environmental requirements. Further information and 
assistance on HUD's environmental requirements is available at: http://
www.hud.gov/offices/cpd/energyenviron/environment/index.cfm.
    e. Labor Standards. Institutions and their sub-grantees, 
contractors, and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may request general information, copies of the General 
Section, and Program Sections of the SuperNOFA from the NOFA 
Information Center by calling 800-HUD-8929 or 800-HUD-2209 (TTY) 
between the hours of 9 a.m. and 8 p.m. (Eastern Time) Monday through 
Friday, except on federal holidays. When requesting information, please 
refer to the Hispanic-Serving Institutions Assisting Communities 
Program. Be sure to provide your name, address (including ZIP code), 
and telephone number (including area code). To ensure sufficient time 
to prepare an application, requests for copies of this NOFA can be made 
immediately following publication of the SuperNOFA. The NOFA 
Information Center opens for business simultaneously with the 
publication of HUD's 2004 NOFA. Applicants can also obtain information 
on this SuperNOFA and download application information for this 
SuperNOFA through the HUD Web site, www.hud.gov.

B. Content and Form of Application Submission

    A complete application package must include an original signed 
application, three copies, and one computer disk of the application (in 
Word 6.0 or higher) of the items listed below. (The computer disk must 
include the narrative portion of the application and all required 
forms. Forms can be downloaded from the Web site, http//:www.hud.gov.) 
In order to recycle paper, applications must not be submitted in bound 
form; binder clips or loose-leaf binders are acceptable. Please do not 
use colored paper. Applications must be submitted on 8\1/2\ by 11-inch 
paper, double-spaced on one side of the paper, with one-inch margins 
(from top, bottom, left and right) and printed in a standard Times New 
Roman 12-point font. Each page must include the applicant's name and be 
numbered. Each section must be tabbed sequentially. The application 
narrative, tables, and maps, must not exceed 75 pages (excluding forms, 
budget narrative, assurances, commitment letters, memoranda of 
understanding, agreements, and abstract). The double-spacing 
requirement applies to the application narrative (excluding the 
abstract, tables, maps, budget narrative, commitment letters, memoranda 
of understanding, and agreements). Please note that although submitting 
pages in excess of the page limit will not disqualify an application, 
HUD will not consider the information on any excess pages. This may 
result in a lower score or failure to meet a threshold requirement. 
Except where a particular form may direct otherwise, all forms included 
in an application, as well as the transmittal letter, must be signed by 
the Chief Executive Officer (this is generally the President or 
Provost) or an official authorized legally to make a commitment on 
behalf of the institution. If a designee signs, the application must 
contain a copy of the official designation of signatory authority.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form. Please remember the following:
    a. The full grant amount (entire three years) should be entered, 
not the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and email address of the designated contact. This is the person 
who will receive the reviewers' comments; therefore, please ensure the 
accuracy of the information;
    c. The Employer Identification/Tax ID;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.514;
    f. The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. The letter must contain a statement that the 
institution is an eligible institution because it is a two-or four-year 
fully accredited institution. The letter should state the name of the 
accrediting agency, and that the accrediting agency is recognized by 
the U.S. Department of Education. Applicants may also use the 
transmittal letter as one way to demonstrate the President's commitment 
to the institutionalization of the program. The Chief Executive Officer 
(usually the President or Provost) of the institution must sign this 
letter. If the Chief Executive Officer has delegated this 
responsibility to another official, that person may sign, but a copy of 
the

[[Page 27056]]

delegation of authority must be included or clearly stated in the 
letter.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, the applicant must 
indicate the page number where each of the items can be found in the 
application (See Appendix A).
    4. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    a. A clear description of the proposed project activities, the 
target population that will be assisted, and the impact this project 
will have on the institution;
    b. The designated contact person, including phone number, facsimile 
number, and email address (This is the person who will receive the 
reviewers' comments; therefore, please ensure the accuracy of the 
information);
    c. University's name, department, mailing address, telephone 
number, facsimile number, and email address; and
    d. The principal investigator, if different from the designated 
contact person, for the project, including phone number, facsimile 
number, and email address.
    5. Narrative statement addressing the Factors for Award. HUD will 
use the narrative response to the ``Factors for Award'' to evaluate, 
rate, and rank applications. The statement and work plan are the main 
source of information. Applicants are advised to review each factor 
carefully for program specific requirements. The response to each 
factor should be concise and contain only information relevant to the 
factor, but detailed enough to address each factor fully. Please do not 
repeat material in response to the five factors; instead, focus on how 
well the proposal responds to each of the factors. In factors where 
there are subfactors, each subfactor must be presented separately, with 
the short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    6. Budget. The budget submission must be placed behind the 
narrative statement addressing the ``Factors for Award'' and include 
the following form:
    a. HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also submit 
this form to reflect the total cost for the entire grant performance 
period (Grand Total).
    Make sure that the amount shown on the SF-424, the HUD-424-CB, and 
on all other required program forms is consistent and the budget totals 
are correct. Remember to check addition in totaling the categories on 
the HUD-424-CB form so that all items are included in the total. If 
there is an inconsistency between any of the forms required, the HUD-
424-C will be used. All budget forms must be completed in full. If an 
application is selected for award, the applicant may be required to 
provide greater specificity to the budget during grant agreement 
negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000. For example, an applicant proposes to construct a building 
using HUD funding totaling $200,000. The following costs estimate 
reflects this total. Foundation cost $75,000, electrical work $40,000, 
plumbing work $40,000, finishing work $35,000, and landscaping $10,000. 
The proposed cost estimates should be reasonable for the work to be 
performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used and included. All direct labor or salaries must be 
supported with mandated city/state pay scales, the Davis-Bacon rate, 
(if applicable) or other documentation. When an applicant proposes to 
use a consultant, the applicant must indicate whether there is a formal 
agreement or written procurement policy. For each consultant, please 
provide the name, if known, hourly or daily rate, and the estimated 
time on the project. Applicants must submit a cost estimate from a 
qualified firm (e.g., Architectural or Engineering), vendor, and/or 
qualified individual (e.g., independent architect) other than the 
institution for projects that involve rehabilitation of residential, 
commercial and/or industrial structures; and/or acquisition, 
construction, or installation of public facilities and improvements. 
Such an entity must be involved in the business of housing 
rehabilitation, construction and/or management. Equipment and contracts 
cannot be presented as a total estimated figure. For equipment, 
applicants must provide a list by type and cost for each item. 
Applicants using contracts must provide an individual description and 
cost estimate for each contract.
    c. Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants should 
include a copy of their indirect cost rate agreement with their 
application. Applicants who are selected for funding that do not have 
an approved indirect cost rate agreement (established by the cognizant 
federal agency, Certified Public Account, or auditor) will be required 
to establish a rate. In such cases, HUD will issue an award with a 
provisional rate and enter into an agreement to have one established.
    d. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in federal financial assistances in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Applicants can access additional information regarding this 
requirement at the following Web site, http://harvester.census.gov/sac.
    7. Appendix. Applicants must place all letters of commitment, 
memoranda of understanding, and agreements for funds/resources in 
response to Factor 4 in this section. An applicant may not submit 
general support letters or resumes or other back-up materials (unless 
an applicant is willing to have the additional material count toward 
the page limits).

C. Submission Dates and Times

    A complete application package is due on or before June 25, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery and timely receipt requirements.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding 
may only be provided to applicants that meet the standards for eligible 
applicants in Section III. A.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse; c/o Danya International; 8737 Colesville 
Road, Suite 1200; Silver Spring, MD 20910. When submitting an 
application package, include the following information on the outside 
of the envelope:
    a. Office of University Partnerships;
    b. Hispanic Serving-Institutions Assisting Communities Program; and

[[Page 27057]]

    c. Applicant's name and mailing address (including zip code). 
Applicants must refer to the General Section of this SuperNOFA for 
detailed requirements governing application submission and receipt.
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee) of the institution and can be downloaded 
from: http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).
    b. Applicant Assurances and Certifications (HUD-424-B).
    c. Grant Application Detailed Budget (HUD-424-CB).
    d. Disclosure of Lobbying Activities (SF-LLL).
    e. America's Affordable Communities Initiative Removal of 
Regulatory Barriers (HUD-27300), if applicable.
    f. Applicant/Recipient Disclosure/Update Report (HUD-2880).
    g. Certification of Consistency with the Consolidated Plan (HUD-
2991).
    h. Certification of Consistency with the EZ/EC/RC Strategic Plan 
(HUD-2990). Must be signed by the certifying official of the EZ/EC/RC. 
The General Section of the SuperNOFA provides procedures and guidelines 
required to certify that proposed grant activities are being conducted 
in the EZ/EC/RC that serve the residents of these areas, and are 
certified to be consistent with the area's strategic plan.
    i. Program Logic Model (HUD-96010).
    j. Survey on Equal Opportunity (HUD-32004).
    k. Acknowledgment of Receipt of Application (HUD-2993). To confirm 
that HUD has received the application package, please complete this 
form. Applicants are not required to include this form, but it is 
recommended that an applicant do so.
    l. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help us to assess whether the changes have 
had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. Applicants are not 
required to complete this form.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 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:
    a. Knowledge and Experience--For Previously Unfunded or First Time 
Applicants (25 Points) For Previously Funded Applicants (10 Points). 
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 this kind of program. Experience will be judged in terms of 
recent and relevant knowledge and skills of the staff to undertake 
eligible program activities. HUD will consider experience within the 
last 5 years to be recent and experience pertaining to specific 
activities and producing specific accomplishments to be relevant. The 
following categories will be evaluated:
    (1) Undertaking specific successful community development projects 
with community-based organizations or local governments; and
    (2) Providing leadership in solving community problems that have a 
direct bearing on the proposed activities.
    b. Past Performance (15 Points) For Previously Funded Grant 
Applicants Only. This subfactor will evaluate the extent to which an 
applicant has performed successfully under all previously completed and 
open grants HUD HSIAC grant(s). Applicants must be demonstrate this by 
providing the following information:
    (1) A detailed list outlining the achievement of specific 
measurable objectives and outcomes consistent with the approved 
timeline/work plan in previous grants;
    (2) Comparison of the proposed required leveraged funds and/or 
resources in previous grants with what was actually leveraged; and
    (3) A list of all HUD/HSIAC grants received, including the dollar 
amount awarded and the amount expended as of the date of this 
application.
    2. Rating Factor 2: Need/Extent of the Problem (10 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(s) in the target area. The need(s) described must be 
relevant to the activities for which funds are being requested. The 
proposal will be evaluated on the extent to which the level of need for 
the proposed activities and the importance of meeting the need(s) are 
documented.
    Applicants must use statistics or other analyses contained in at 
least one or more current data sources that are sound and reliable. The 
data provided must be current and specific to the area where the 
proposed project activities will be carried out. Sources for localized 
data can be found at www.ffiec.gov or www.econdata.com.
    In rating this factor, HUD will consider data collected within the 
last five years to be current. To the extent that the targeted 
community's Five 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, applicants should include references to 
these documents in the response to this factor.
    Other reliable data sources include, but are not limited to Census 
reports, HUD Continuum of Care gap analysis and its E-MAP (www.hud.gov/
emaps), law enforcement agency crime reports, Public Housing Agencies' 
Comprehensive Plans, community needs analyses such as provided by the 
United Way, the applicant's institution, and other sound and reliable 
appropriate sources. Needs in terms of fulfilling court orders or 
consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements may also be addressed.
    3. Rating Factor 3: Soundness of Approach (43 Points). This factor 
addresses the quality and effectiveness of the proposed work plan, the 
commitment of the institution to sustain the proposed activities, 
actions regarding HUD's priorities, goals and objectives, and 
affirmatively furthering fair housing
    This factor will be evaluated based on the extent to which the 
proposed work plan demonstrates the following:
    a. (32 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear outline 
of the proposed project and anticipated accomplishments.
    (1) Specific Services and/or Activities. The work plan must 
describe all proposed activities and major tasks required to 
successfully implement the proposed project. HUD will consider the 
probability of success of the program, the significance of the tasks 
identified, how realistic are the proposed time frames, and who will be 
responsible for completing each proposed activity.
    (a) Describe each proposed activity and the tasks required to 
successfully implement and complete the proposed activities in 
measurable terms (e.g., the

[[Page 27058]]

number of persons to trained and employed; houses to be built or 
rehabilitated; or minority owned businesses to be started, etc.);
    (b) List the CDBG national objective each proposed activity is 
designed to address and how this will be accomplished;
    (c) Include target completion dates for each activity/task (in 6 
month intervals, up to 36 months); and
    (d) Identify the staff member, as described in Factor 1, who will 
be responsible for completing each activity/task.
    (2) Describe how each proposed activity will:
    (a) Expand the role of the institution in its community;
    (b) Alleviate and/or fulfill the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative effort will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve and empower citizens of the target area the proposed 
project.
    b. (5 Points) Involvement of the Faculty and Students. The 
applicant must describe the extent to which it proposes to integrate 
the institution's students and faculty into proposed project 
activities.
    c. (3 Points) HUD Policy Priorities. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and which will help the Department 
achieve its goals and objectives in FY2005, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
addressing this factor, HUD will evaluate the extent to which a program 
will further and support HUD's priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority selected will be addressed.
    Applicants that just list a priority will receive no points. Each 
policy priority addressed has a point value of one point with the 
exception of the policy priority to remove regulatory barriers to 
affordable housing, which has a point value of up to 2 points. The 
total number of points available to applicants that address policy 
priorities is 3. It is up to the applicant to determine which of the 
policy priorities they elect to address to receive the available 3 
points. To receive points for efforts to remove regulatory barriers to 
affordable housing, an applicant must submit the completed 
questionnaire found in the General Section. (Form HUD-27300). For the 
full list and explanation of each policy priority, please refer to the 
General Section of this SuperNOFA.
    d. (3 Points) Affirmatively Furthering Fair Housing. This subfactor 
will be evaluated on the extent to which an applicant describes how it 
proposes to undertake activities designed to affirmatively further fair 
housing, for example:
    (1) 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;
    (2) 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
    (3) Providing housing mobility counseling services.
    4. Rating Factor 4: Leveraging Resources (10 Points). This factor 
addresses the ability of the applicant to secure resources that can be 
combined with HUD's grant funds to achieve the program's purpose.
    In evaluating this factor, HUD will consider the extent to which 
the applicant established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
project activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the grant. Resources may be provided by governmental 
entities, public or private nonprofit organizations, for-profit private 
organizations, or other entities. Applicants may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area. Overhead and other institutional 
costs (e.g., salaries, indirect costs, etc.) that the institution has 
waived may be counted.
    Examples of potential sources for outside assistance includes:
     Federal, state, and local governments.
     Public Housing Authorities.
     Local or national nonprofit organizations.
     Financial Institutions and/or private businesses.
     Foundations.
     Faith-based and other community-based organizations.
    For each cash or in-kind contribution to the program a letter of 
commitment, memorandum of understanding, or agreement must be provided 
that shows the extent and firmness of the commitment of leveraged funds 
(including any commitment of resources from the applicant's own 
institution) in order for these resources to count in determining 
points under this factor. Resources will not be counted for which there 
is no commitment letter, memorandum of understanding, or agreement, nor 
quantified level of commitment. Letters, memoranda of understanding, or 
agreements must be submitted from the provider on the provider's 
letterhead and be included with the application package (Applicants 
must place all letters, memoranda of understanding, or agreements in 
the Appendices). The date of the letter, memorandum of understanding, 
or agreement from the CEO of the provider organization must be dated no 
earlier than the date of this published SuperNOFA. Applications that do 
not include evidence of leveraging will receive zero (0) points for 
this Factor.
    a. A firm commitment letter, memorandum of understanding, or 
agreement must address the following:
    (1) The cash amount contributed or dollar value of the in-kind 
goods and /or services committed;
    (2) A specific description of how the contribution is to be used;
    (3) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (4) Any terms or conditions affecting the commitment, other than 
receipt of a HUD grant; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. Please remember that 
only items eligible for funding under this program can be counted.
    5. Rating Factor 5: Achieving Results and Program Evaluation (12 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved.
    ``Outcomes'' are benefits accruing to institutions of higher 
education and/or communities during or after participation in the HSIAC 
program. Applicants must clearly identify the outcomes to be measured 
and achieved. Examples of outcomes include increased employment 
opportunities in the target community by a certain

[[Page 27059]]

percentage, or enhanced family stability through the creation of 
affordable housing opportunities.
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been renovated, the number of community facilities that 
been constructed or rehabilitated. Outputs should produce outcomes for 
the program. At a minimum an applicant must address the following 
activities in the evaluation plan:
    a. 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;
    b. Measurable impacts the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    This information must be placed under this section on a HUD-96010, 
Program Outcome Logic Model form. (Applicants may use as many copies of 
this form as required. It will not be included in the page count 
requirement). A narrative is not required; however, if a narrative is 
provided, those pages will be included in the page count. Additional 
information on this form and how to use it can be found in the General 
Section of this SuperNOFA.

B. Review and Selection Process

    1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in Section V, A. above.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
    2. Rating Panels. To review and rate applications, HUD may 
establish panels, which may include experts or consultants not 
currently employed by HUD. These individuals may be included to obtain 
certain expertise.
    3. Ranking. HUD will fund applications in rank order, until all 
available program funds are awarded. In order to be funded, an 
applicant must receive a minimum score of 75 points out of a possible 
100 points for Factors 1 through 5. In addition, two bonus points may 
be awarded for RC/EZ/EC, as described in the General Section of the 
SuperNOFA. 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 1, Capacity of the Applicant and 
Relevant Organizational Experience, shall be selected. HUD reserves the 
right to make selections out of rank order to provide for geographic 
distribution of grantees. HUD also reserves the right to reduce the 
amount of funding requested in order to fund as many highly ranked 
applications as possible. Additionally, if funds remain after funding 
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns 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, the 
remaining funds will be carried over to the next funding cycle's 
competition.
    4. Correction to Deficient Applications. The General Section of the 
SuperNOFA provides the procedures for correction to deficient 
applications.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA.
    1. Debriefing:
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted to: Armand Carriere; Office of University 
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 8106; Washington, DC 20410. Applicants may also write to Mr. 
Carriere via e-mail at [email protected].
    2. Administrative:
    Grants awarded under this NOFA 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). Applicants can access 
the OMB circulars at the White House website at www.whitehouse.gov/omb/
circulars/index.html.
    3. OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs:
    The General Section of this SuperNOFA provides further discussion 
on this matter.
    4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards, Government Contractor's Labor Relations 
on Federal and Federally Funded Construction Projects: See the General 
Section of the SuperNOFA for further discussion.
    5. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3)
    The provisions of Section 3 of the Housing and Urban Development 
Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. Regulations may be 
found at 24 CFR part 135.
    6. Executive Order 13166, Improving Access to Services For Persons 
With Limited English Proficiency (LEP):
    See the General Section of the SuperNOFA for further discussion.
    7. Conflicts of Interest:
    See the General Section of this SuperNOFA for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred during the reporting period as well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (form HUD 96010), 
which identifies output and outcome achievements.

[[Page 27060]]

VII. Agency Contacts

    Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061, 
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852. 
Persons with speech or hearing impairments may call the Federal 
Information Relay Service (TTY) at (800) 877-8339. Except for the 
``800'' number, these numbers are not toll-free. Applicants may also 
reach Ms. Rodriguez via e-mail at Madlyn--S.--Wohlman-
[email protected], and/or Ms. Brunson at [email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0198. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 59 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application semi-annual and final reports. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27061]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.077


[[Page 27062]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.078


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27063]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.079


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27065]]



The Alaska Native/Native Hawaiian Institutions Assisting Communities 
(AN/NHIAC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Alaska Native/Native Hawaiian 
Institutions Assisting Communities (AN/NHIAC) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: The Federal Register Number for 
this NOFA is FR-4900-N-23. The OMB Approval Number for this program is 
2528-0205.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.515.
    F. Dates: The application due date shall be on or before July 9, 
2004. Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely, receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: The Alaska Native/Native Hawaiian 
Institutions Assisting Communities (AN/NHIAC) Program assists Alaska 
Native/Native Hawaiian Institutions (AN/NHI) of higher education 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, as amended.
    2. Award Information: In Fiscal Year (FY) 2004, approximately 
$3.479 million has been appropriated for this program by the 
Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004, 118 Stat. 3), plus $3.1 million in previously 
unexpended funds are being made available for this program. The maximum 
amount an applicant can request for award is $800,000 for a three-year 
(36 months) grant performance period.
    Approximately $3.2 million is being made available for ANIs and 
$3.2 million is being made available for NHIs. If funding remains after 
all eligible ANI applicants are awarded, the remaining funds will be 
made available to fund eligible NHI applicants. If funding remains 
after all eligible NHI applicants are awarded, the remaining funds will 
be made available to fund eligible ANI applicants.
    3. Eligible Applicants: 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; 
approved October 7, 1998) are eligible to apply for funding under this 
program. Institutions are not required to be on the list of eligible 
AN/NHIs prepared by the U.S. Department of Education. However, an 
institution that is not on the list is required to provide a statement 
in the application that the institution meets the U.S. Department of 
Education's statutory definition of an AN/NHI institution.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of the Alaska Native/Native Hawaiian Institutions 
Assisting Communities (AN/NHIAC) Program is to assist Alaska Native/
Native Hawaiian Institutions (AN/NHI) of higher education 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, as amended. Listed below are major 
modifications from the Fiscal Year (FY) 2003 program-funding 
announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnerships Program NOFA.
    2. All applications must be mailed to: University Partnerships 
Clearinghouse; c/o Danya International; 8737 Colesville Road, Suite 
1200; Silver Spring, MD 20910.
    3. Points will no longer be assigned to the budget. However, a 
budget narrative must be submitted that addresses the total dollar 
amount reflected on the HUD-424-CB for the entire three-year grant 
performance period.
    4. If an applicant is one of several campuses of the same 
institution, the applicant may apply separately from the other campuses 
as long as each campus has a separate administrative structure and 
budget and meets the enrollment test.
    5. Applicants can only submit one application per campus.
    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004, 118 Stat. 3). This program is being implemented 
through this NOFA and the policies governing its operation are 
contained herein.

II. Award Information

    In Fiscal Year (FY) 2004, approximately $3.479 million has been 
appropriated for this program by the Consolidated Appropriations Act, 
2004 (Pub. L. 108-199, January 23, 2004, 118 Stat. 3), plus $3.1 
million in previously unexpended funds are being made available for 
this program. HUD will award two kinds of grants under this program, 
grants to Alaska Native Institutions (ANI) and grants to Native 
Hawaiian Institutions (NHI). The maximum amount an applicant can 
request for award is $800,000 for a three-year (36 months) grant 
performance period. Approximately $3.2 million is being made available 
for ANIs. If funding remains after all eligible ANI applicants are 
awarded, the remaining funds will be made available to fund eligible 
NHI applicants. Approximately $3.2 million is being made available for 
NHIs. If funding remains after all eligible NHI applicants are awarded, 
the remaining funds will be made available to award eligible ANI 
applicants.

III. Eligibility Information

A. Eligible Applicants

    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) are eligible to apply for funding under this program. 
Institutions are not required to be on the list of eligible AN/NHIs 
prepared by the U.S. Department of Education. However, an institution 
that is not on the list is required to provide a statement in the 
application that the institution meets the U.S. Department of 
Education's statutory definition of an AN/NHI institution. If an 
applicant is one of several campuses of the same institution, the 
applicant may apply separately from the other campuses as long as each 
campus has a separate administrative structure and budget and meets the 
enrollment test.

B. Cost Sharing or Matching

    None Required.

[[Page 27066]]

C. Other

1. Eligible Activities
    Eligible activities are listed in 24 CFR part 570, subpart C, 
particularly Sec.  570.201 through Sec.  570.206. Information regarding 
these activities can be found at: www.hudclips.org.
    a. Examples of eligible activities include, but are not limited to:
    (1) Acquisition of real property;
    (2) Clearance and demolition;
    (3) Rehabilitation of residential structures, including lead-based 
paint hazard evaluation and reduction, and encouraging accessible 
design features in accordance with the requirements of section 504 of 
the Rehabilitation Act of 1973;
    (4) Acquisition, construction, reconstruction, rehabilitation, or 
installation of public facilities and improvements, such as water and 
sewer facilities and streets; including lead-based paint hazard 
evaluation and reduction; and encouraging compliance accessible with 
the design and construction requirements of Section 504 of the 
Rehabilitation Act of 1973 and the Fair Housing Act;
    (5) 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;
    (6) Special economic development activities described at 24 CFR 
570.203 and assistance to facilitate economic development by providing 
technical or financial assistance for the establishment, stabilization, 
and expansion of microenterprises, including minority enterprises;
    (7) Assistance to community-based development organizations (CBDO) 
to carry out CDBG neighborhood revitalization, community economic 
development, or energy conservation projects, 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);
    (8) Public service activities such as general support activities 
that can help to stabilize a neighborhood and contribute to sustainable 
redevelopment of the area, including but not limited to such activities 
as those concerned with employment, crime prevention, child care, 
health, drug abuse, education, fair housing counseling, energy 
conservation, homebuyer down payment assistance, or recreational needs;
    (9) 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;
    (10) Up to 20 percent of the grant for payments of reasonable grant 
administrative costs related to planning and execution of the project 
(e.g., preparation/submission of HUD reports). Detailed explanations of 
these costs are provided in the OMB circulars that can be accessed at 
the White House Web site at: www.whitehouse.gov/omb/circulars/
index.html; and
    (11) Activities designed to promote training and employment 
opportunities (e.g., Neighborhood Networks in federally assisted or 
insured housing and employment opportunities for lower income persons 
in connection with assisted projects).
    b. Eligible activities that may be funded under this program are 
those activities that meet both the Community Development Block Grant 
(CDBG) Program national objective and the CDBG eligibility 
requirements.
    c. The three national objectives of the Community Development Block 
Grant program are:
    (1) Benefit to low- or moderate-income persons;
    (2) Aid in the prevention or elimination of slums or blight; and
    (3) 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.
    d. The CDBG publication entitled ``Community Development Block 
Grant Program Guide to National Objectives and Eligible Activities for 
Entitlement Communities'' describes the regulations, and a copy can be 
obtained from HUD's NOFA Information Center at 800-HUD-8929 or 800-HUD-
2209 for the hearing- or speech-impaired.
2. Threshold Requirements Applicable to all Applicants.
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked. Applications that do 
not meet these requirements will be considered ineligible for funding 
and will be disqualified:
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A, ``Eligible Applicants''.
    b. The maximum amount an applicant can request for award is 
$800,000.
    c. In order to meet the definition of an Alaska Native Institution, 
at least 20 percent of the undergraduate headcount enrollment must be 
Alaska Native students. If an applicant is a Native Hawaiian 
institution, in order to meet this definition, at least 10 percent of 
the undergraduate headcount enrollment must be Native Hawaiian 
students.
    d. Applicants must ensure that not less than 51 percent of the 
aggregated expenditures of a grant benefit low- and moderate-income 
persons under the criteria specified in 24 CFR 570.208(a) or 
570.208(d)(5) or (6).
    e. An individual campus that is one of several campuses of the same 
institution may apply separately from the other campus as long as the 
applicant's campus has a separate administrative and budget structure.
    f. Only one application can be submitted per campus.
    g. Institutions that received grants in FY2003 are not eligible to 
submit an application under this NOFA.
    h. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    i. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement).
3. Program Requirements.
    In addition to the program requirements listed in the General 
Section of the SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program must be spent during a 
three-year (36 months) grant performance period.
    b. Applicants that claim leveraging from any source, including 
their own institution, must provide letters of firm commitment, 
memoranda of understanding, or agreements evidencing the extent and 
firmness of the commitment of leveraging from other federal (e.g., 
Department of Education, AmeriCorps Programs, etc.), state, local 
governments, and other private sources (including the applicant's own 
resources). These documents must be dated no earlier than the date of 
this published NOFA and follow the outline provided for this program in 
Section V, Application

[[Page 27067]]

Review Information, ``Factor 4: Leveraging Resources'' of this NOFA.
    c. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction an applicant must demonstrate site 
control. Funds may be recaptured or deobligated from applicants that 
cannot demonstrate control of a suitable site within one year after the 
initial notification of award.
    d. 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 in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants 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. An application constitutes an assurance that the 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, demolish, 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's written 
approval of the property is received. In supplying HUD with 
environmental information, applicants should use the same guidance as 
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental 
Review Processing for HUD Colonias Initiative (HCI) Grants'' issued 
January 27, 1999. The General Section of the SuperNOFA provides further 
discussion of the environmental requirements. Further information and 
assistance on HUD's environmental requirements is available at: http://
www.hud.gov/offices/cpd/energyenviron/environment/index.cfm.
    e. Labor Standards. Institutions and their subgrantees, 
contractors, and subcontractors must comply with the labor standards 
(Davis-Bacon) requirements referenced in 24 CFR 570.603.

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may request general information, copies of the General 
Section and Program Sections of the SuperNOFA from the NOFA Information 
Center, 800-HUD-8929 or 800-HUD-2209 (TTY) between the hours of 9 a.m. 
and 8 p.m. (Eastern Time) Monday through Friday, except on Federal 
holidays. When requesting information, please refer to the Alaska 
Native/Native Hawaiian Institutions Assisting Communities Program. Be 
sure to provide your name, address (including ZIP code), and telephone 
number (including area code). To ensure sufficient time to prepare an 
application, requests for copies of the NOFA can be made immediately 
following publication of the SuperNOFA. The NOFA Information Center 
opens for business simultaneously with the publication of HUD's 2004 
NOFA. Applicants can also obtain information on the SuperNOFA and 
download application information for it through the HUD Web site at 
http://www.hud.gov.

B. Content and Form of Application Submission

    1. Complete Application. A complete application package must 
include an original signed application, three copies, and one computer 
disk of the application (in Word 6.0 or higher) of the items listed 
below. (The computer disk must include the narrative portion of the 
application, and all required forms. Forms can be downloaded from the 
following Web site http://www.hud.gov.) In order to recycle paper, 
applications must not be submitted in bound form; binder clips or 
loose-leaf binders are acceptable. Please do not use colored paper. 
Applications must be submitted on 8\1/2\ by 11-inch paper, double-
spaced on one side of the paper, with one-inch margins (from top, 
bottom, left and right) and printed in a standard Times New Roman 12-
point font. Each page must include the applicant's name and be 
numbered. Each section must be tabbed sequentially. The application 
narrative, tables, and maps, must not exceed 75 pages (excluding forms, 
budget narrative, assurances, commitment letters, memoranda of 
understanding, agreements, and abstract). The double-spacing 
requirement applies to the application narrative (excluding the 
abstract, tables, maps, budget narrative, commitment letters, memoranda 
of understanding, and agreements). Please note that although submitting 
pages in excess of the page limit will not disqualify an application, 
HUD will not consider the information on any excess pages. This may 
result in a lower score or failure to meet a threshold requirement. 
Except where a particular form may direct otherwise, all forms included 
in an application, as well as the transmittal letter, must be signed by 
the Chief Executive Officer (this is generally the President or 
Provost) or an official authorized legally to make a commitment on 
behalf of the institution. If a designee signs, the application must 
contain a copy of the official designation of signatory authority.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form. Please remember the following:
    a. The full grant amount (entire three years) should be entered, 
not the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and email address of the designated contact. This is the person 
who will receive the reviewers' comments; therefore, please ensure the 
accuracy of the information;
    c. The Employer Identification/Tax ID number;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.515;
    f. The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. The letter should contain a statement that 
the institution is an eligible institution because it is a two- or 
four-year fully accredited institution. This letter should state the 
name of the accrediting agency, and that the accrediting agency is 
recognized by the U.S. Department of Education. Applicants can also use 
the transmittal letter as one way to demonstrate the President's 
commitment to the institutionalization of the program. The Chief 
Executive Officer (usually the President or Provost) of the institution 
must sign this letter. If the Chief Executive Officer has delegated 
this responsibility to another official, that person may sign, but a 
copy of the delegation of authority must be included or clearly stated 
in the letter.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, applicants must 
indicate the page number where each of the items can be found in the 
application (See Appendix A).

[[Page 27068]]

    4. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    a. A clear description of the proposed project activities, the 
target population that will be assisted, and the impact this project 
will have on the institution;
    b. The designated contact person, including phone number, facsimile 
number, and e-mail address. (This is the person who will receive the 
reviewers' comments; therefore, please ensure the accuracy of the 
information);
    c. University's name, campus, mailing address, telephone number, 
facsimile number, and email address; and
    d. The principal investigator, if different from the designated 
contact person, for the project, including phone number, facsimile 
number, and email address.
    5. Narrative statement addressing the Factors for Award. HUD will 
use the narrative response to the ``Factors for Award'' to evaluate, 
rate, and rank applications. The statement and work plan are the main 
source of information. Applicants are advised to review each factor 
carefully for program specific requirements. The response to each 
factor should be concise and contain only information relevant to the 
factor, but detailed enough to address each factor fully. Please do not 
repeat material in response to the five factors; instead, focus on how 
well the proposal responds to each of the factors. In factors where 
there are subfactors, each subfactor must be presented separately, with 
the short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    6. Budget. The budget submission must be placed behind the 
narrative statement addressing the ``Factors for Award'' and include 
the following form:
    a. HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also submit 
this form to reflect the total cost for the entire grant performance 
period (Grand Total).
    Make sure that the amount shown on Form SF-424, the HUD-424-CB and 
on all other required program forms is consistent and the budget totals 
are correct. Remember to check addition in totaling the categories on 
the Form HUD-424-CB so that all items are included in the total. All 
budget forms must be completed in full. If an application is selected 
for award, the applicant may be required to provide greater specificity 
to the budget during grant agreement negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item over 
$5,000. For example, an applicant proposes to construct a building 
using HUD funding totaling $200,000. The following costs estimate 
reflects this total. Foundation cost $75,000, electrical work $40,000, 
plumbing work $40,000, finishing work $35,000, and landscaping $10,000. 
The proposed cost estimates should be reasonable for the work to be 
performed and consistent with rates established for the level of 
expertise required to perform the work proposed in the geographical 
area. When necessary, quotes from various vendors or historical data 
should be used and included. When an applicant proposes to use a 
consultant, the applicant must indicate whether there is a formal 
agreement or written procurement policy. For each consultant, please 
provide the name, if known, hourly or daily rate, and the estimated 
time on the project. Applicants must submit a cost estimate from a 
qualified firm (e.g., Architectural or Engineering), vendor, and/or 
qualified individual (e.g., independent architect) other than the 
institution for projects that involve rehabilitation of residential, 
commercial and/or industrial structures; and/or acquisition, 
construction, or installation of public facilities, and improvements. 
Such an entity must be involved in the business of housing 
rehabilitation, construction, and/or management. Equipment and 
contracts cannot be presented as a total estimated figure. For 
equipment, applicants must provide a list by type and cost for each 
item. Applicants using contracts must provide an individual description 
and cost estimate for each contract.
    c. Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants should 
include a copy of their indirect cost rate agreement with their 
application. Applicants who are selected for funding that do not have 
an approved indirect cost rate agreement (established by the cognizant 
federal agency, Certified Public Account, or auditor) will be required 
to establish a rate. In such cases, HUD will issue an award with a 
provisional rate and enter into an agreement to have one established.
    d. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in federal financial assistance in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Additional information regarding this requirement can be 
accessed at the following Web site: http://harvester.census.gov/sac.
    7. Appendix. Applicants must place all letters of commitment, 
memoranda of understanding, and agreements for funds/resources in 
response to Factor 4 in this section. An applicant may not submit 
general support letters or resumes or other back-up materials (unless 
an applicant is willing to have the additional material count towards 
the page limits).

C. Submission Dates and Times

    A complete application package is due on or before July 9, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Ineligible CDBG Activities are listed at 24 CFR 570.207. Funding 
may only be provided to applicants that meet the standards for eligible 
applicants in Section III.A.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse; c/o Danya International; 8737 Colesville 
Road, Suite 1200; Silver Spring, MD 20910. When submitting an 
application package, include the following information on the outside 
of the envelope:
    a. Office of University Partnerships;
    b. Alaska Native/Native Hawaiian Institutions Assisting Communities 
Program; and
    c. Applicant's name and mailing address (including ZIP code). 
Applicants must refer to the General Section of the SuperNOFA for 
detailed requirements governing application submission and receipt.
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee) of the institution and can be downloaded 
from the HUD Web site at http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).

[[Page 27069]]

    b. Applicant Assurances and Certifications (HUD-424-B).
    c. Grant Application Detailed Budget (HUD-424-CB).
    d. Disclosure of Lobbying Activities (SF-LLL).
    e. America's Affordable Communities Initiative Removal of 
Regulatory Barriers (HUD-27300), if applicable.
    f. Applicant/Recipient Disclosure/Update Report (HUD-2880).
    g. Certification of Consistency with the Consolidated Plan (HUD-
2991).
    h. Certification of Consistency with the EZ/EC/RC Strategic Plan 
(HUD-2990). Must be signed by the certifying official of the EZ/EC/RC. 
The General Section of the SuperNOFA provides procedures and guidelines 
required to certify that proposed grant activities are being conducted 
in the EZ/EC/RC that serve the residents of these areas, and are 
certified to be consistent with the area's strategic plan.
    i. Program Logic Model (HUD-96010).
    j. Survey on Equal Opportunity (HUD-32004).
    k. Acknowledgment of Receipt of Application (HUD-2993). To confirm 
that HUD has received the application package, please complete this 
form. Applicants are not required to include this form, but it is 
recommended that an applicant do so.
    l. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help us to assess whether the changes have 
had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. Applicants are not 
required to complete this form.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 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:
    a. Knowledge and Experience For Previously Unfunded or First Time 
Applicants (25 Points) For Previously Funded Applicants. 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 this kind of 
project. Experience will be judged in terms of recent and relevant 
knowledge and skills of the staff to undertake eligible program 
activities. HUD will consider experience within the last five years to 
be recent and experience pertaining to specific activities and 
producing specific accomplishments to be relevant. The following 
categories will be evaluated:
    (1) Undertaking specific successful community development projects 
with community based organizations or local governments; and
    (2) Providing leadership in solving community problems.
    b. Past Performance (15 Points) For Previously Funded Applicants 
Only. This subfactor will evaluate the extent to which an applicant has 
performed successfully under all previously completed and open HUD AN/
NHIA grant(s). Applicants must demonstrate this by providing the 
following information:
    (1) A detailed list outlining the achievement of specific 
measurable objectives and outcomes consistent with the approved 
timeline/work plan in previous grants; and
    (2) Comparison of proposed leveraged funds and/or resources in 
previous grants to what was actually leveraged.
    (3) A list of all HUD/AN/NHIAC grants received, including the 
dollar amount awarded and the amount expended as of the date of this 
application.
    2. Rating Factor 2: Need/Extent of the Problem (10 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(s) in the target area. The need(s) described must be 
relevant to the activities for which funds are being requested. The 
proposal will be evaluated on the extent to which the level of need for 
the proposed activities and the importance of meeting the need(s) are 
documented. Applicants must use statistics and analyses contained in at 
least one or more current data sources that are sound and reliable. The 
data provided must be current and specific to the area where the 
proposed project activities will be carried out. Sources for localized 
data can be found at: www.ffiec.gov or www.econdatata.com.
    In rating this factor, HUD will consider data collected within the 
last five years to be current. To the extent that the 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, applicants should include references to 
these documents in the response to this factor.
    Other reliable data sources include, but are not limited to Census 
reports, HUD Continuum of Care gap analysis and its E-MAP (http://
www.hud.gov/emaps), law enforcement agency crime reports, Public 
Housing Agencies' Comprehensive Plans, community needs analyses such as 
provided by the United Way, the applicant's institution, and other 
sound and reliable sources. Needs in terms of fulfilling court orders 
or consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements may also be addressed.
    3. Rating Factor 3: Soundness of Approach (45 Points). This factor 
addresses the quality and effectiveness of the proposed work plan, the 
commitment of the institution to sustain the proposed activities, 
actions regarding HUD's priorities, goals and objectives, and 
affirmatively furthering fair housing. This factor will be evaluated 
based on the extent to which the proposed work plan demonstrates the 
following.
    a. (35 Points) Quality of the Work Plan. This subfactor will be 
evaluated on the extent to which an applicant provides a clear outline 
of the proposed project and anticipated accomplishments.
    (1) Specific Services and/or Activities. The work plan must 
describe all proposed activities and major tasks required to 
successfully implement the proposed project. HUD will consider the 
probability of success of the program, the significance of the tasks 
identified, how realistic are the proposed time frames, and who will be 
responsible for completing each proposed activity.
    (a) Applicants must provide a clear description of the proposed 
activities and address the following:
    (i) Describe each proposed activity to successfully implement and 
complete the proposed project in measurable terms (e.g., the number of 
homes that will be renovated);
    (ii) List the CDBG national objective each proposed activity is 
designed to address and how this will be accomplished;
    (b) Outline the major required tasks (in sequential order) to 
successfully implement and complete the proposed project activities. 
Including the target completion dates for these tasks (in six month 
intervals, up to 36 months); and
    (c) Identify the staff member, as described in Factor 1, who will 
be responsible and accountable for completing each task.

[[Page 27070]]

    (2) Describe how each proposed activity will:
    (a) Expand the role of the institution in its community;
    (b) Alleviate and/or fulfill the needs identified in Factor 2;
    (c) Relate to and not duplicate other activities in the target 
area. Duplicative effort will be acceptable only if an applicant can 
demonstrate through documentation that there is a population in need 
that is not being served; and
    (d) Involve and empower citizens of the target area the proposed 
project.
    b. (4 Points) Involvement of the faculty and students. The 
applicant must describe the extent to which it proposes to integrate 
the institution's students and faculty into proposed project 
activities.
    c. (3 Points) HUD Policy Priorities. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and which help the Department 
achieve its goals and objectives in FY2005, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
addressing this factor, HUD will evaluate the extent to which a program 
will further and support HUD's priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority selected will be addressed. Applicants that just list a 
priority will receive no points. Each policy priority addressed has a 
point value of one point with the exception of the policy priority to 
remove regulatory barriers to affordable housing, which has a point 
value of up to 2 points. The total number of points available to 
applicants that address policy priorities is 3. It is up to the 
applicant to determine which of the policy priorities they elect to 
address to receive the available 3 points. To receive points for 
efforts to remove regulatory barriers to affordable housing, an 
applicant must submit the completed questionnaire found in the General 
Section. (Form HUD-27300). For the full list and explanation of each 
policy priority, please refer to the General Section of this SuperNOFA.
    d. (3 Points) Affirmatively Furthering Fair Housing. This subfactor 
will be evaluated on the extent to which an applicant describes how it 
proposes to undertake activities designed to affirmatively further fair 
housing, for example:
    (1) 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;
    (2) 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
    (3) Providing housing mobility counseling services.
    4. Rating Factor 4: Leveraging Resources (10 Points) This factor 
addresses the ability of the applicant to secure resources that can be 
combined with HUD's grant funds to achieve the program's purpose.
    In evaluating this factor, HUD will consider the extent to which 
the applicant established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
project activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the grant. Resources may be provided by governmental 
entities, public or private nonprofit organizations, for-profit private 
organizations, or other entities. Applicants may also establish 
partnerships with other program funding recipients to coordinate the 
use of resources in the target area. Overhead and other institutional 
costs (e.g., salaries, indirect costs, etc.) that the institution has 
waived may be counted. Examples of potential sources for outside 
assistance includes:
     Federal, State, and local governments.
     Public Housing Agencies.
     Local or national nonprofit organizations.
     Financial Institutions and/or private businesses.
     Foundations.
     Faith-based and other community-based organizations.
For each cash or in-kind contribution to the program a letter of 
commitment, memorandum of understanding, or agreement must be provided 
that shows the extent and firmness of the commitment of leveraged funds 
(including any commitment of resources from the applicant's own 
institution) in order for these resources to count in determining 
points under this factor. Resources will not be counted for which there 
is no commitment letter, memorandum of understanding, or agreement, nor 
quantified level of commitment. Letters, memoranda of understanding, or 
agreements must be submitted from the provider on the provider's 
letterhead and be included with the application package. (Applicants 
must place all letters, memoranda of understanding, or agreements in 
the Appendices). The date of the letter, memorandum of understanding, 
or agreement from the CEO of the provider organization must be dated no 
earlier than the date of this published SuperNOFA. Applications that do 
not include evidence of leveraging as described below will receive zero 
(0) points for this Factor.
    a. A firm commitment letter, memorandum of understanding, or 
agreement must address the following:
    (1) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed;
    (2) A specific description of how each contribution is to be used;
    (3) The date the contribution will be made available and a 
statement that describes the duration of the contribution;
    (4) Any terms or conditions affecting the commitment, other than 
receipt of a HUD Grant; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. Please remember that 
only items eligible for funding under this program can be counted.
    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved.
    ``Outcomes'' are benefits accruing to institutions of higher 
education and/or communities during or after participation in the AN/
NHIAC program. Applicants must clearly identify the outcomes to be 
measured and achieved. Examples of outcomes include increased community 
development in the target community by a certain percentage, increased 
employment opportunities in the target community by a certain 
percentage, increased incomes/wages or other assets for persons 
trained, and or enhanced family stability through the creation of 
affordable housing opportunities.
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities. Examples of 
outputs are the number of new affordable housing units, the number of 
homes that have been

[[Page 27071]]

renovated, the number of facilities that been constructed or 
rehabilitated. Outputs should produce outcomes for the program. At a 
minimum, an applicant must address the following activities in the 
evaluation plan:
    a. 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);
    b. Measurable impacts the grant will have on the community in 
general and the target area or population; and
    c. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    This information must be placed under this section on a HUD-96010, 
Program Outcome Logic Model form. (Applicants may use as many copies of 
this form as required. It will not be included in the page count 
requirement). A narrative is not required; however, if a narrative is 
provided, those pages will be included in the page count. Additional 
information on this form and how to use can be found in the General 
Section of the SuperNOFA.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in Section V.A above. Only those applications that pass 
the threshold review will receive a technical review and be rated and 
ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels, which 
may include experts or consultants not currently employed by HUD. These 
individuals may be included to obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. HUD will fund applications in rank order, 
until all available program funds are awarded. In order to be funded, 
an applicant must receive a minimum score of 75 points out of a 
possible 100 points for Factors 1 through 5. In addition, two bonus 
points may be awarded for RC/EZ/EC, as described in the General Section 
of the SuperNOFA. 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 1, Capacity of the Applicant and 
Relevant Organizational Experience, shall be selected. HUD reserves the 
right to make selections out of rank order to provide for geographic 
distribution of grantees. HUD also reserves the right to reduce the 
amount of funding requested in order to fund as many highly ranked 
applications as possible. Additionally, if funds remain after funding 
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns 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, the 
remaining funds will be carried over to the next funding cycle's 
competition.
4. Correction to Deficient Applications
    The General Section of the SuperNOFA provides the procedures for 
correction to deficient applications.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notices

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA.
1. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted to: Armand Carriere; Office of University 
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 8106; Washington DC 20410. Applicants may also write to Mr. 
Carriere via email at [email protected].
2. Administrative
    Grants awarded under this NOFA 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). Applicants can access 
the OMB circulars at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Government-Wide Regulations Applicable to 
Financial Assistance Programs
    The General Section of the SuperNOFA provides discussion of OMB 
circulars and government wide regulation.
4. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards, Government Contractor's Labor Relations 
on Federal and Federally Funded Construction Projects
    See the General Section of the SuperNOFA for further discussion.
5. Economic Opportunities for Low- and Very-Low Income Persons (Section 
3)
    The provisions of Section 3 of the Housing and Urban Development 
Act of 1968 (12 U.S.C. 1701u) apply to this NOFA. Regulations may be 
found at 24 CFR part 135.
6. Executive Order 13166, Improving Access to Services for Persons with 
Limited English Proficiency (LEP)
    See the General Section of the SuperNOFA for further discussion.
7. Conflict of Interest
    See the General Section of the SuperNOFA for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred during the reporting period as well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (Form HUD-96010), 
which identifies output and outcome achievements.

[[Page 27072]]

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 708-3061, extension 
4200 or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service TTY at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Ms. Ivey via email 
at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0205. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 59 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, quarterly, and final reports. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27073]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.080


[[Page 27074]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.081


[[Page 27075]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.082


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27077]]



Tribal Colleges and Universities Program Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Tribal Colleges and Universities 
Program (TCUP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: The Federal Register Number for 
this program is FR-4900-N-13. The OMB Approval Number for this program 
is 2528-0215.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.519.
    F. Dates: The application due date shall be on or before June 25, 
2004. Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: The Tribal Colleges and Universities 
Program (TCUP) assists Tribal Colleges and Universities (TCU) to build, 
expand, renovate, and equip their own facilities.
    2. Award Information: In Fiscal Year (FY) 2004, approximately $2.98 
million has been appropriated for this program by the Consolidated 
Appropriations Act, 2004 (Pub. L. 108-199, approved January 23, 2004, 
118 Stat. 3). The maximum amount a TCUP applicant can request for award 
is $600,000 for a three-year (36 months) grant performance period.
    3. Eligible Applicants: Tribal Colleges and Universities that meet 
the definition of a TCU established in Title III of the 1998 Amendments 
to the Higher Education Act of 1965 (Pub. L. 105-244, approved October 
7, 1998) are eligible to apply for funding under this program. 
Institutions must be accredited or provide a statement in their 
application to verify that the institution is a candidate for 
accreditation by a regional institutional accrediting association 
recognized by the U.S. Department of Education.

Full Text of Announcement

I. Funding Opportunity Description

    The purpose of this program is to assist Tribal Colleges and 
Universities (TCU) to build, expand, renovate, and equip their own 
facilities. Listed below are major modifications from the FY2003 
program-funding announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnerships Program NOFA.
    2. All applications must be mailed to: University Partnerships 
Clearinghouse; c/o Danya International; 8737 Colesville Road, Suite 
1200; Silver Spring, MD 20910.
    3. Points will no longer be assigned to the budget. However, a 
budget narrative must be submitted that addresses the total dollar 
amount reflected on the HUD-424-CB for the entire three-year grant 
performance period.
    4. The maximum amount an applicant can request for award has been 
increased from $400,000 to $600,000 for a three-year (36 months) grant 
performance period.
    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004, 118 Stat. 3). This program is being implemented 
through this NOFA and the policies governing its operation are 
contained herein.

II. Award Information

    In Fiscal Year (FY) 2004, $2.98 million has been appropriated for 
this program by the Consolidated Appropriations Act, 2004 (Pub. L. 108-
199, January 23, 2004, 118 Stat. 3). The maximum amount a TCUP 
applicant can request for award is $600,000 for a three-year (36 
months) grant performance period.

III. Eligibility Information

A. Eligible Applicants

    Tribal Colleges and Universities that meet the definition of a TCU 
established in Title III of the 1998 Amendments to the Higher Education 
Act of 1965 (Pub. L. 105-244, enacted October 7, 1998) are eligible to 
apply for funding under this program. Institutions must be accredited 
or provide a statement in their application that verifies the 
institution is a candidate for accreditation by a regional 
institutional accrediting association recognized by the U.S. Department 
of Education.

B. Cost Sharing or Matching:

    None Required

C. Other

1. Eligible Activities
    Eligible activities include building, expanding, renovating, and 
equipping facilities owned by the institution (a long-term lease for 
five years or more in duration is considered an acceptable form of 
ownership under this program). Buildings in which an institution 
undertakes activities that also serve the community are eligible; 
however, the facilities must be predominantly for the use of the 
institution (e.g., students, faculty, and staff). Examples of eligible 
activities include, but are not limited to:
    a. Building of a new gymnasium for students, but also offering some 
physical education classes or other activities in the evening to the 
larger community;
    b. Rehabilitating a student union building that would also serve as 
a community meeting facility;
    c. Equipping the university's computer lab, but involving the 
larger community in helping the institution identify workshops that 
would be of interest to the community; and
    d. Developing a facility solely for the use of the institution 
(e.g., a dormitory, classrooms, or administration building).
2. Threshold Requirements Applicable to all Applicants
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked.
    Applications that do not meet these requirements will be considered 
ineligible for funding and will be disqualified:
    a. The applicant must meet the eligibility requirements as defined 
in Section III.A. Eligible Applicants.
    b. The maximum amount a TCUP applicant can request for award is 
$600,000.
    c. Funds awarded under this program may not be used for public 
services, as defined in 24 CFR part 570, subpart C 570.201(e).
    d. Only one application is eligible for funding from an institution 
or campus. However, an individual campus that is one of several 
campuses of the same institution may apply separately as long as the 
applicant's campus has a separate administrative and budget structure.
    e. Institutions that received grants in FY2003 are not eligible to 
apply under this NOFA.
    f. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    g. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement).
3. Program Requirements
    In addition to the program requirements listed in the General 
Section of the SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program must be spent during a 
three-

[[Page 27078]]

year (36 months) grant performance period.
    b. While community-wide use of a facility (that is purchased, 
leased, or built) is permissible under this program, the facility must 
be predominantly for the use of the institution (i.e., it must be used 
by the staff, faculty, and/or students at least 51 percent of the 
time).
    c. Applicants that claim leveraging from any source (e.g., tribal, 
Federal and/or State governments, Tribally Designated Housing Entities, 
foundations, etc.), including their own institution, must provide 
letters of firm commitment, memoranda of understanding, or agreements 
evidencing the extent and firmness of the commitment. These documents 
must be dated no earlier than the date of this published NOFA and 
follow the outline provided for this program in section V, Application 
Review Information, ``Factor 4 Leveraging Resources'' of this NOFA.
    d. Each activity proposed for funding must meet one of the 
following Community Development Block Grant (CDBG) Program national 
objectives:
    (1) Benefit low- and moderate-income persons;
    (2) Aid in the prevention or elimination of slums or blight; or
    (3) 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 objectives are 
provided at 24 CFR 570.208.
    e. If a TCU is a part or instrumentality of a federally recognized 
tribe, the applicant must comply with the Indian Civil Rights Act (25 
U.S.C. 1301 et seq.) and all other applicable civil rights statues and 
authorities as set forth in 24 CFR 1000.12. If the TCU is not a part or 
instrumentality of a federally recognized tribe the applicant must 
comply with the Fair Housing Act (42 U.S.C. 3601-19) and implementing 
regulations at 24 CFR part 100 et seq., Title VI of the Civil Rights 
Act of 1964 (42 U.S.C. 2000d-2000d-4) (Nondiscrimination in Federally 
Assisted Programs) and implementing regulations at 24 CFR part 1, and 
section 109 of Title One of the Housing and Community Development Act 
of 1974 (HCDA), as amended, with respect to nondiscrimination on the 
basis of age, sex, religion, or disability and implementing regulations 
at 24 CFR part 6.
    f. Labor Standards. Institutions and their subgrantees, contractors 
and subcontractors must comply with the labor standards (Davis-Bacon) 
requirements referenced in 24 CFR 570.603. However, in accordance with 
HCDA section 107(e)(2), the Secretary waives the provisions of HCDA 
section 110 with respect to the TCUP program for grants to a TCU that 
is part of a tribe, i.e., a TCU that is legally a department or other 
part of a tribal government, but not a TCU that is established under 
tribal law as an entity separate from the tribal government. If a TCU 
is not part of a tribe, the labor standards of HCDA section 110, as 
referenced in 24 CFR 570.603, apply to activities under the grant to 
the TCU.
    g. 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 in accordance with 24 CFR part 50. The results of the 
environmental review may require that proposed activities be modified 
or proposed sites be rejected. Applicants 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. An application constitutes an assurance that the 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, demolish, 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's written 
approval of the property is received. In supplying HUD with 
environmental information, applicants should use the same guidance as 
provided in the HUD Notice CPD-99-01 entitled ``Field Environmental 
Review Processing for HUD Colonias Initiative (HCI) Grants'' issued 
January 27, 1999.
    The General Section of the SuperNOFA provides further discussion of 
the environmental requirements. Further information and assistance on 
HUD's environmental requirements is available at: http://www.hud.gov/
offices/cpd/energyenviron/environment/index.cfm.
    h. Site Control. Where grant funds will be used for acquisition, 
rehabilitation, or new construction, an applicant must demonstrate site 
control. If the recipient cannot demonstrate control of a suitable site 
within one year after initial notification of award of assistance, HUD 
may recapture or deobligate any remaining grant funds.

IV. Application and Submission Information

A. Addresses to Request Application Package

    1. Applicants may request general information, copies of the 
General Section and Program Sections of the SuperNOFA from the NOFA 
Information Center (800-HUD-8929 or 800-HUD-2209 (TTY)) between the 
hours of 9 a.m. and 8 p.m. (eastern time) Monday through Friday, except 
on Federal holidays. When requesting information, please refer to the 
Tribal Colleges and Universities Program. Be sure to provide your name, 
address (including zip code), and telephone number (including area 
code). To ensure sufficient time to prepare an application, requests 
for copies of this NOFA can be made immediately following publication 
of the SuperNOFA. The NOFA Information Center opens for business 
simultaneously with the publication of HUD's 2004 NOFA. Applicants can 
also obtain information on the SuperNOFA and download application 
information for the SuperNOFA through the HUD Web site: http://www.hud.gov.

B. Content and Form of Application Submission

    1. A complete application package must include an original signed 
application, three copies, and one computer disk of the application (in 
Word 6.0 or higher), and items listed below. (The computer disk should 
include the narrative portion of the application and all required 
forms. Forms may be downloaded from http://www.hud.gov.) In order to 
recycle paper, applications must not be submitted in bound form; binder 
clips or loose-leaf binders are acceptable. Please do not use colored 
paper. Applications must be submitted on 8\1/2\ by 11-inch paper, 
double-spaced on one side of the paper, with one-inch margins (from the 
top, bottom, left and right) and printed in a standard Times New Roman 
12-point font. Each page must be numbered and include the applicant's 
name. Each section must be tabbed sequentially. The application 
narrative, tables, and maps must not exceed 75 pages (excluding forms, 
budget narrative, assurances, commitment letters, memoranda of 
understanding, agreements, and abstract). The double-spacing 
requirement applies to the application narrative (excluding the 
abstract, tables, maps, budget narrative, commitment letters, memoranda 
of

[[Page 27079]]

understanding, and agreements). Please note that although submitting 
pages in excess of the page limit will not disqualify an application, 
HUD will not consider the information on any excess page. This may 
result in a lower score or failure to meet a threshold requirement. 
Except where a particular form may direct otherwise, all forms included 
in an application, as well as the transmittal letter, must be signed by 
the Chief Executive Officer (this is generally the President or 
Provost) or an official authorized legally to make a commitment on 
behalf of the institution. If a designee signs, the application must 
contain a copy of the official designation of signatory authority.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form. Please remember the following:
    a. The full grant amount (entire three-years) should be entered, 
not the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and email address of the designated contact. This is the person 
who will receive the reviewer comments; therefore, please ensure the 
accuracy of the information;
    c. The Employer Identification/Tax ID number;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.519;
    f. The project's proposed start and completion date. For the 
purpose of this application the program start date should be October 1, 
2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. The letter should contain a statement that 
the institution is an eligible applicant because it is a two-or four-
year fully accredited institution. This letter should state the name of 
the accrediting agency, and that the accrediting agency is recognized 
by the U.S. Department of Education. Applicants who have applied for 
accreditation by a regional instructional accrediting association 
recognized by the U.S. Department of Education must also state the name 
of the accrediting agency. Applicants may also use the transmittal 
letter as one way to demonstrate the President's commitment to the 
institutionalization of the program. The Chief Executive Officer 
(usually the President or Provost) of the institution must sign this 
letter. If the Chief Executive Officer has delegated this 
responsibility to another official, that person may sign, but a copy of 
the delegation of authority must be included or clearly stated in the 
letter. Applicants must also indicate whether their institution is a 
department or agency of a tribal government and is thus claiming 
exemption from Davis-Bacon labor standards and the non-discrimination 
provision of section 109 of the Housing and Community Development Act 
of 1974.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, applicants must 
indicate the page number where each of the items can be found in the 
application (see Appendix A).
    4. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    a. A clear description of the proposed project activities, the 
target population that will be assisted, and the impact this project 
will have on the institution;
    b. The designated contact person, including phone number, facsimile 
number, and email address (This is the person who will receive the 
reviewers' comments; therefore, please ensure the accuracy of the 
information);
    c. University's name, mailing address, telephone number, facsimile 
number and email address; and;
    d. The principal investigator, if different from the designated 
contact person for the project, including phone number, facsimile 
number, and e-mail address.
    5. Narrative statement addressing the Factors for Award. HUD will 
use the narrative response to the ``Factors for Award'' to evaluate, 
rate, and rank applications. The statement and work plan are the main 
sources of information. Applicants are advised to review each factor 
carefully for program specific requirements. The response to each 
factor should be concise and contain only information relevant to the 
factor, but detailed enough to address the factor fully. Please do not 
repeat material in response to the five factors; instead focus on how 
well the proposal responds to each of the factors. In factors where 
there are subfactors, each subfactor must be presented separately, with 
the short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    6. Budget. The budget submission must be placed behind the 
narrative statement addressing the ``Factors for Award'' and include 
the following form:
    a. HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also submit 
this form to reflect the total cost for the entire grant performance 
period (Grand Total).
    Make sure that the amount shown on the SF-424, HUD-424-CB, and all 
other required program forms is consistent and the totals are correct. 
Remember to check the addition in totaling the categories on the HUD 
424-CB form so that all items are included in the total. All forms must 
be completed in full. If an application is selected for award, the 
applicant may be required to provide greater specificity to the budget 
during grant agreement negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates, for any line item over 
$5,000. For example, an applicant proposes to construct an addition to 
an existing building, which will cost approximately $200,000. The 
following cost estimate reflects this total: Foundation cost $75,000, 
electrical work $40,000, plumbing work $40,000, interior finishing work 
$35,000 and landscaping $10,000. The proposed cost estimates should be 
reasonable for the work to be performed and consistent with rates 
established for the level of expertise required to perform the work 
proposed in the geographical area. When necessary, quotes from various 
vendors or historical data should be used and included. All direct 
labor or salaries must be supported with mandated city/state pay 
scales, Davis-Bacon wage rates, or other documentation. When an 
applicant proposes to use a consultant, the applicant must indicate 
whether there is a formal agreement or written procurement policy. For 
each consultant, please provide the name, if known, hourly or daily 
fee, and the estimated time on the project. Applicants must submit a 
cost estimate from a qualified firm (e.g., Architectural or Engineering 
firm) vendor and/or qualified individual (e.g., independent architect) 
other than the institution for projects that involve rehabilitation of 
residential, commercial and/or industrial structures; and/or 
acquisition, construction, or installation of public facilities and 
improvements. Such an entity must be involved in the business of 
housing rehabilitation, construction, and/or management. Equipment and 
contracts cannot be presented as a total

[[Page 27080]]

estimated figure. For equipment, applicants must provide a list by type 
and cost for each item. Applicants using contracts must provide an 
individual description and cost estimate for each contract.
    c. Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants should 
include a copy of their indirect cost rate agreement with their 
application. Applicants who are selected for funding that do not have 
an approved indirect cost rate agreement (established by the cognizant 
Federal agency, Certified Public Account, or auditor) will be required 
to establish a rate. In such cases, HUD will issue an award with a 
provisional rate and enter into an agreement to have one established.
    d. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in Federal financial assistance in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Additional information regarding this requirement can be 
accessed at the following Web site http:// harvester.census.gov/sac.
    7. Appendix. Applicants must place the letters of commitment, 
memoranda of understanding, or agreements for funds/resources in 
response to Factor 4 in this section. An applicant may not submit 
general support letters or resumes or other back-up materials (unless 
an applicant is willing to have the latter count toward the page limit 
requirement).

C. Submission Dates and Times

    A complete application package is due on or before June 25, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.

D. Intergovernmental Review

    This program is excluded for an Intergovernmental Review.

E. Funding Restrictions

    1. Ineligible activities for funding under this program include, 
but are not limited to the following:
    a. Renovation of a facility in which the facility is not used at 
least 51 percent of the time by the institution;
    b. Rental space to another entity that operates a small business 
assistance center; and
    c. Building of a new gymnasium, where the activities are for non-
students, or the activities are primarily run by an outside entity.
    2. Applicants can use up to 20 percent of the grant for payments of 
reasonable grant administrative costs related to planning and execution 
of the project (e.g., preparation/submission of HUD reports). A 
detailed explanation of these costs is provided in the OMB circulars 
that can be accessed at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse; c/o Danya International, 8737 Colesville 
Road, Suite 1200, Silver Spring, MD 20910. When submitting an 
application package, include the following information on the outside 
of the envelope:
    a. Office of University Partnerships;
    b. Tribal Colleges and Universities Program; and
    c. Applicant's name and mailing address (including ZIP code).
    Applicants must refer to the General Section of the SuperNOFA for 
detailed requirements governing application submission and receipt.
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee) of the institution and can be downloaded 
from http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).
    b. Applicant Assurances and Certifications (HUD-424-B).
    c. Disclosure of Lobbying Activities (SF-LLL).
    d. Applicant/Recipient Disclosure/Update Report (HUD-2880).
    e. Grant Application Detailed Budget (HUD-424-CB).
    f. Program Logic Model (HUD-96010).
    g. Survey on Equal Opportunity (HUD-32004).
    h. Acknowledgment of Receipt of Application (HUD-2993). To confirm 
that HUD has received the application package, please complete this 
form. Applicants are not required to include this form, but it is 
recommended that an applicant do so.
    i. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help us to assess whether the changes have 
had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. Applicants are not 
required to complete this form.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 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.
    a. Knowledge and Experience of the Proposed Staff (15 Points). In 
rating this subfactor, HUD will consider the extent to which the 
applicant demonstrates the experience and knowledge 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 kind of projects for which funding is 
being requested. Experience will be judged in terms of recent and 
relevant knowledge and skills of the staff to undertake eligible 
program activities. HUD will consider experience within the last five 
years to be recent and experience pertaining to specific activities and 
producing specific accomplishments to be relevant.
    b. Knowledge and Experience of the Institution (10 Points). In 
rating this subfactor, HUD will consider the knowledge and experience 
of the institution in managing and overseeing a similar project. 
Experience will be judged in terms of recent and successful completion 
of such project. HUD will consider experience within the last five 
years to be recent.
    2. Rating Factor 2: Need/Extent of the Problem (10 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed project activities and an indication of the importance of 
meeting the need(s). The need described must be relevant to activities 
for which funds are being requested. The proposal will be rated on the 
extent to which the level of need for the proposed project activities 
and the importance of meeting the need(s) are documented. Applicants 
must use statistics and analyses contained in at least one or more 
current data sources that are sound and reliable. The data provided 
must be current and specific to the area where the proposed project 
activities will be carried out. Reliable sources of data may include 
information

[[Page 27081]]

that describe the need, such as a building needs to be constructed 
because it is 50 years old and is deteriorating; a new computer lab has 
been built, but the computers are obsolete; a library has been 
expanded, but the books are outdated, etc. In rating this factor, HUD 
will consider data collected within the last five years to be current.
    3. Rating Factor 3: Soundness of Approach (45 Points). This factor 
addresses the quality and effectiveness of the proposed work plan. 
There must be a clear relationship between the proposed activities and 
the need(s) identified in Factor 2 for an applicant to receive points 
for this factor.
    a. Quality of Work Plan (35 Points). (1) Specific Services and/or 
Activities. The work plan must describe all proposed activities and 
major tasks required to implement the proposed project. HUD will 
consider the probability of success of the program, the significance of 
the tasks identified, the measurable objectives, how realistic are the 
proposed time frames, and who will be responsible for completing each 
proposed activity. Specifically, HUD will examine the proposed 
activities and determine to what extent the project activities are 
measurable (e.g., the number of classrooms added, the increase in 
enrollment), result in improvement to the institution as a result of 
the project activities (e.g., fifty more students will be receiving 
computer literacy training, etc.) and how well it is demonstrated that 
these objectives will be achieved/measured by the proposed management 
plan and team.
    (2) Describe clearly how the proposed project activities will 
address the following:
    (a) Alleviate and/or fulfill the needs identified in Factor 2; and
    (b) Relate to and not duplicate other activities in the target 
area.
    b. (2 Points) Community Involvement. HUD will consider the extent 
to which the applicant has involved the community in the proposed 
project.
    c. (5 Points) Involvement of the Faculty and Students. The 
applicant must describe the extent to which it proposes to integrate 
the institution's students and faculty into proposed project 
activities.
    d. (3 Points) HUD Policy Priorities. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and help the Department achieve its 
goals and objectives in FY2005, when the majority of grant recipients 
will be reporting programmatic results and achievement. In addressing 
this factor, HUD will evaluate the extent to which a program will 
further and support HUD priorities. The quality of the responses 
provided to one or more of HUD's priorities will determine the score an 
applicant can receive. Applicants must describe how each policy 
priority will be addressed. Applicants that just list a priority will 
receive no points. Each policy priority addressed has a point value of 
one point. The total number of points available to applicants that 
address policy priorities is 3. It is up to the applicant to determine 
which of the policy priorities they elect to address to receive the 
available 3 points. Applicants that address more than three policy 
priorities will not receive additional points. For the full list and 
explanation of each policy priority, please refer to the General 
Section of this SuperNOFA.
    4. Rating Factor 4: Leveraging Resources (10 Points). This factor 
addresses the ability of the applicant to secure resources that can be 
combined with HUD's grant funds to achieve the project's purpose.
    In evaluating this factor, HUD will consider the extent to which 
the applicant established partnerships with other entities to secure 
additional resources to increase the effectiveness of the proposed 
project activities. Resources may include funding or in-kind 
contributions, such as services or equipment, allocated to the 
purpose(s) of the grant. Resources may be provided by governmental 
entities (e.g., tribal, Federal, and/or State governments), public or 
private nonprofit organizations, for-profit private organizations, or 
other entities. Overhead and other institutional costs (e.g., salaries, 
indirect cost) that the institution has waived may be counted.
    Examples of potential sources for outside assistance include:
     Tribal, Federal, State, and local governments.
     Tribally Designated Housing Entities.
     Local or national nonprofit organizations.
     Banks and/or private businesses.
     Foundations.
     Faith-based and other community-based organizations.

For each cash or in-kind contribution, a letter of commitment, 
memorandum of understanding, or agreement must be provided that shows 
the extent and firmness of the commitments of leveraged funds 
(including any commitment of resources from the applicant's own 
institution) in order for these resources to count in determining 
points under this factor. Resources will not be counted for which there 
is no commitment letter, memorandum of understanding or agreement, nor 
quantified level of commitment. Letters, memoranda of understanding, or 
agreements must be submitted from the provider on the provider's 
letterhead and be included with the application package (applicants 
must place all letters, memoranda of understanding, or agreements in 
the Appendices). The date of the letter, memorandum of understanding, 
or agreement from the CEO of the provider's organization must be dated 
no earlier than the date of this published SuperNOFA. Applicants that 
do not include evidence of leveraging will receive zero (0) points for 
this Factor.
    a. A firm commitment letter, memorandum of understanding or 
agreement must address the following:
    (1) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed;
    (2) A specific description of how each contribution is to be used;
    (3) Any terms or conditions affecting the commitment, other than 
receipt of a HUD grant; and
    (4) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services.

Please remember that only items eligible for funding under this program 
can be counted.
    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. The factor measures the applicant's 
commitment to assess their performance to achieve the project's 
proposed objectives and goals. Applicants are required to develop an 
effective, quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved.
    ``Outcomes'' are benefits accruing to institutions of higher 
education during or after participation in the TCUP program. Applicants 
must clearly identify the outcomes to be measured and achieved. 
Examples of outcomes include an increased number of campus facilities 
(e.g., newly built or renovated), an increased number of classroom 
space available, and an increased student enrollment and graduation 
rate. In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes.
    ``Outputs'' are the direct products of the project's activities. 
Examples of

[[Page 27082]]

outputs are the number of new facilities renovated, or the number of 
new dormitories built. Outputs should produce outcomes for the project. 
At a minimum, an applicant must address the following activities in the 
evaluation plan:
    a. Short and long term objectives to be achieved;
    b. Measurable impacts the grant will have on the university or the 
target population; This information must be placed under this section 
on a HUD-96010, Program Outcome Logic Model form. (Applicants can use 
as many copies of this form as required. It will not be included in the 
page count requirement). A narrative is not required for this factor; 
however, if a narrative is provided, those pages will be included in 
the page count. Additional information on this form and how to use it 
can be found in the General Section of the SuperNOFA.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in Section V.A. above. Only those applications that pass 
the threshold review will receive a technical review and be rated and 
ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels that may 
include experts or consultants not currently employed by HUD. These 
individuals may be included to obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. In order to be funded, an applicant must 
receive a minimum score of 75 points out of a possible 100 points for 
Factors 1 through 5. The RC/EZ/EC bonus points described in the General 
Section of the SuperNOFA do not apply to this NOFA. 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 
1, Capacity of the Applicant and Relevant Organizational Experience, 
shall be selected. HUD reserves the right to make selections out of 
rank order to provide for geographic distribution of grantees. HUD also 
reserves the right to reduce the amount of funding requested in order 
to fund as many highly ranked applications as possible. Additionally, 
if funds remain after funding the highest ranked applications, HUD may 
fund part of the next highest-ranking application. If an applicant 
turns 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, the remaining funds will be carried over to 
the next funding cycle's competition.
4. Corrections to Deficient Applications
    The General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notice:

    After all selections have been made, HUD will notify all winning 
applications in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of this SuperNOFA.
1. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted to: Armand Carriere; Office of University 
Partnerships; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 8106; Washington, DC 20410-6000. Applicants may also write to 
Mr. Carriere via e-mail at [email protected].
2. Administrative
    Grants awarded under this NOFA 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). Applicants can access 
the OMB circulars at the White House website at http://
www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to Financial 
Assistance Programs
    The General Section of the SuperNOFA provides discussion of OMB 
circulars and governmentwide regulations.
4. Conflicts of Interest
    See the General Section of the SuperNOFA for further discussion.
5. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Toward Government Contractors' Labor Relations of 
Federal and Federally Funded Construction Projects:
    See the General Section of the SuperNOFA for further discussion.

C. Reporting

    All grant recipients under this NOFA are required to submit 
quarterly progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflects costs 
incurred during the reporting period as well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (form HUD 96010), 
which identifies output and outcome achievements.

VII. Agency Contacts

    Applicants may contact Sherone Ivey at (202) 708-3061, extension 
4200, or Susan Brunson at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service TTY at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Ms. Ivey via e-
mail at [email protected], and Ms. Brunson at Susan--S.--
[email protected].

VIII. Other

    Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2528-0215. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection

[[Page 27083]]

of information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 68 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
quarterly and final report. The information will be used for grantee 
selection and monitoring the administration of funds. Response to this 
request for information is required in order to receive the benefits to 
be derived.
BILLING CODE 4210-32-P

[[Page 27084]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.083


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27085]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.084


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27087]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.085


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27089]]



The Community Outreach Partnership Centers (COPC) Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: Community Outreach Partnership 
Centers (COPC) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Numbers: The Federal Register Number is FR-
4900-N-26. The OMB Approval Number for this program is 2506-0180.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.511.
    F. Dates: The application due date shall be on or before July 9, 
2004. Please see the General Section of the SuperNOFA for application 
submission, delivery and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program. The Community Outreach Partnership 
Centers (COPC) Program provides funds to two-year and four-year 
colleges and universities to establish and operate COPCs to address the 
problems of urban areas.
    2. Award Information. In Fiscal Year (FY) 2004, approximately $6.9 
million has been appropriated for this program by the Consolidated 
Appropriations Act, 2004 (Pub. L. 108-199, approved January 23, 2004, 
118 Stat. 3), plus $7,113 in previously unexpended funds. HUD will 
award two kinds of grants under this program, New Grants and New 
Directions Grants.
    a. New Grants will be awarded to applicants who have never received 
a COPC grant to undertake eligible work. The maximum amount an 
applicant can request for award is $400,000 for a three-year (36 
months) grant performance period.
    b. New Directions Grants will be awarded to applicants who have 
previously received a COPC grant to undertake new directions in their 
activities. The maximum amount an applicant can request for award is 
$200,000 for a two-year (24 months) grant performance period.
    HUD will use up to $5.5 million to fund approximately 13 New Grants 
and up to $1.4 million to fund approximately seven (7) New Directions 
Grants.
    3. Eligible Applicants: Public or private nonprofit institutions of 
higher education granting two-or four-year degrees that are accredited 
by a national or regional accrediting agency recognized by the U.S. 
Department of Education are eligible to apply. Consortia of eligible 
institutions may also apply for funding under this program, as long as 
one institution is designated the lead applicant (Note: Institutions 
that participated in a COPC grant as a member of a consortium are 
eligible to apply for a New Grant if they received 25 percent or less 
of the funding from the earlier grant). HUD intends to fund at least 
two eligible COPC applications (applications that receive a minimum 
score of 75 points) that serve Colonias, (as defined in the General 
Section of the SuperNOFA). While it is not necessary for the 
institution to be located in a Colonia, all program activities must be 
directed to the Colonia and its residents. If less than two fundable 
applications are eligible for award these funds will be used to award 
additional COPC grants.

Full Text of Announcement

I. Funding Opportunity Description

    The main purpose of the Community Outreach Partnership Centers 
(COPC) program is to assist in establishing or carrying out outreach 
and applied research activities that address problems of urban areas. 
The program also seeks to encourage structural change, both within an 
institution of higher education and in the way the institution relates 
to its neighbors.
    A. Funding under this program shall be used to establish and 
operate local Community Outreach Partnership Centers (COPCs). The five 
key concepts that a COPC Program should include are:
    1. Outreach and technical assistance
    2. Empowerment efforts that engage community-based organizations 
and residents as partners with the institution throughout the life of 
the project and beyond;
    3. Applied research related to the project's outreach activities 
(Note: Applicants are not required to undertake any research as part of 
their project and may apply for a project that is totally outreach 
focused);
    4. Assistance to target communities primarily from the faculty, 
students, and to a limited extent by neighborhood residents and 
community-based organizations funded by the university; and
    5. Support from the university's senior officials to make the 
program part of the institution's broader effort to meet its urban 
mission.
    B. Listed below are major modifications from the FY2003 program 
funding announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnerships Program NOFA;
    2. All applications must be mailed to: University Partnerships 
Clearinghouse, c/o Danya International, 8737 Colesville Road, Suite 
1200, Silver Spring, MD 20910;
    3. Points will no longer be assigned to the budget. However, a 
budget narrative must be submitted that addresses the total dollar 
amount reflected on the HUD-424-CB for the entire grant performance 
period (three years for New Grant applicants and two years for New 
Directions grant applicants);
    4. New Directions applicants can now request $200,000 for a two-
year (24 months) grant performance period; and
    5. New Directions Grant applicants must have drawn down at least 75 
percent of its grant funds from any previous COPC award three weeks 
prior (not two weeks as stated previously) to the program's application 
due date to be eligible to apply for and receive a New Directions 
Grant. It is the applicant's responsibility to make sure this 
requirement is met.
    C. The COPC program is authorized under the Community Outreach 
Partnership Act of 1992 (42 U.S.C. 5307 note; the ``COPC Act''). The 
COPC Act is contained in section 851 of the Housing and Community 
Development Act of 1992 (Pub. L. 102-550, approved October 28, 1992) 
(HCD Act of 1992). Section 801(c) of the HCD Act of 1992 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 Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004, 118 Stat. 3) continues this program beyond the 
initial five-year demonstration by providing funding for Community 
Outreach Partnership Centers for FY2004. This program is being 
implemented through this NOFA and the policies governing its operation 
are contained herein.

II. Award Information

    In FY2004, approximately $6.9 million has been appropriated for 
this program by the Consolidated Appropriations Act, 2004 (Pub. L. 108-
199, approved January 23, 2004, 118 Stat. 3), plus $7,113 in previously 
unexpended funds. HUD will award two kinds of grants under this 
program, New Grants and New Directions Grants.
    a. New Grants will be awarded to applicants who have never received 
a COPC grant to undertake eligible work. The maximum amount an 
applicant can request for award is $400,000 for a

[[Page 27090]]

three-year (36 months) grant performance period.
    b. New Directions Grants will be awarded to applicants who have 
previously received a COPC grant to undertake new directions in their 
activities. The maximum amount an applicant can request for award is 
$200,000 for a two-year (24 months) grant performance period.
    HUD will use up to $5.5 million to fund approximately 13 New Grants 
and up to $1.4 million to fund approximately seven (7) New Directions 
Grants.

III. Eligibility Information

A. Eligible Applicants

    Public or private nonprofit institutions of higher education 
granting two- or four-year degrees that are accredited by a national or 
regional accrediting agency recognized by the U.S. Department of 
Education. Consortia of eligible institutions may also apply, as long 
as one institution is designated the lead applicant. (Note: 
Institutions that participated in a COPC grant as a member of a 
consortium are eligible to apply for a New Grant if they received 25 
percent or less of the earlier grant funds.) HUD intends to fund at 
least two eligible COPC applications (applications that receive a 
minimum score of 75 points) that serve Colonias (as defined in the 
General Section of this SuperNOFA). While it is not necessary for the 
institution to be located in a Colonia, all program activities must be 
directed to the Colonia and its residents. If less than two fundable 
applications are eligible for award these funds will be used to award 
additional COPC grants.

B. Cost Sharing or Matching

    Applicants are required to meet the following match requirements:
1. New Grant Applicants Match Requirements
    a. Research Activities. 50 percent of the total project costs of 
establishing and operating research activities.
    b. Outreach Activities. 25 percent of the total project costs of 
establishing and operating outreach activities.
2. New Directions Grant Applicants Match Requirements
    a. Research Activities. 60 percent of the total project costs of 
establishing and operating research activities.
    b. Outreach Activities. 35 percent of the total project costs of 
establishing and operating outreach activities.
    For each match, cash or in-kind contribution to the program, 
applicants must submit a signed letter of commitment (see section V, 
Application Review Information, Factor 4: Leveraging Resources). 
Applicants may not count as match any costs that would be ineligible 
for funding under the program (e.g., housing rehabilitation). In 
previous competitions, some applicants incorrectly based their match 
calculations on the federal grant amount only. An applicant's match is 
evaluated as a percentage of the total cost of establishing and 
operating research and outreach activities, not just the Federal grant 
amount.
    Assume that the total project cost for a New COPC Grant was 
$500,000, with $125,000 for research and $375,000 for outreach. Note 
that this project meets the requirement that no more than one-quarter 
of the total project costs be allocated for research as defined in 
section III, Eligibility Information, Other. The total amount of the 
required match would be $156,250. The research match would be $62,500 
($125,000 x 50 percent) and the outreach match would be $93,750 
($375,000 x 25 percent). The Federal grant requested would be $343,750 
($500,000 minus the match of $156,250). In calculating the match, 
administrative costs should be applied to the appropriate attributable 
outreach or research component.

C. Other

1. Eligible Activities
    COPC Programs may combine outreach activities with research (if 
applicable) and work with communities and local governments to address 
the multidimensional problems that beset urban areas. Examples of urban 
problems include, but are not limited to housing, economic development, 
neighborhood revitalization, health care, job training, education, 
crime prevention, planning, the environment, and community organizing.
    a. Outreach, technical assistance, and information exchange 
activities must be designed to address specific urban problems in 
designated communities and neighborhoods served by the grant.
    b. Research activities (if applicable, research activities are not 
required) must have a clear near-term potential and practical 
application for solving specific, significant urban problems in 
designated communities and neighborhoods, including evaluation of the 
effectiveness of the outreach activities and how they relate to HUD 
programs. Applicants must have the capacity to apply the research 
results directly to the proposed outreach activities outlined in the 
application's work plan. In addition, applicants must work with 
communities and local institutions, including neighborhood groups, 
local governments, and other appropriate community stakeholders, in 
applying these results to real-life urban problems.
    (1) Examples of outreach activities include, but are not limited 
to:
    (a) Assistance to communities to improve consolidated housing and 
community development plans and eliminate impediments to the design and 
implementation of such plans;
    (b) Innovative use of funds to provide direct technical expertise 
and assistance to local community groups, residents, and other 
appropriate community stakeholders to resolve local problems such as 
homelessness, housing discrimination, and impediments to fair housing 
choice;
    (c) 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;
    (d) Technical assistance to local public housing agencies on 
welfare-to-work initiatives and physical transformations of public or 
assisted housing, including development of accessible and visitable 
housing;
    (e) Job training and other training projects, such as workshops, 
seminars, and one-on-one and on-the-job training; and
    (f) Assistance to communities in eliminating or reducing excessive, 
unnecessary or duplicative regulations, processes or policies that 
restrict the development or rehabilitation of affordable housing (For 
further discussion of Regulatory Barriers see the General Section of 
this SuperNOFA).
    c. Funds for faculty development, including paying for course time 
or summer support, to enable faculty members to work with the COPC.
    d. Funds for stipends or salaries for students (but the program 
cannot cover tuition and fees) while students are working with the 
COPC.
    e. Up to 20 percent of the grant for payments of reasonable grant 
administrative costs related to planning and execution of the project 
(e.g., preparation/submission of HUD reports). Detailed explanations of 
these costs are provided in the Office of Management and Budget (OMB) 
circulars that can be accessed at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.
    f. Activities to carry out the ``Program Requirements'' as defined 
in this NOFA. These activities may include leases for

[[Page 27091]]

office space in which to house the Community Outreach Partnership 
Center, under the following conditions:
    (1) The lease must be for existing facilities not requiring 
rehabilitation or construction;
    (2) No repairs or renovations of the property may be undertaken 
with Federal funds; and
    (3) Properties in the Coastal Barrier Resource System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased with Federal funds.
    g. Components of the program may address metropolitan or regional 
strategies. Applicants must clearly demonstrate how:
    (1) Strategies are directly related to what the targeted 
neighborhoods and neighborhood-based organizations have decided is 
needed; and
    (2) Neighborhoods and neighborhood organizations are involved in 
both the development and implementation of the metropolitan or regional 
strategies.
2. Threshold Requirements Applicable to All Applicants
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked. Applications that do 
not meet these requirements will be considered ineligible for funding 
and will be disqualified: There will be two separate competitions, one 
for New Grants applicants and one for New Directions Grant applicants. 
For each type of grant applicants will be rated, ranked, and selected 
separately.
    a. The applicant must meet the eligibility requirements as defined 
in section III A Eligible Applicants.
    b. The maximum amount an applicant applying for a New Grant can 
request for award is $400,000. The maximum amount an applicant applying 
for a New Directions Grant can request for award is $200,000.
    c. Applicants must meet the program's statutory match requirement 
(the requirement is defined in section III.B Cost Sharing or Matching).
    d. New Grant applications must be multifaceted, address three or 
more urban problems, and propose at least one distinct activity to 
address each separate urban problem. Single purpose applications are 
not eligible.
    e. New Directions Grant applications must address two urban 
problems and undertake at least one activity for each of these 
problems. Applicants must also 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). Single purpose applications are not eligible.
    f. New Directions Grant applicants must have drawn down at least 75 
percent of the grant funds from any previous COPC award three weeks 
prior to the program's application due date to be eligible to apply for 
and receive a New Directions Grant. It is the applicant's 
responsibility to make sure that this requirement is met.
    g. Applicants who were a member of a consortium and received more 
than 25 percent of the earlier funding are not eligible to apply for a 
New Grant. However applicants may submit an application for a New 
Directions Grant (Applicants may submit an application individually or 
as part of the old consortium).
    h. Only one New Grant or New Directions application will be 
eligible for funding from an institution. However different campuses of 
the same university system are eligible to apply, even if one campus 
has already received COPC funding if they have an administrative and 
budgeting structure independent of other campuses in the system.
    i. Applicants may be part of only one consortium or submit only one 
application, or all applications will be disqualified. HUD will hold 
the applicant responsible for ensuring that neither the applicant nor 
any part of their institution, including specific faculty, participates 
in more than one application.
    j. Programs must operate in an urban area. The statute creating 
COPC is very specific that programs 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. Applicants cannot meet this test by 
aggregating several places smaller than the population threshold in 
order to meet this requirement. (However, because of the size of the 
grant and the three-year performance period, HUD encourages applicants 
to target activities in a minimum number of definable neighborhoods or 
communities.)
    k. In order to ensure that the primary focus of the proposed 
project is on outreach, there is a limit on the amount of money that 
can be budgeted for research costs for this program. No more than 25 
percent of the total project costs (federal share plus match) can be 
spent on research activities. However, applicants are not required to 
undertake any research as part of their project and may apply for a 
project that is totally outreach focused.
    l. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    m. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement).
3. Program Requirements
    In addition to the program requirements listed in the General 
Section of the SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program to New Grant applicants 
must be spent during a three-year (36 months) grant performance period. 
All funds awarded under this NOFA to New Directions grant applicants 
must be spent during a two-year (24 months) grant performance period.
    b. Employ the outreach and research resources of the institution of 
higher education to solve specific urban problems identified by 
communities served by the Center;
    c. Establish outreach activities in areas identified in the 
application as the communities to be served;
    d. 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;
    e. Coordinate outreach activities in communities to be served by 
the Center;
    f. Facilitate public service projects in the communities served by 
the Center;
    g. Act as a regional or local clearinghouse for dissemination of 
information;
    h. Develop instructional programs, convene conferences, and provide 
training for local community leaders, when appropriate;
    i. Exchange information with other Centers. The clearinghouse 
function described in section III Eligibility Information, refers to a 
local or regional clearinghouse for dissemination of information and is 
separate and distinct from this function, which relate to the provision 
of information to the University Partnerships Clearinghouse, which is 
the national clearinghouse for the program; and
    j. Grant funds will pay for activities conducted directly, rather 
than passing funds to other entities (in order for an application to be 
competitive, no more than 25 percent of the grant funds should be 
passed through to other entities).

[[Page 27092]]

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may request general information, copies of the General 
Section and Program Sections of the SuperNOFA from the NOFA Information 
Center 800-HUD-8929 or 800-HUD-2209 (TTY) between the hours of 9 a.m. 
and 8 p.m. (eastern time) Monday through Friday, except on Federal 
holidays. When requesting information, please refer to the Community 
Outreach Partnership Centers Program. Be sure to provide your name, 
address (including ZIP code), and telephone number (including area 
code). To ensure sufficient time to prepare an application, requests 
for copies of the NOFA can be made immediately following publication of 
the SuperNOFA. The NOFA Information Center opens for business 
simultaneously with the publication of HUD's 2004 NOFA.
    Applicants can also obtain information on the SuperNOFA and 
download applications through the HUD Web site, http://www.hud.gov.

B. Content and Form of Application Submission

    A complete application package must include an original signed 
application, three copies, and one computer disk of the application (in 
Word 6.0 or higher) of the items listed below. (The computer disk must 
include the narrative portion of the application, and all required 
forms. Forms can be downloaded from the Web site, http://www.hud.gov.) 
In order to recycle paper, applications must not be submitted in bound 
form; binder clips or loose-leaf binders are acceptable. Please do not 
use colored paper. Applications must be submitted on 8\1/2\ by 11-inch 
paper, double-spaced on one side of the paper, with one-inch margins 
(from top, bottom, left and right) and printed in a standard Times New 
Roman 12-point font. Each page must include the applicant's name and be 
numbered. Each section must be tabbed sequentially. The application 
narrative, including tables, and maps must not exceed 75 pages 
(excluding forms, budget narrative, assurances, commitment letters, 
memoranda of understanding, agreements and abstract). The double-
spacing requirement applies to the application narrative (excluding the 
abstract, tables, maps, budget narrative, commitment letters, memoranda 
of understanding, and agreements). Please note that although submitting 
pages in excess of the page limit will not disqualify an application, 
HUD will not consider the information on any excess page. This may 
result in a lower score or failure to meet a threshold requirement. 
Except where a particular form may direct otherwise, all forms included 
in an application, as well as the transmittal letter, must be signed by 
the Chief Executive Officer (this is generally the President or 
Provost) or an official authorized legally to make a commitment on 
behalf of the institution. If a designee signs, the application must 
contain a copy of the official designation of signatory authority.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form. Please remember the following:
    a. The full grant amount (New Grant applicants entire three-years 
and New Directions applicants entire two-years) should be entered, not 
the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and email address of the designated contact. This is the person 
who will receive the reviewers' comments; therefore, please ensure the 
accuracy of the information;
    c. The Employer Identification/Tax ID;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.511;
    f. The project's proposed start date and completion date. For the 
purpose of this application, the program start date should be October 
1, 2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. The letter should contain a statement that 
the institution is an eligible applicant because it is a two-or four-
year fully accredited institution. This letter should state the name of 
the accrediting agency, and that the accrediting agency is recognized 
by the U.S. Department of Education. Applicants may also use the 
transmittal letter as one way to demonstrate the President's commitment 
to the institutionalization of the program. The Chief Executive Officer 
(usually the President or Provost) of the institution must sign this 
letter. If the Chief Executive Officer has delegated this 
responsibility to another official, that person may sign, but a copy of 
the delegation must be included or clearly stated in the letter.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, applicants must 
indicate the page number where each of the items can be found in the 
application (see Appendix A).
    4. Abstract. Applicants must include no more than a two-page 
summary of the proposed project. Please include the following:
    a. A clear description of the proposed project activities, the 
target population that will be assisted, and the impact this project 
will have on the institution;
    b. The designated contact person, including phone number, facsimile 
number, and email address (this is the person who will receive the 
reviewers' comments; therefore, please ensure the accuracy of the 
information);
    c. University's name, department, mailing address, telephone 
number, facsimile number, and email address; and
    d. The principal investigator, if different from the designated 
contact person, for the project, including phone number, facsimile 
number, and email address.
    5. Narrative statement addressing the Factors for Award. HUD will 
use the narrative response to the ``Factors for Award'' to evaluate, 
rate, and rank applications. The statement and work plan are the main 
source of information. Applicants are advised to review each factor 
carefully for program specific requirements. The response to each 
factor should be concise and contain only information relevant to the 
factor, but detailed enough to address each factor fully. Please do not 
repeat material in response to the five factors; instead, focus on how 
well the proposal responds to each of the factors. In factors where 
there are subfactors, each subfactor must be presented separately, with 
the short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    6. Budget. The budget submission must be placed behind the 
narrative statement addressing the Factors for Award and include the 
flowing form:
    a. HUD-424-CB ``Grant Application Detailed Budget.'' This form 
shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately. Applicants must also submit 
this form to reflect the total cost for the entire grant performance 
period (Grand Total).
    Make sure that the amount shown on the SF-424, the budget form HUD-
424-

[[Page 27093]]

CB and all other required program forms is consistent and the budget 
totals are correct. Remember to check addition in totaling the 
categories on the HUD-424-CB form so that all items are included in the 
total. All forms must be completed in full. If an application is 
selected for award, the applicant may be required to provide greater 
specificity to the budget during grant agreement negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates for any line item, 
including match items, over $5,000. For example, a van rental, $150 per 
month x 36 months equals $5,400. The proposed cost estimates should be 
reasonable for the work to be performed and consistent with rates 
established for the level of expertise required to perform the work 
proposed in the geographical area. When necessary, quotes from various 
vendors or historical data should be used and included. When an 
applicant proposes to use a consultant, the applicant must indicate 
whether there is a formal agreement or written procurement policy. For 
each consultant, please provide the name, if known, hourly or daily 
rate, and the estimated time on the project. For equipment, applicants 
must provide a list by type and cost for each item and explain how it 
will be used. Applicants using contracts must provide an individual 
description and cost estimate for each contract.
    c. Indirect costs. Indirect costs, if applicable, are allowable 
based on an established approved indirect cost rate. Applicants should 
include a copy of their indirect cost rate agreement with their 
application. Applicants who are selected for funding that do not have 
an approved indirect cost rate agreement (established by the cognizant 
Federal agency, Certified Public Account, or auditor) will be required 
to establish a rate. In such cases, HUD will issue an award with a 
provisional rate and enter into an agreement to have one established.
    d. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in Federal financial assistance in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Additional information regarding this requirement at the 
following Web site: http://harvester.census.gov/sac.
    7. Match and Research Compliance. All applicants must include the 
following forms:
    a. HUD-30001, `` Community Outreach Partnership Centers Matching 
Requirements.'' This form should show how the match requirements have 
been met. Under each category, list the specific project activities. 
Only the dollar totals for research and outreach activities should be 
listed; costs by activity do not need to be listed. For the purpose of 
this form, administrative costs should be allocated between research 
and outreach activities, as appropriate. Applicants must provide 
letters, memoranda of understanding or agreements that show the extent 
and firmness of commitments of leveraged funds (including an 
applicant's own resources) in order for these resources to count. 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. Each letter must include the specific 
dollar amount and the use of the funds. If a dollar amount and use is 
not shown, the source cannot be counted toward the match requirement in 
Factor 4. This form is included in Appendix B.
    b. HUD-30002, ``Community Outreach Partnership Centers Breakdown of 
Outreach and Research Activities.'' This form is used to demonstrate 
that the applicant has not allocated more than 25 percent of the total 
budget (including federal and matching funds) to research activities. 
This form is included in Appendix B. For purposes of this form, all 
costs (including administrative costs) must be categorized or 
apportioned as either research or outreach, as appropriate.

    (Note: While indirect costs can count toward meeting the 
required match, they will not be used to calculate the match 
percentage above the match requirement. Only direct costs can count 
in this factor). Letters, memoranda of understanding, and agreements 
must be signed by an authorized representative of the funding 
source. If any matching sources are for more than one year, the 
commitment letter, memorandum of understanding, or agreement must 
state the number of years, the per year commitment, and the total 
commitment. Items eligible for program funding can be counted as 
match. Include matching documentation at the end of the narrative 
statement addressing the Factors for Award (see below) and note in 
this section a list of the letters that have been placed there.)

    c. HUD-30011 or HUD-30012, ``Verification of the Match.'' 
Applicants must include a multiple page worksheet (included in Appendix 
B) to determine if a sufficient match has been provided. This worksheet 
must be included in the application. Please note on this form by each 
commitment listed if the match is an inside or outside match 
commitment.
    8. Appendix. Applicants must place all letters of commitment, 
memoranda of understanding, and agreements for funds/resources in 
response to Factor 4 in this section. An applicant may not submit 
general support letters or resumes or other back-up materials (unless 
an applicant is willing to have the additional material count toward 
the page limit requirements).

C. Submission Dates and Times

    A complete application package is due on or before July 9, 2004.

D. Intergovernmental Review:

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    1. Activities such as, but not limited to, the following are 
ineligible for funding:
    a. Research activities that account for more than 25 percent of the 
total project cost (federal share plus match) and/or that have no clear 
and immediate practical application for solving urban problems or do 
not address specific problems in designated communities and 
neighborhoods or have any specific link to HUD programs.
    b. Any type of construction, rehabilitation, or other physical 
development costs.
    c. Costs used for routine operations and day-to-day administration 
of institutions of higher education, local governments, or neighborhood 
groups.
    2. Funding may only be provided to applicants that meet the 
standards for eligible applicants in section III.A.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse, c/o Danya International, 8737 Colesville 
Road, Suite 1200, Silver Spring, MD 20910. When submitting an 
application package, also please include the following information on 
the outside of the envelope:
    a. Office of University Partnerships;
    b. Community Outreach Partnerships Center Program;
    c. Applicant's name and mailing address (including ZIP code).
    Applicants must refer to the General Section of this SuperNOFA for 
detailed requirements governing application submission and receipt.

[[Page 27094]]

2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee) of the institution and can be downloaded 
from the HUD Web site at http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).
    b. Applicant Assurances and Certifications (HUD-424-B).
    c. Grant Application Detailed Budget (HUD-424-CB).
    d. Disclosure of Lobbying Activities (SF-LLL).
    e. America's Affordable Communities Initiative Removal of 
Regulatory Barriers (HUD-27300), if applicable.
    f. Applicant/Recipient Disclosure/Update Report (HUD-2880).
    g. Certification of Consistency with the Consolidated Plan (HUD-
2991).
    h. Certification of Consistency with the EZ/EC/RC Strategic Plan 
(HUD-2990). Must be signed by the certifying official of the EZ/EC/RC. 
The General Section of the SuperNOFA provides procedures and guidelines 
required to certify that proposed grant activities are being conducted 
in the EZ/EC/RC that serve the residents of these areas, and are 
certified to be consistent with the area's strategic plan.
    i. Program Logic Model (HUD-96010).
    j. Survey on Equal Opportunity (HUD-32004).
    k. Community Outreach Partnership Centers Matching Requirements 
(HUD-30001).
    l. Community Outreach Partnership Centers Breakdown of Outreach and 
Research Activities (HUD-30002).
    m. Verification of the Match (HUD-30011 or HUD-30012).
    n. Survey on Ensuring Equal Opportunity for Applicants (SF-424 
Supplement)
    o. Acknowledgment of Receipt of Application (HUD-2993). To confirm 
that HUD has received the application package, please complete this 
form. Applicants are not required to include this form, but it is 
recommended that an applicant do so.
    p. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help us to assess whether the changes have 
had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. Applicants are not 
required to complete this form.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 Points). This factor addresses the extent 
to which the institution 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:
    a. Knowledge and Experience For New Grant Applicants (20 Points); 
For New Directions Grant Applicants (10 Points). The knowledge and 
experience possessed by the proposed overall project director and 
staff, including the day-to-day program manager, consultants (including 
technical assistance providers), and contractors for planning and 
managing this kind of program. Experience will be judged in terms of 
recent and relevant knowledge and skills of the staff to undertake 
eligible program activities. HUD will consider experience within the 
last five years to be recent and experience pertaining to specific 
activities and producing specific accomplishments to be relevant. The 
more recent and substantial the experience of the staff, particularly 
the institution's own staff who will work on the project have in 
successfully conducting and completing similar activities, the higher 
the number of points an applicant can receive for this rating factor. 
The following areas will be evaluated:
    (1) Outreach activities in communities to solve or ameliorate 
significant urban issues;
    (2) Projects with community-based organizations or local 
governments;
    (3) Solving community problems that have a direct bearing on the 
proposed activities and that make a national contribution to solving 
long-term and immediate urban problems/issues; and
    (4) Research activities (if applicable) that have a practical 
application to significant urban issues.
    b. Past Performance (10 points). New Directions Grant Applicants 
Only. This subfactor will evaluate the extent to which an applicant has 
performed successfully under a previous COPC grant. Applicants must 
demonstrate this by providing the following information:
    (1) A detailed list outlining the achievement of specific 
measurable objectives and outcomes consistent with the approved 
timeline/work plan in the previously awarded grant; and
    (2) Comparison of proposed required match funds and resources in a 
previous grant with what was actually matched.
    2. Rating Factor 2: Need/Extent of the Problem (10 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed program activities and an indication of the urgency of meeting 
the need(s) in the target area. The need(s) described must be relevant 
to the activities for which funds are being requested. The proposal 
will be evaluated on the extent to which the level of need for the 
proposed activities and the importance of meeting the need(s) are 
documented.
    Applicants must use statistics or other analyses contained in at 
least one or more current data sources that are sound and reliable. 
Sources for localized data can be found at: http://www.ffiec.gov or 
http://www.econdatata.com. In rating this factor, HUD will consider 
data collected within the last five years to be current. To the extent 
that the targeted community's Five 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, applicants should include 
references to these documents in response to this factor. Other 
reliable sources of data include, but are not limited to, Census 
reports, HUD Continuum of Care gap analysis and its E-Map (To find 
additional information go to HUD's Web site: http://www.hud.gov/emaps), 
law enforcement agency crime reports, Public Housing Agencies' 
Comprehensive Plans, community needs analyses such as provided by the 
United Way, the applicant's institution, and other sound and reliable 
appropriate sources. Needs in terms of fulfilling court orders or 
consent decrees, settlements, conciliation agreements, and voluntary 
compliance agreements may also be addressed.
    The data used must be specific to the area where the proposed 
activities will be carried out. Needs must be documented as they apply 
to the area where the activities will be targeted (not the entire 
locality or state). Remember the statute creating COPC is very specific 
that the program addresses problems 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. (However, because of the size of 
the grant and the three-year period of performance, HUD encourages 
applicants to target activities in a minimum number of definable 
neighborhoods or communities.)
    3. Rating Factor 3: Soundness of Approach (40 Points). This factor 
addresses the quality and effectiveness of the proposed work plan. 
There must be a clear relationship between

[[Page 27095]]

proposed activities and community needs for an applicant to receive 
points for this factor. This factor will be evaluated based on the 
extent to which the proposed work plan demonstrates the following:
    a. Quality of Work Plan (25 Points).
    (1) Specific Services and/or Activities. The work plan must 
describe all proposed activities and major tasks required to 
successfully implement the proposed project. HUD will consider the 
probability of success of the program, the significance of the tasks 
identified, how realistic are the proposed time frames, and who will be 
responsible for completing each proposed activity. (Note: applicants 
are not required to undertake research as part of the grant.)
    (a) Describe a clear outreach agenda and demonstrate this by 
providing the following:
    (i) Identifiable outreach activities;
    (ii) Required tasks to be completed (in sequential order) for each 
proposed activity;
    (iii) Target completion date for each proposed task/activity to be 
successfully implemented (in six-month intervals); and
    (iv) The staff member, as described in Factor 1, who will be 
responsible and accountable for completing each task.
    (b) Describe how the project will:
    (i) Involve the institution as a whole (i.e., variety of academic 
disciplines and administrative offices);
    (ii) Provide for on-site or frequent presence in the target area; 
and
    (iii) Ensure proposed activities do not duplicate outreach 
activities by the institution or others for the target area previously 
completed or currently underway.
    (c) Applicants proposing research activities must describe a clear 
research agenda that applies the proposed research results directly to 
the proposed outreach activities and demonstrate this by providing the 
following:
    (i) Identifiable research activities and outcomes (e.g., reports, 
surveys, etc.);
    (ii) Required tasks to be completed (in sequential order) for each 
proposed activity;
    (iii) Time necessary for each proposed task/activity to be 
successfully implemented (in six-month intervals) and target completion 
date;
    (iv) The staff member, as described in Factor 1, who will be 
responsible for it and accountable for completing each task;
    (v) Ensure that the proposed research is tied to the proposed 
outreach agenda (e.g., a proposed study of the extent of housing 
abandonment in a neighborhood is followed by a plan for reusing this 
housing demonstrates a link between the proposed research and outreach 
strategies); and
    (vi) Describe how the research does not duplicate the research by 
the institution or others for the target area previously completed or 
currently underway. If similar research is underway, describe how the 
proposed research agenda would complement it.
    b. (5 Points) Community Involvement. The applicant must describe 
the extent to which it proposes to integrate the community as partners 
in the planning and implementation of proposed program activities. In 
reviewing this subfactor, HUD will look at the extent to which:
    (1) One or more Community Advisory Committees have been formed that 
represent the communities' diversity (including businesses, community 
groups, residents, and others) and will serve to develop and implement 
strategies to address the needs identified in Factor 2. In addressing 
this subfactor, applicants must demonstrate by providing evidence that 
such a committee(s) has been in place and what groups are represented, 
or that commitments have been secured from the appropriate persons to 
serve on a committee(s), rather than just describing generally the 
types of people whose involvement will be sought.
    (2) The committee and partners play an active role in all stages of 
the project and not serve as merely advisors or monitors.
    (3) The outreach agenda includes training projects for local 
community leaders to increase their capacity to direct their 
organizations or undertake various kinds of community development 
projects.
    c. (4 Points) Innovative Strategies or Best Practices. This 
subfactor will be evaluated based on the extent to which an applicant 
has the potential to yield strategies or best practices that can be 
replicated and disseminated to other organizations, including nonprofit 
organizations, and State and local governments. In reviewing this 
subfactor, HUD will assess the applicant's demonstrated ability to 
disseminate results of outreach and research activities to other COPCs 
and communities. In addition, to the scope and quality of the 
applicant's plan to disseminate information results, strategies, and 
lessons learned through such means as conferences, cross-site technical 
assistance, Web sites, publications, etc.
    d. (3 Points) Affirmatively Further Fair Housing. This subfactor 
will be evaluated on the extent to which an applicant describes how 
they propose to undertake activities designed to affirmatively further 
fair housing, for example:
    (1) 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;
    (2) 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
    (3) Providing housing mobility counseling services.
    e. (3 Points) HUD Policy Priorities. HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities that will help the Department 
achieve its goals and objectives in FY2005, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
addressing this subfactor, HUD will evaluate the extent to which a 
program will further and support HUD's priorities. The quality of the 
responses provided to one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority selected will be addressed. Applicants that just list a 
priority will receive no points.
    Each policy priority addressed has a point value of one point with 
the exception of the policy priority to remove regulatory barriers to 
affordable housing, which has a point value of up to 2 points. The 
total number of points available to applicants that address policy 
priorities is 3. It is up to the applicant to determine which of the 
policy priorities they elect to address to receive the available 3 
points. To receive points for efforts to remove regulatory barriers to 
affordable housing, an applicant must submit the completed 
questionnaire found in the General Section. (Form HUD-27300). For the 
full list and explanation of each policy priority, please refer to the 
General Section of this SuperNOFA.
    4. Rating Factor 4: Matching Resources and Institutionalization of 
Program (20 Points). This factor addresses the ability of the applicant 
to secure resources and make the program activities part of the 
institution's future mission. In evaluating this factor, HUD will 
consider the extent to which the applicant established partnerships 
with other entities (other than HUD) to secure additional resources to 
increase the effectiveness of the proposed program activities.

[[Page 27096]]

    a. (10 Points) Matching Resources. This subfactor addresses the 
applicant's ability to secure community resources combined with HUD's 
grant funds to achieve the program's purpose. Resources may include 
funding or in-kind contributions, such as services or equipment, 
allocated to the purpose(s) of the grant being sought. Resources may be 
provided by governmental entities, public or private nonprofit 
organizations, for-profit private organizations, or other entities 
willing to establish partnerships. Applicants may also establish 
partnerships with funding recipients in other grant programs to 
coordinate the use of resources in the target area. Please note that 
the value of the time of individuals serving on an applicant program 
advisory board cannot be counted as an in-kind contribution. Applicants 
may count overhead and other institutional costs (e.g., salaries, 
indirect costs, etc.) that the institution has waived. In evaluating 
this subfactor, HUD will allocate points as follows:
    (1) (5 Points) will be awarded for a match that is 25 percent over 
the required match, as described in section V, Application Review 
Information. Fewer points will be assigned depending on the extent of 
the match overage provided. Matching funds must be provided 
unconditionally in order to be counted for this subfactor.
    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 toward meeting the required match, they will not be used in 
calculating match overage. Only direct costs can count in this factor.
    (2) (5 Points) will be awarded for the extent to which applicant 
documents that matching funds are provided from eligible sources other 
than the 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 amount of 
the outside match.
    For each match, cash or in-kind contribution, a letter of 
commitment, memorandum of understanding, or agreement must be provided 
that shows the extent and firmness of the commitment of leveraged funds 
(including any commitment of resources from the applicant's own 
institution) in order for the resources to count in determining points 
under this factor. Resources will not be counted for which there is no 
commitment letter, memorandum of understanding, or agreement, nor 
quantified level of commitment. Letters, memoranda of understanding, or 
agreements must be submitted from the provider on the provider's 
letterhead and be included with the application package. (Applicants 
must place all letters, memoranda of understanding, or agreements in 
the Appendices.) The date of the letter, memorandum of understanding, 
or agreement from the CEO of the provider organization must be dated no 
earlier than the date of this published SuperNOFA. Applications that do 
not include evidence of matching will receive zero (0) points for this 
Factor and will be disqualified.
    a. A firm commitment letter, memorandum of understanding, or 
agreement must address the following:
    (1) The cash amount contributed or dollar value of the in-kind 
goods and/or services committed (If a dollar amount and use is not 
shown, the source cannot be counted toward the match requirement);
    (2) A specific description of how the match is to be used;
    (3) The date the match will be made available and a statement that 
describes the duration of the contribution. If any of the matching 
sources are for more than one year, the commitment letter, memorandum 
of understanding, or agreement must state the number of years, the per 
year commitment, and the total commitment. Without this statement, HUD 
will assume that the commitment is for only one year;
    (4) Any terms or conditions affecting the commitment, other than 
receipt of a HUD grant; and
    (5) The signature of the appropriate executive officer authorized 
to commit the funds and/or goods and/or services. Please remember that 
only items eligible for funding under this program can be considered as 
a match.
    b. (10 Points) Institutionalization. This subfactor looks at how 
the institution plans to make the COPC function and related activities 
a part of its urban mission and ensure funding in the future by sources 
other than HUD.
    (1) New Grant Applicants. In reviewing this subfactor for a New 
Grant, HUD will consider the extent to which the New Grant applicant 
addresses the institution's capacity and commitment to undertake 
outreach activities. HUD will evaluate the following:
    (a) COPC activities as they relate to the institution's urban 
mission;
    (b) Support and involvement of the institution's executive 
leadership (e.g., department chairs, deans, etc.) faculty, staff and 
students from across many disciplines in order to demonstrate the 
institution's commitment to these kinds of activities;
    (c) Commitment of the institution to establish a climate that 
rewards faculty and staff for work in COPC neighborhoods by including 
this work in decisions affecting rank, tenure, and promotion;
    (d) Benefit to students through the implementation of service 
learning programs or professional training at the institution that are 
reflected in the curriculum (rather than just volunteer activities);
    (e) Commitment to a formal organizational structure within the 
university related to outreach and community partnerships as reflected 
in the university's budget and planning documents of the university.
    (2) New Directions Applicants. In reviewing this subfactor for a 
New Directions Grant, HUD will consider the extent to which the New 
Directions applicant's proposed project will sustain the institutional 
capacity and commitment of the institution to undertake outreach 
activities. HUD will evaluate the following:
    (a) Increases in the number of faculty undertaking this kind of 
work;
    (b) Increases in the number of courses linked to outreach 
activities and the number of students taking these courses; and
    (c) Formal changes in institutional policies related to support of 
outreach.
    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. It measures the applicant's commitment 
to assess their performance to achieve the program's proposed 
objectives and goals. Applicants are required to develop an effective, 
quantifiable, outcome oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved.
    ``Outcomes'' are benefits accruing to institutions of higher 
education and/or communities during or after participation in the COPC 
program. Applicants must clearly identify the outcomes to be measured 
and achieved. Examples of outcomes are increased business start-up in 
the target community by a certain percentage, or increased family 
financial stability (e.g., increased assets to families and communities 
through the development of incubators).
    In addition, applicants must establish interim benchmarks and 
outputs that lead to the ultimate achievement of outcomes. ``Outputs'' 
are the direct products of the program's activities.

[[Page 27097]]

Examples of outputs are the number of new businesses developed, the 
number of students involved in service learning activities, the number 
of new courses an institution developed that focus on community 
outreach activities, the number of newly formed partnerships that aid 
in community capacity building. Outputs should produce outcomes for the 
program. At a minimum, an applicant must address the following 
activities in the evaluation plan:
    a. Specific time-phased short and long-term measurable objectives 
to be accomplished.
    b. Measurable impacts the grant will have on the community in 
general and the target area or population.
    c. The impact the grant will have on the long-term commitment of 
the university to the faculty and students to provide opportunities to 
continue this type of work.
    d. The impact the grant will have on assisting the university to 
obtain additional resources to continue this type of work at the end of 
the grant performance period.
    This information must be placed under this section on a HUD-96010 
Program Outcome Logic Model form. (Applicants may use as many copies of 
this form as required. It will not be included in the page count 
requirement). A narrative is not required; however, if a narrative is 
provided, those pages will be included in the page count. Additional 
information on this form and how to use it can be found in the General 
Section of this SuperNOFA.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in section V.A above.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels, which 
may include experts or consultants not currently employed by HUD. These 
individuals may be included to obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. In order to be funded, an applicant must 
receive a minimum score of 75 points out of a possible 100 points for 
Factors 1 through 5. In addition, two bonus points may be awarded for 
RC/EZ/EC, as described in the General Section of the SuperNOFA. 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 1, Capacity of the Applicant and Relevant Organizational 
Experience, shall be selected. HUD reserves the right to make 
selections out of rank order to provide for geographic distribution of 
grantees. In addition, HUD intends to fund at least two eligible COPC 
applications that serve Colonias (as defined in the General Section of 
this SuperNOFA). While it is not necessary for the institution to be 
located in a Colonia, all program activities must be directed to the 
Colonia and its residents. If less than two fundable applications are 
eligible for award these funds will be made available to award 
additional COPC grants. HUD also reserves the right to reduce the 
amount of funding requested in order to fund as many highly ranked 
applications as possible. Additionally, if funds remain after funding 
the highest ranked applications, HUD may fund part of the next highest-
ranking application. If an applicant turns 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, the 
remaining funds will be carried over to the next funding cycle 
competition.
4. Correction to Deficient Applications
    The General Section of the SuperNOFA provides the procedures for 
correction to deficient applications.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applications in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    Applicants are directed to Section III.C of the General Section of 
the SuperNOFA, which provides the statutory, regulatory, threshold, and 
public policy requirements applicable to all HUD grantees. The 
provisions of the HUD Reform Act of 1989 that apply to this NOFA are 
explained in the General Section of the SuperNOFA.
1. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for debriefings must be made in 
writing and submitted to: Armand Carriere; Office of University 
Partnerships, Robert C. Weaver Federal Building, 451 Seventh Street, 
SW., Room 8106, Washington, DC 20410-6000. Applicants may also write to 
Mr. Carriere via e-mail at [email protected].
2. Administrative
    Grants awarded under this NOFA 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). Applicants can access 
the OMB circulars at the White House Web site at: http://
www.whitehouse.gov/omb/circulars/index.html.
3. OMB Circulars and Governmentwide Regulations Applicable to Financial 
Assistance Programs
    The General Section of the SuperNOFA provides further discussion of 
OMB circulars and governmentwide regulation.
4. Conflicts of Interest
    See the General Section of the SuperNOFA for further discussion.
5. Recovered Materials
    The General Section of the SuperNOFA provides further discussion of 
the federal law governing the procurement of recovered materials.
6. Environmental Requirements
    In accordance with 24 CFR 50.19(b) of the HUD regulations, 
activities under the COPC program are categorically excluded from the 
requirements of the National Environment Policy Act and are not subject 
to environmental review under related laws and authorities.

[[Page 27098]]

C. Reporting

    All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two 
components, a narrative that must reflect the activities undertaken 
during the reporting period and a financial report that reflect costs 
incurred during the reporting period as well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, 
grant recipients must include a completed Logic Model (Form HUD-96010), 
which identifies output and outcome achievements.

VII. Agency Contacts

    Applicants may contact Kinnard Wright at (202) 708-3061, extension 
7495 or Susan Brunson, at (202) 708-3061, extension 3852. Persons with 
speech or hearing impairments may call the Federal Information Relay 
Service (TTY) at (800) 877-8339. Except for the ``800'' number, these 
numbers are not toll-free. Applicants may also reach Mr. Wright via e-
mail at [email protected], and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Information

    Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2506-0180. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 144 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
quarterly, semi-annual and final reports. The information will be used 
for grantee selection and monitoring the administration of funds. 
Response to this request for information is required in order to 
receive the benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27099]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.086


[[Page 27100]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.087


[[Page 27101]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.088


[[Page 27102]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.089


[[Page 27103]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.090


[[Page 27104]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.091


[[Page 27105]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.092


[[Page 27106]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.093


[[Page 27107]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.094


[[Page 27108]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.095


[[Page 27109]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.096


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27111]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.097


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27113]]



The Early Doctoral Student Research Grant Program and Doctoral 
Dissertation Research Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: The Early Doctoral Student Research 
Grant (EDSRG) Program and the Doctoral Dissertation Research Grant 
(DDRG) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for 
these programs is FR-4900-N-02. The OMB Approval Numbers for these 
programs are as follows:
    1. Early Doctoral Student Research Grant Program is 2528-0216.
    2. Doctoral Dissertation Research Grant Program is 2528-0213.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): The 
CFDA Numbers for these programs are as follows:
    1. Early Doctoral Student Research Grant Program is 14.517
    2. Doctoral Dissertation Research Grant Program is 14.516
    F. Dates: The application due date shall be on or before June 16, 
2004. Please see the General Section of the SuperNOFA for application 
submission, delivery and timely receipt requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of the University Partnership Dissertation Programs:
    a. Early Doctoral Student Research Grant (EDSRG) Program. The 
purpose of the EDSRG program is to enable doctoral students enrolled at 
accredited institutions of higher education recognized by the U.S. 
Department of Education to cultivate their research skills through the 
preparation of research manuscripts that focus on policy-relevant 
housing and urban development issues.
    b. Doctoral Dissertation Research Grant (DDRG) Program. The purpose 
of the DDRG program is to enable Ph.D. candidates enrolled at 
accredited institutions of higher education recognized by the U.S. 
Department of Education to complete their research and dissertations on 
policy-relevant housing and urban development issues.
    2. Award Information: Approximately $550,000 in Fiscal Year (FY) 
2004 appropriations is available for the following Office of University 
Partnerships (OUP) dissertation programs.
    a. Early Doctoral Student Research Grant Program--Approximately 
$150,000 is available for funding under this program. The maximum grant 
period is 12 months. The performance period will commence on the 
effective date of the grant agreement. The maximum amount that can be 
requested by a doctoral student for award is $15,000.
    b. Doctoral Dissertation Research Grant Program--Approximately 
$400,000 is available for funding under this program. The maximum grant 
period is 24 months. The performance period will commence on the 
effective date of the grant agreements. The maximum amount that can be 
requested by a doctoral student for award is $25,000.
    3. Eligible Applicants:
    a. Early Doctoral Student Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    (1) Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled, as a full-time student in an accredited 
doctoral program at an accredited institution of higher education 
recognized by the U.S. Department of Education;
    (2) Have a major or concentration within a field related to housing 
and urban development;
    (3) Have not taken the preliminary/comprehensive examinations;
    (4) Completed at least two semesters or three terms of a doctoral 
studies program (depending on the course structure of the institution);
    (5) Have an assigned faculty advisor to supervise the research 
manuscript (provide the advisor's name, address, phone number, 
facsimile number, and e-mail address);
    (6) Submit support letter from the assigned faculty advisor of the 
doctoral student's department that confirms the student meets all of 
the conditions above and that the proposed research manuscript can be 
completed within the one-year grant period; and
    (7) Provide a support letter from the institution that includes in 
detail the type of support the university is providing. Such support 
may include tuition waivers, office space, computer time, assumption of 
indirect costs, or similar items the doctoral student might need in 
order to complete the required product. This support may not replace 
support or assistance the institution would otherwise provide to the 
student.
    b. Doctoral Dissertation Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    (1) Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled and matriculated who has been accepted 
into candidacy in an accredited doctoral program at an accredited 
institution of higher education recognized by the U.S. Department of 
Education;
    (2) Developed an approved dissertation proposal;
    (3) Provide documentation from the dissertation committee 
chairperson that states the feasibility of the likelihood of the 
following:
    (a) By the application due date, the student's dissertation 
proposal will be accepted by the full dissertation committee;
    (b) The student will have an assigned dissertation advisor (provide 
the advisor's name, address, phone number, facsimile number, and e-mail 
address);
    (c) By September 1, 2004, the student will have satisfactorily 
completed all other written and oral Ph.D. requirements, including all 
examinations and defense of the proposal, except the dissertation; and
    (d) The proposed dissertation can be prepared and delivered within 
the two-year grant period.
    (4) Provide a support letter from the institution that includes in 
detail the type of support the university is providing. Such support 
might include tuition waivers, office space, computer time, assumption 
of indirect costs, or similar items the student might need in order to 
complete the required product. This support may not replace support or 
assistance the institution would otherwise provide to the student.

Full Text of Announcement

I. Funding Opportunity Description

A. Early Doctoral Student Research Grant (EDSRG) Program

    The purpose of the EDSRG program is to enable doctoral students 
enrolled at an accredited institution of higher education recognized by 
the U.S. Department of Education to cultivate their research skills 
through the preparation of research manuscripts that focus on policy-
relevant housing and urban development issues. The FY2004 EDSRG program 
seeks to fund research studies that may impact federal problem solving 
and policymaking and that are relevant to HUD's policy priorities and 
annual goals and objectives (see the General Section of the SuperNOFA 
for discussion of these priorities and annual goals and objectives).

[[Page 27114]]

B. Doctoral Dissertation Research Grant (DDRG) Program

    The purpose of the DDRG program is to enable Ph.D. candidates 
enrolled at accredited institution of higher education recognized by 
the U.S. Department of Education to complete their research and 
dissertations on policy-relevant housing and urban development issues. 
The FY2004 DDRG program seeks to fund research studies that may impact 
federal problem solving and policymaking and that are relevant to HUD's 
policy priorities and annual goals and objectives (see the General 
Section of the SuperNOFA for discussion of these priorities and annual 
goals and objectives).

C. Topics

    Examples of topics addressing these issues (applicable to both the 
EDSRG and DDRG programs) include but are not limited to:
1. Increase Homeownership Opportunities
    a. Increase Minority Homeownership.
    b. Simplify the Home Buying Process (RESPA reform) and Reduce 
Settlement Costs.
    c. Set Appropriate Housing Goals for the GSEs.
    d. Counter Predatory Lending.
    e. Help Low-Income Homeowners Avoid Default and Foreclosure.
    f. Evaluate Housing Counseling.
2. Promote Decent Affordable Housing
    a. Reduce Regulatory Barriers to the Development of Affordable 
Housing, as well as All Forms of Multifamily Housing.
    b. Develop Creative Strategies for Expanding the Availability of 
Affordable Housing.
    c. Strengthen the Delivery of HUD-Funded Rental Assistance and 
Assistance Provided Through the Low-Income Housing Tax Credit.
    d. Promote Self-Sufficiency Among Residents of Public and Assisted 
Housing.
    e. Meet the Housing-Related Needs of the Elderly.
    f. Meet the Housing-Related Needs of Persons with Disabilities.
    g. Improve Housing Quality and Affordability through Technology and 
Design.
3. Strengthen Communities
    a. End Chronic Homelessness.
    b. Prevent Homelessness.
    c. Strengthen Cities.
    d. Meet the Housing and Community and Economic Development Needs of 
Residents of High-Needs Areas, including the Colonias, Appalachia, the 
Mississippi Delta, and Indian Country.
4. Ensure Equal Opportunity In Housing
    a. Reduce Housing Discrimination.
    b. Improve Housing Accessibility for Persons with Disabilities.
5. Embrace High Standards Of Ethics, Management, And Accountability
    a. Reduce Fraud, Waste, and Abuse in HUD-Funded Programs.
    b. Improve the Effectiveness of HUD Programs Through Program 
Evaluations.
6. Promote Participation Of Faith-Based And Community Organizations
    a. Strengthen the Capacity of Faith-Based and Community 
Organizations.

D. Authority

    HUD's authority for making funding available under this NOFA is the 
Consolidated Appropriations Act, 2004 (Pub. L. 108-199, January 23, 
2004, Stat. 3). These programs are being undertaken under HUD's 
research authority under Title V of the Housing and Urban Development 
Act of 1970. They are being implemented through this NOFA and the 
policies governing their operation are contained herein.

II. Award Information

    Approximately $550,000 in FY2004 appropriations is available for 
the Office of University Partnerships (OUP) dissertation programs as 
follows:

A. Early Doctoral Student Research Grant Program

    Approximately $150,000 will be made available for funding under 
this program. The maximum grant period is 12 months. The performance 
period will commence on the effective date of the grant agreement. The 
maximum amount that can be requested by a doctoral student for award is 
$15,000.

B. Doctoral Dissertation Research Grant Program

    Approximately $400,000 will be made available for funding under 
this program. The maximum grant period is 24 months. The performance 
period will commence on the effective date of the grant agreements. The 
maximum amount that can be requested by a doctoral student for award is 
$25,000.

III. Eligibility Information

A. Eligible Applicants

    1. Early Doctoral Student Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    a. Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled, as a full-time student in an accredited 
doctoral program at an accredited institution of higher education 
recognized by the U.S. Department of Education;
    b. Have not taken the preliminary/comprehensive examinations;
    c. Completed at least two semesters or three terms of a doctoral 
studies program (depending on the course structure of the institution);
    d. Have an assigned faculty advisor to supervise the research 
manuscript (provide the advisor's name, address, phone number, 
facsimile number, and e-mail address);
    e. Submit support letter from the assigned faculty advisor of the 
doctoral student that confirms the student meets all of the conditions 
above and that the proposed research manuscript can be completed within 
the one-year grant period; and
    f. Provide a support letter from the institution that includes in 
detail the type of support the university is providing. Such support 
might include tuition waivers, office space, computer time, assumption 
of indirect costs, or similar items the doctoral student might need in 
order to complete the required product. This support may not replace 
support or assistance the institution would otherwise provide to the 
student.
    2. Doctoral Dissertation Research Grant Program. Doctoral students 
applying for funding under this program must meet the following 
requirements:
    a. Be a U.S. citizen or lawful permanent resident (recipient of an 
Alien Registration Recipient Card-Form I-551, commonly referred to as a 
Green Card) currently enrolled and matriculated and who has been 
accepted into candidacy in an accredited doctoral program at an 
accredited institution of higher education recognized by the U.S. 
Department of Education;
    b. Developed an approved dissertation proposal;
    c. Provide letter from the dissertation committee chairperson that 
confirms the following:
    (1) By the application due date, the student's dissertation 
proposal has been accepted by the full dissertation committee and the 
student has been assigned a dissertation advisor (provide the advisor's 
name, address, phone number, facsimile number, and e-mail address);
    (2) By September 1, 2004, the student will have satisfactorily 
completed all other written and oral Ph.D. requirements, including all 
examinations and defense of the proposal, except the dissertation; and

[[Page 27115]]

    (3) The proposed dissertation can be prepared and delivered within 
the two-year grant period.
    d. Provide a support letter from the institution that includes in 
detail the type of support the university is providing. Such support 
might include tuition waivers, office space, computer time, assumption 
of indirect costs, or similar items the student might need in order to 
complete the required product. This support may not replace support or 
assistance the institution would otherwise provide to the student.

B. Cost Sharing or Matching

    None Required

C. Other

1. Eligible Activities
    Grant funds awarded for programs in this NOFA must be used to 
support direct costs incurred in the timely completion of the research 
product. Eligible costs include stipends, computer software, purchase 
of data, travel expenses to collect data, transcription services, and 
compensation for interviews.
2. Threshold Requirements Applicable to All Applicants
    All applicants must comply with the applicable threshold 
requirements as defined in the General Section of the SuperNOFA and the 
requirements listed below to be evaluated, rated, and ranked. 
Applications that do not meet these requirements will be considered 
ineligible for funding and will be disqualified.
    a. The doctoral student must meet the eligibility requirement for 
the program for which they are requesting funding as defined in section 
III.A, Eligible Applicants;
    b. 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 doctoral student, 
and that further provides all required certifications and assurances. 
The university shall agree to provide as the Principal Investigator 
under the Grant Agreement a faculty advisor or chairperson of the 
doctoral student's dissertation committee who shall supervise the 
student's work under the Grant Agreement;
    c. The student has provided a letter from the faculty advisor or 
chairperson of the doctoral student's dissertation committee confirming 
the applicant is eligible as outlined in section III A, Eligible 
Applicants above;
    d. The student's institution has provided a letter agreeing to 
provide support and outlines the specific type of support they will 
provide as part of this grant as defined in section III A, Eligible 
Applicants above;
    e. The student has requested no more funding than the grant maximum 
allocated as outlined in section II, Award Information;
    f. Only one application package can be submitted per doctoral 
student.
    g. Applicants must receive a minimum score of 75 points to be 
considered for funding; and
    h. An applicant must have a DUNS number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement).

IV. Application and Submission Information

A. Addresses to Request Application Package

    Applicants may request general information, copies of the General 
Section and Program Sections of the SuperNOFA from the NOFA Information 
Center (800-HUD-8929 or 800-HUD-2209 (TTY) between the hours of 9 a.m. 
and 8 p.m. (eastern time) Monday through Friday, except on Federal 
holidays. When requesting information, please refer to the OUP Doctoral 
Programs. Be sure to provide your name, address (including zip code), 
and telephone number (including area code). To ensure sufficient time 
to prepare an application, requests for copies of the NOFA can be made 
immediately following publication of the SuperNOFA. The NOFA 
Information Center opens for business simultaneously with the 
publication of HUD's 2004 NOFA. Applicants can also obtain information 
on the SuperNOFA and download applications through the HUD Web site, 
http://www.hud.gov or OUP's Web site at http://www.oup.org.

B. Content and Form of Application Submission

    A complete application package must include an original signed 
application, three copies, and one computer disk (in Word 6.0 or 
higher) of the items listed below. (The computer disk must include the 
narrative portion of the application, and all required forms. Forms can 
be downloaded from the following Web site, http://www.hud.gov). In 
order to recycle paper, doctoral students must not submit applications 
in bound form; binder clips or loose-leaf binders are acceptable. 
Please do not use colored paper. The application narrative, 
bibliographies, and any supporting references must not exceed 20 pages 
in length (excluding forms, assurances, Table of Contents, Executive 
Summary, agreements, and letters) and must be submitted on 8\1/2\ by 
11-inch paper, double-spaced on one side of the paper, with one inch 
margins (from the top, bottom, left, and right side of the document) 
and printed in standard Times New Roman 12-point font. Each page must 
be numbered, section tabbed, and the name of the student and university 
on each page. The double-spacing requirement applies to all parts of an 
application, excluding references, bibliographies, agreements, and 
letters. Please note that although submitting pages in excess of the 
page limit will not disqualify the application, HUD will not consider 
the information on any excess pages. Except where a particular form may 
direct otherwise, all forms included in an application must be signed 
by the Chief Executive Officer (this is generally the President or 
Provost) or an official authorized legally to make a binding commitment 
on behalf of the institution. This may result in a lower score or 
failure to meet a threshold requirement.
    Please include in your application each item in the order listed 
below:
    1. SF-424, Application for Federal Assistance. Instructions for 
completing this form are found on the back of the first page of the 
form and/or refer to the General Section of the SuperNOFA. Please 
remember the following:
    a. The name of the applicant for these programs is the University. 
Please make sure that the University's address is listed on this form 
(not the students information);
    b. Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact person. This is 
the University contact that will receive all information pertinent to 
this grant;
    c. The total grant amount requested;
    d. The University's Employer Identification/Tax ID;
    e. The DUNS Number;
    f. The Catalog of Federal Domestic Assistance Number for the 
program from which you are requesting funding; and
    (1) Early Doctoral Student Research Grant Program is 14.517
    (2) Doctoral Dissertation Research Grant Program is 14.516.
    Please remember that this form should reflect the University as the 
applicant and should be signed by an authorized official (an individual 
who has the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. This letter is from the student and must 
contain the following information:

[[Page 27116]]

    a. Student's home address, telephone number, and e-mail address;
    b. Student's address, telephone number, facsimile number, and e-
mail address at the university;
    c. University's department, mailing address, telephone and 
facsimile numbers; and
    d. The faculty/chairperson advisor's name, title, department, 
address, telephone number, facsimile number, and e-mail address. This 
must be the person who will serve as the Principal Investigator for the 
grant.
    3. Table of Contents.
    4. Application Checklist. Students must include the completed 
checklist in their application. On the checklist, indicate the page 
number where each of the items listed can be found in the application 
(see Appendix A).
    5. Executive Summary (500 words or less). The Executive Summary 
should, at a minimum, include a summary of the proposed research 
project that addresses the following information:
    a. Specific purpose of the manuscript/dissertation;
    b. Methodology being used; and
    c. How the student meets the eligibility criteria for the program 
from which she/he is requesting funding.
    6. Narrative statement responding to the Factors for Award. HUD 
will use the narrative response to the ``Factors for Award'' to 
evaluate, rate, and rank applications. This statement is the main 
source of information. Therefore, it is very important that the student 
becomes fully familiar with the rating factors for the program from 
which he/she is requesting funding. The narrative should be numbered in 
accordance with each factor and subfactor. Please do not repeat 
material response to the four factors; instead focus on how well the 
proposal responds to each of the factors. Make sure to address each 
factor and subfactor and provide sufficient information about every 
element.
    7. Faculty Advisor/Dissertation Advisor Support Letter. This letter 
must provide a statement from the doctoral student's department 
chairperson verifying the doctoral student has met all the eligibility 
criteria described in section III.A, Eligible Applicant.
    8. University Support Letter. This letter must provide a statement 
from the appropriate official at the university that describes in 
detail the type of support the University will be providing, as 
described in section III.A, Eligible Applicant. Please remember that 
this support may not replace support or assistance that the institution 
would otherwise provide the student.
    9. Budget. The budget submission must be placed behind the 
narrative statement addressing the ``Factors for Award'' and include 
the following form:
    a. HUD-424-CB, ``Grant Application Detailed Budget.'' This budget 
form shows the total budget by year and by line item for the program 
activities to be carried out with the proposed HUD grant. Each year of 
the program should be presented separately.
    Make sure that the amount shown on the SF-424, the HUD-424-CB form 
and on all other required program forms is consistent and the budget 
totals are correct. Remember to check addition in totaling the 
categories on the forms and that that all items are included in the 
total. If this correction puts an application over the grant maximum, 
the applicant will not be able to correct the amount requested and the 
application will be disqualified. The budget form must be completed in 
full. If an application is selected for award, the applicant may be 
required to provide greater specificity to the budget during grant 
agreement negotiations.
    b. Budget Narrative. A narrative must be submitted that explains 
how the applicant arrived at the cost estimates. The proposed cost 
estimates should be reasonable for the work to be performed and 
consistent with rates established for the level of expertise required 
to perform the work proposed.

C. Submission Dates and Times

    A complete application package is due on or before June 16, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery and timely receipt requirements.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    1. Grant funds awarded for programs under this NOFA may not be used 
to pay for tuition, computer hardware, or meals.
    2. Early Doctoral Student Research Grant (EDSRG) Program--Three 
thousand dollars of the grant funds will be held until the doctoral 
student's research manuscript has been completed and accepted for 
presentation at a conference or publication in a refereed journal by 
the end of the grant period, or a committee of three faculty members 
(including the 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 and 
two copies of the research product are submitted to HUD in its final 
version.
    3. Doctoral Dissertation Research Grant (DDRG) Program--Six 
thousand dollars of the grant funds will be held until the doctoral 
student's dissertation has been completed, approved by the committee, 
and two final copies are submitted to HUD in its final version.
    4. Institutions that have had previously awarded grants under these 
programs terminated for non-performance and have outstanding funds owed 
to HUD resulting from the termination will be excluded from competition 
until the outstanding funds are repaid. (Applicants must comply with 
the Delinquent Federal Debt Requirement as defined in the General 
Section of the SuperNOFA.)

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse, c/o Danya International, 8737 Colesville 
Road, Suite 1200, Silver Spring, MD 20910. When submitting an 
application package, indicate the following information on the outside 
of the envelope:
    a. Office of University Partnerships;
    b. Name of the program under which funding is being requested; and
    c. Applicant's name and mailing address (including zip code).
    Applicants must refer to the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee, not the student) of the institution and 
can be downloaded from the HUD Web site at http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).
    b. Grant Application Detailed Budget (HUD-424-CB).
    c. Applicant Assurances and Certification (HUD-424B) (if 
applicable).
    d. Disclosure of Lobbying Activities (SF-LLL) (if applicable).
    e. Acknowledgment of Receipt of Applications (HUD-2993). To confirm 
that HUD received the student's application, please complete this form. 
Applicants are not required to include this form, but it is recommended 
that an applicant do so.
    f. Client Comments and Suggestions (HUD-2994). This form is 
included so

[[Page 27117]]

that we can solicit information from the most valuable source-the 
student, or customers. If the student completes and submits this form, 
it will help HUD to assess whether the changes made to this document 
have had the intended results. It will also guide us in our continuing 
efforts to improve the competitive grant process. This form is optional 
and can be completed by the student.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity to do the Research (20 Points). In 
reviewing this factor, HUD will determine the extent to which:
    a. The student's skills and experience are relevant to the proposed 
research manuscript/dissertation (e.g., course work, teaching, research 
projects, and presentations);
    b. The student provides a research outline that identifies the 
preliminary steps that have been undertaken (e.g., literature review, 
research hypotheses, questions to be answered) to produce the proposed 
manuscript/dissertation; and
    c. For Early Doctoral Program Applicants only; The proposed 
research will help to further the student's research skills (i.e., it 
is relevant to the kind of projects the student will continue to work 
on as she/he earns his/her Ph.D.).
    d. For Doctoral Dissertation Research Applicants only; The doctoral 
student's previous research experience (e.g., graduate-level research 
projects, presentations at conferences, publications, etc.) is relevant 
to and supportive of the proposed dissertation.
    2. Rating Factor 2: Need for the Research (35 Points). In reviewing 
this factor, HUD will determine the extent to which the research 
manuscript/dissertation will produce policy-relevant information that 
is directly related to HUD's research priorities and/or annual goals 
and objectives as defined in the General Section of the SuperNOFA 
(i.e., the research that will be produced could have an effect on HUD's 
strategic goals and programs and policies to achieve these goals). The 
more direct the relationship is between the doctoral student's 
manuscript/dissertation and one of these topics, the higher number of 
points awarded. 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.
    3. Rating Factor 3: Soundness of Approach (35 Points). This factor 
addresses the quality and effectiveness of the proposed research and 
methodology and the actions regarding HUD's policy priorities. This 
factor will be evaluated based on the extent to which the proposed work 
plan will demonstrate the following:
    a. Quality of Research (33 Points). (1) The research design and 
methodology proposed is likely to produce data and information that 
will successfully answer the research hypothesis; and
    (2) The methodology proposed is sound and generally accepted by the 
relevant research community and is in line with research already 
completed or existing publications in the field as they relate to the 
scholarly standard for the research questions.
    b. (2 Points) HUD Policy Priorities. An important purpose of these 
programs is to fund research that may impact federal problem solving 
and policymaking and is relevant to HUD's policy priorities and annual 
goals and objectives. (See General Section of the SuperNOFA for further 
discussion.) HUD encourages applicants to undertake research that will 
assist the Department in implementing its policy priorities and which 
help the Department achieve its goals and objectives in FY2005. In 
addressing this factor, HUD will evaluate the extent to which the 
research will further and support HUD's priorities. The quality of an 
applicant's response to one or more of HUD's priorities will determine 
the score an applicant can receive. Applicants must describe how each 
policy priority selected will be addressed. Applicants that just list a 
priority will receive no points. Each policy priority addressed has a 
point value of one point with the exception of the policy priority to 
remove regulatory barriers to affordable housing, which has a point 
value of up to 2 points. The total number of points available to 
applicants that address policy priorities is 2. It is up to the 
applicant to determine which of the policy priorities they elect to 
address to receive the available 2 points. To receive points for 
efforts to remove regulatory barriers to affordable housing, an 
applicant must submit the completed questionnaire found in the General 
Section (Form HUD-27300). For the full list and explanation of each 
policy priority, please refer to the General Section of this SuperNOFA.
    4. Rating Factor 4: Issuance of the Research Product (10 Points). 
In reviewing this factor, HUD will determine the following:
    a. For Early Doctoral Program Applicants only. The extent to which 
the proposed research manuscript will be completed within the grant 
performance period and be suitable for presentation at a conference or 
publication in a refereed journal.
    b. For Doctoral Dissertation Program Applicant only. The extent to 
which the proposed research can feasibly be prepared and delivered to 
HUD by the end of the grant period.
    c. Applicants must demonstrate the feasibility of completing their 
research within the grant performance period by providing the following 
information:
    (1) Major tasks involved in completing the proposed research;
    (2) Indicate the sequence in which these tasks will be performed; 
and
    (3) Identify any key individuals responsible for carrying out any 
proposed activities.
    The sequence and duration of this effort should be presented in 
quarterly (3 month) intervals for the entire life of the grant (use of 
a milestone chart to present this information is recommended).
    (4) Efforts on the part of the doctoral student who proposes 
extremely complex and time-consuming data collection efforts (e.g., 
major longitudinal studies or a very large number of site visits within 
the grant period) will be determined less feasible for completion 
within the allotted grant period. For example, if the proposed 
methodology is 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 allotted grant 
period, zero points will be awarded for this factor.
    (5) HUD will also evaluate the student's plan to disseminate the 
research through other means (e.g., seminars, university publications, 
or relevant Internet listserves).

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted:
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review for all applications that pass the threshold 
review to rate and rank the application based on the ``Factors for 
Award'' listed in Section V.A above. Only those applications that pass 
the threshold review will receive a technical review and be rated and 
ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels which may 
include experts or consultants not

[[Page 27118]]

currently employed by HUD. These individuals may be included to obtain 
certain expertise.
3. Ranking
    In order to be funded, an application must receive a minimum score 
of 75 points. HUD will fund applications under each program in rank 
order, until all available program funds are awarded. If two or more 
applications have the same number of points, the application with the 
higher points for Factor 1, Capacity to do the Research, shall be 
selected. If there is still a tie, the application with the higher 
points for Factor 2, Need for the Research, shall be selected. HUD 
reserves the right to reduce the amount of funding requested in order 
to fund as many highly ranked applications as possible. Additionally, 
if funds remain after funding the highest ranked applications, HUD may 
fund part of the next highest-ranking application. If an applicant 
turns down the award offer, HUD will make the same determination for 
the next highest-ranking application. The RC/EZ/EC bonus points 
described in the General Section of the SuperNOFA do not apply to this 
NOFA.

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notices

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA.
    1. Environmental Requirements. The provision of assistance under 
these programs 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 24 CFR 50.19(b)(1) and (b)(9).
    2. Administrative. Applicants must comply with the requirements for 
funding competitions established by the HUD Reform Act of 1989 (42 
U.S.C. 3531 et seq.) as defined in the General Section of the 
SuperNOFA.
    3. Debriefing. The General Section of the SuperNOFA provides the 
procedures for requesting a debriefing. All requests for debriefings 
must be made in writing and submitted to Armand Carriere, Office of 
University Partnerships, Robert C. Weaver Federal Building, 451 Seventh 
Street, SW., Room 8106, Washington, DC 20410. Applicants may also write 
to Mr. Carriere via e-mail at [email protected].

C. Reporting Requirements

    All recipients of grant funds for programs in this NOFA are 
required to submit a report, halfway through the grant period, on the 
progress to date that has been made toward completion of the research 
product and the likelihood that it will be completed on time.
    For each reporting period, as part of the required report to HUD, a 
grant recipient must include a completed Logic Model (Form HUD-96010), 
which identifies output and outcome achievements.

VII. Agency Contacts

    Doctoral students may contact Armand Carriere, Office of University 
Partnerships at (202) 708-3061, extension 3181 or Susan Brunson at 
(202) 708-3061, extension 3852. Persons with speech or hearing 
impairments may call the Federal Information Relay Service TTY at 800-
877-8339. Except for the ``800'' number, these telephone numbers are 
not toll-free. Students may also reach Mr. Carriere via the Internet at 
[email protected] and/or Ms. Brunson at Susan--S.--
[email protected].

VIII. Other Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0216 (for the Early Doctoral Student Research 
Grant Program) and 2528-0213 (for the Doctoral Dissertation Research 
Grant Program). In accordance with the Paperwork Reduction Act, HUD may 
not conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burden for the collection of 
information is estimated to average 44 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27119]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.098


[[Page 27120]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.099


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27121]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.100


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27123]]



The Community Development Work Study Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Policy Development and Research, Office of 
University Partnerships.
    B. Funding Opportunity Title: The Community Development Work Study 
program (CDWSP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is FR-
4900-N-03. The OMB approval number for this program is 2528-0175.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The CFDA 
Number for this program is 14.512.
    F. Dates: The application due date is June 16, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program: The Community Development Work Study 
Program (CDWSP) funds two-year grants to accredited institutions of 
higher education, Area Planning Organizations (APOs), and states 
applying on behalf of institutions of higher education to provide 
assistance to economically disadvantaged and minority graduate students 
who participate in a community development work study program. Students 
must be U.S. citizens or lawful permanent residents (recipient of an 
Alien Registration Recipient Card--Form I-551, commonly referred to as 
a Green Card) and enrolled full-time in a graduate community building 
academic degree program. Grants will cover the academic period August 
2004 through August 2006.
    2. Award Information: In Fiscal Year (FY) 2004, approximately $2.98 
million has been appropriated by the Consolidated Appropriations Act, 
2004 (Pub. L. 108-199, approved January 23, 2004, 118 Stat. 3) for this 
program. In addition, $378,844 in previously unexpended funds is made 
available for this program. The grant performance period is two years 
(24 months). The performance period will commence on the effective date 
of the grant agreement. Institutions may request no more than $15,000 
per year per student for a total of $30,000 for a two-year (24 months) 
grant performance period. The minimum number of students that can be 
assisted under this program per participating institution is three. The 
maximum number of students that can be assisted under this program per 
participating institution is five. The maximum amount an institution 
can request for funding is $150,000.
    3. Eligible Applicants: Organizations are eligible if they are:
    a. An accredited institution of higher education recognized by the 
U.S. Department of Education that offers a graduate degree in a 
community development academic program;
    b. An APO applying on behalf of two or more eligible accredited 
institutions of higher education recognized by the U.S. Department of 
Education that offer a graduate degree in a community development 
academic program and that are located in the same Standard Metropolitan 
Statistical Area (SMSA) or non-SMSA as the APO (in accordance with the 
regulations at 24 CFR 570.415, institutions of higher education are 
permitted to choose whether to apply independently or through an APO); 
or
    c. A State applying on behalf of two or more eligible accredited 
institutions of higher education recognized by the U.S. Department of 
Education that offer a graduate degree in a community development 
academic program and that are located in the State. If a State is 
approved for funding, accredited institutions of higher education 
located in that State may not apply independently.

Full Text of Announcement

I. Funding Opportunity Description

    The Community Development Work Study Program (CDWSP) funds two-year 
grants to accredited institutions of higher education, Area Planning 
Organizations (APOs), and states applying on behalf of institutions of 
higher education to provide assistance to economically disadvantaged 
and minority graduate students who participate in a community 
development work study program.
    A. Listed below are major modifications to the Fiscal Year (FY) 
2003 program-funding announcement:
    1. This program has a separate NOFA and is no longer a part of the 
combined Office of Universities Partnership Program NOFA.
    2. All institutions are eligible to apply for these funds 
(including those that have received funding in prior years).
    3. Applicants that have graduate degree programs in community 
organizing are now eligible to apply for funding under this program.
    4. Applications must be submitted to: University Partnerships 
Clearinghouse; c/o Danya International, 8737 Colesville Road, Suite 
1200, Silver Spring, MD 20910.
    5. An applicant can request less than $90,000 for the two-year 
grant performance period, as long as three (the minimum number) 
students are being assisted per participating institution.
    B. HUD's authority for making funding available under this NOFA is 
section 107(c) of the Housing and Community Development Act of 1974 (42 
U.S.C. 5301 et seq.). Regulations for the program appear at 24 CFR 
570.415.

II. Award Information

    In Fiscal Year (FY) 2004, approximately $2.98 million has been 
appropriated by the Consolidated Appropriations Act, 2004 (Pub. L. 108-
199, approved January 23, 2004, 118 Stat. 3). In addition, $378,844 in 
previously unexpended funds is made available for this program. 
Institutions may request no more than $15,000 per year per student for 
a total of $30,000 for a two-year (24 months) grant performance period. 
The performance period will commence on the effective date of the grant 
agreement. The minimum number of students that can be assisted per 
participating institution is three. The maximum number of students that 
can be assisted under this program is five per participating 
institution. The maximum amount an institution can request for funding 
is $150,000.

III. Eligibility Information

A. Eligible Applicants

    Organizations are eligible if they are:
    1. An accredited institution of higher education recognized by the 
U.S. Department of Education that offers a graduate degree in a 
community development academic program;
    2. An APO applying on behalf of two or more eligible accredited 
institutions of higher education recognized by the Department of 
Education that offer a graduate degree in a community development 
academic program and that are located in the same Standard Metropolitan 
Statistical Area (SMSA) or non-SMSA as the APO (in accordance with the 
regulations at 24 CFR 570.415, institutions of higher education are 
permitted to choose whether to apply independently or through an APO); 
or
    3. A State applying on behalf of two or more eligible accredited 
institutions of higher education recognized by the Department of 
Education that offer a graduate degree in a community development 
academic program that are located in the State. If a State is approved 
for funding, accredited institutions of higher education located in 
that State may not apply independently.

[[Page 27124]]

B. Cost Sharing or Matching

    None Required

C. Other

1. Threshold Requirements Applicable to all Applicants
    All applicants must comply with the threshold requirements as 
defined in the General Section of the SuperNOFA and the requirements 
listed below to be evaluated, rated, and ranked. Applications that do 
not meet these requirements will be considered ineligible for funding 
and will be disqualified:
    a. The applicant must meet the eligible requirement as defined in 
Section III.A, Eligible Applicants.
    b. Applicants must comply with all statutory and regulatory 
requirements applicable to this program. CDWSP regulations can be found 
at 24 CFR 570.415. Copies of the regulations are available on request 
from http://www.HUDUSER.org.
    c. An eligible community building academic program includes, but is 
not limited to, accredited graduate degree programs in community and 
economic development, community planning, community management, 
community organizing, public administration, public policy, urban 
economics, urban management, and urban planning.
    d. The minimum number of students that may be assisted per 
participating institution is three. If an APO or state receives 
assistance for a program that is conducted by two or more institutions, 
each participating institution must have a minimum of three students 
per program. The maximum number of students that can be assisted under 
this program is five per participating institution. The maximum amount 
an institution can request for funding is $150,000.
    e. Only one application is eligible for funding from an 
institution.
    f. Applicants must receive a minimum score of 75 points to be 
considered for funding.
    g. An applicant must have a DUNS Number to receive HUD grant funds. 
(The General Section of the SuperNOFA provides information regarding 
the DUNS requirement.)
2. Program Requirements
    In addition to the program requirements listed in the General 
Section of the SuperNOFA, applicants must meet the following program 
requirements:
    a. All funds awarded under this program must be spent during a two-
year (24 months) grant performance period.
    b. Applicants must have on file a signed agreement with each 
student that covers the purpose of the work placement, responsibilities 
of both parties, including financial support and work components. This 
agreement should also address the student's responsibilities as 
described in the program regulations.
    c. Applicants must have on file a signed agreement with each work 
placement agency that covers the purpose of the work placement, and the 
respective roles of all parties. Among other matters determined to be 
appropriate, this agreement should address the work placement agency's 
responsibilities described in the program regulations.

    (Note: HUD does not provide a model or sample format for either 
of these agreements.)

IV. Application and Submission Information

A. Address to Request Application Package

    Applicants may request general information, copies of the General 
Section and Program Sections of the SuperNOFA from the NOFA Information 
Center by calling 800-HUD-8929 or persons with hearing or speech 
impairments may call 800-HUD-2209 (TTY) between the hours of 9 a.m. and 
8 p.m. (eastern time) Monday through Friday, except on Federal 
holidays. When requesting information, please refer to the Community 
Development Work Study Program. Be sure to provide your name, address 
(including zip code), and telephone number (including area code). To 
ensure sufficient time to prepare an application, requests for copies 
of the SuperNOFA can be made immediately following publication of the 
SuperNOFA. The NOFA Information Center opens for business 
simultaneously with the publication of HUD's 2004 NOFA. Applicants can 
also obtain information on the SuperNOFA and download application 
information for the SuperNOFA through the HUD Web site, http://www.hud.gov.

B. Content and Form of Application Submission

    A completed application package must include an original signed 
application, three copies, and one computer disk of the application (in 
Word 6.0 or higher) of the items listed below. (The computer disk must 
include the narrative portion of the application and all required 
forms. Forms can be downloaded from the HUD Web site, http://www.hud.gov.) In order to recycle paper, applicants must not submit 
applications in bound form; binder clips or loose-leaf binders are 
acceptable. Please do not use colored paper. The application narrative 
must not exceed 50 pages in length (excluding forms and assurances, 
Executive Summary, agreements and letters) and must be submitted on 
8\1/2\ by 11-inch paper, double-spaced on one side of the paper, with 
one inch margins (from the top, bottom, left and right) and printed in 
standard Times New Roman 12-point font. The double-spacing requirement 
applies to all parts of the program narrative (the Executive Summary, 
maps, tables, agreements, letters, photocopies of excerpts from 
official publications of the educational institution or department are 
excluded from this requirement). Please do not provide any additional 
exhibits, appendices, or resumes to support responses. No additional 
attachments are permitted. Please note that although submitting pages 
in excess of the page limit will not disqualify an application, HUD 
will not consider the information on any excess pages. This may result 
in a lower score or failure to meet a threshold. Please make sure that 
all items are submitted in the order listed below and that all pages 
are numbered and the name of the university on each page. Except where 
a particular form may direct otherwise, all forms included in an 
application, as well as the transmittal letter, must be signed by the 
Chief Executive Officer (this is generally the President or Provost) or 
an official designee legally authorized to make a commitment on behalf 
of the institution. If a designee signs, the application must contain a 
copy of the official delegation of signatory authority.
    Please include in your application each item listed in the order 
below:
    1. SF-424, Application for Federal Assistance. Applicants can find 
instructions for completing this form on the back of the first page of 
the form. Please remember the following:
    a. The full grant amount for the entire two years should be 
entered, not the amount for just one year;
    b. Include the name, title, address, telephone number, facsimile 
number, and e-mail address of the designated contact. This is the 
person who will receive the reviewers' comments; therefore, please 
ensure the accuracy of the information;
    c. The Employer Identification/Tax ID;
    d. The DUNS Number;
    e. The Catalog of Federal Domestic Assistance Number for this 
program is 14.512;
    f. The project's proposed start date and completion date. For the 
purpose of

[[Page 27125]]

this application, the program start date should be October 1, 2004; and
    g. The signature of an authorized official (an individual who has 
the authority to make a binding commitment on behalf of the 
institution).
    2. Transmittal Letter. This letter should contain a statement that 
the institution of higher education (not the department or program) 
that will be receiving funds under this grant is fully accredited. This 
letter must state not only the name of the accrediting agency but also 
that the particular accrediting agency is recognized by the U.S. 
Department of Education. If a state or APO is the applicant, the 
transmittal letter must set forth this assurance for each institution 
of higher education with whom they will be working. The Chief Executive 
Officer (usually the President or Provost) of the institution must sign 
this letter. If the Chief Executive Officer has delegated this 
responsibility to another official, that person may sign, but a copy of 
the delegation must be included or clearly stated in the letter.
    3. Application Checklist. Applicants must include the completed 
checklist in their application. On the checklist, the applicant must 
indicate the page number where each of the items can be found in the 
application (See Appendix A).
    4. Executive Summary. Applicants must include no more than three 
pages in length. The Executive Summary must, at a minimum, describe:
    a. The academic degree programs for which the students will be 
selected;
    b. The type of work placement agencies (including specific 
examples) that have committed to participate in the program (students 
cannot be placed at a federal government agency);
    c. The plans and resources/facilities for administering the program 
and assisting students to pursue post-academic or community building 
opportunities; and
    d. The contact person and the address where correspondence and all 
other information should be sent. If this is not included, all 
information will be forwarded to the address and the official named on 
the Form SF-424.
    5. Designation of Applicable Graduate Degree Program(s) Form HUD-
30013 (Community Development Work Study Program Designation of 
Applicable Graduate Academic Degree Program). Review carefully the 
regulations dealing with eligible types of degree programs before 
completing this form. If the proposed program is other than one listed 
as an eligible degree program, please contact Madlyn Wohlman-Rodriguez 
or Susan Brunson for additional guidance.
    6. Narrative statement addressing the Factors for Award. HUD will 
use the narrative response to the ``Factors for Award'' to evaluate, 
rate, and rank applications. This statement and management plan are the 
main source of information. Applicants are advised to review each 
factor carefully for program specific requirements. The response to 
each factor should be concise and contain only information relevant to 
the factor, but detailed enough to address each factor fully. Please do 
not repeat material in response to the five factors; instead, focus on 
how well the proposal responds to each of the factors. In factors where 
there are subfactors, each subfactor must be presented separately, with 
the short title of the subfactor presented. Make sure to address each 
subfactor and provide sufficient information about every element of the 
subfactor.
    7. Budget. Use the budget form HUD-30015 (Community Development 
Work Study Program Student Budget Sheet) for the August 2004 through 
August 2006 funding period. An APO and/or state must also complete the 
HUD-30014 (Community Development Work Study Program State/Area-wide 
Planning Organization Budget Summary). Please provide any necessary 
back-up documentation (e.g., pages from course catalogues listing the 
fees) to demonstrate concisely that the amounts requested are 
reasonable and customary. Applicants are not required to submit 
documentation for the administrative allowance amount. Any anticipated 
increases to these project costs should be included and an explanation 
for the basis of the increases provided. If documentation is not 
included, the award amount will be based on current tuition rates, 
regardless of any subsequent tuition increase. HUD will not increase 
the amount of the grant once awarded to reflect any tuition or fee 
increases that have not been set forth in the application. Also, HUD 
will not cover any costs exceeding the per-student maximum.
    8. Audits. Applicants must ensure that their most current A-133 
audit is on file at the Federal Audit Clearinghouse. Grantees that 
expend $500,000 or more in Federal financial assistance in a single 
year (this can be program year or fiscal year) must be audited in 
accordance with the OMB requirements as established in 24 CFR parts 84 
and 85. Additional information regarding this requirement can be 
accessed at the following Web site http://harvester.census.gov/sac.
    9. Appendix. Applicants must place the letters of support and 
agreements in this section. An applicant may not submit general support 
letters or resumes or other back-up materials (unless an applicant is 
willing to have the latter count toward the page limit requirement).

C. Submission Dates and Times

    An application package is due June 16, 2004. Please see the General 
Section of the SuperNOFA for application submission, delivery, and 
timely receipt requirements.

D. Intergovernmental Review

    This program is excluded from an Intergovernmental Review.

E. Funding Restrictions

    Funding may only be provided to applicants that meet the standards 
for eligible applicants defined in section III.

F. Other Submission Requirements

1. Complete Application Package
    This package must be submitted to the following address: University 
Partnerships Clearinghouse, c/o Danya International 8737 Colesville 
Road, Suite 1200, Silver Spring, MD 20910. When submitting an 
application package, also please include the following information on 
the outside of the envelope:
    a. Office of University Partnerships;
    b. Community Development Work Study Program; and
    c. Applicant's name and mailing address (including ZIP code).
2. Forms, Certifications, and Assurances
    The following certifications and assurances must be included in all 
application packages. These forms must be signed by the Chief Executive 
Officer (or official designee, not the student) of the institution and 
can be downloaded from http://www.hud.gov.
    a. Application for Federal Assistance (SF-424).
    b. Applicant Assurances and Certification (SF-424B).
    c. Disclosure of Lobbying Activities (SF-LLL).
    d. America's Affordable Communities Initiative Removal of 
Regulatory Barriers (HUD-27300), if applicable.
    e. Applicant/Recipient Disclosure Update Report (HUD-2880).
    f. Program Logic Model (HUD-96010).
    g. Acknowledgment of Receipt of Applications (HUD-2993). To confirm 
that HUD received the application package, please complete this form. 
Applicants are not required to include this form, but it is recommended 
that an applicant do so.

[[Page 27126]]

    h. Client Comments and Suggestions (HUD-2994). This form is 
included to solicit information from the most valuable source, the 
applicant. The changes that we have instituted this year are designed 
to make things easier for the applicant. If applicants complete and 
submit this form, it will help HUD to assess whether the changes made 
to this document have had the intended results. It will also guide us 
in our continuing efforts to improve the competitive grant process. 
Applicants are not required to complete this form.

V. Application Review Information

A. Criteria

    1. Rating Factor 1: Capacity of the Academic Program and Relevant 
Past Experience (25 Points). This factor addresses the extent to which 
an applicant's academic program has the capacity to prepare students 
for careers in community building. In evaluating this factor, HUD will 
consider:
    a. Capacity of the Academic Program For Previously Unfunded 
Applicants (20 Points). For Previously Funded Applicants (15 Points). 
Applicants must describe the quality of the academic program the 
institution offers (or in the case of an application from an APO or 
state, those offered by the institutions included in the application) 
including, without limitation, the following:
    (1) The course offerings in terms of their depth and emphasis on 
applied coursework;
    (2) The necessities of the courses offered to prepare students for 
professional careers in community building; and
    (3) Qualifications of the faculty, such as the number of relevant 
Ph.D.s, specific accomplishments and the percentage of their time 
devoted to teaching and research in community building.
    As a supplement to the narrative response, applicants can include 
photocopies of excerpts from official publications of the educational 
institution or department. Please make sure to place these documents 
after the narrative and include them in the page count.
    b. Rates of Graduation. For Previously Unfunded Applicants (5 
Points). For Previously Funded Applicants (10 Points). HUD will 
evaluate the graduation rates of students previously enrolled in a 
community building academic degree program, specifically (where 
applicable) graduation rates from any previously funded CDWSP academic 
programs or similar programs. This factor measures the rate of 
graduation for all applicable years and awards points based on the 
extent to which the applicant exceeds a 50 percent graduation rate each 
applicable year. Previously funded CDWSP programs should include copies 
of the final Community Development Work Study Program Student Data 
Sheet, HUD-30007, for each previously enrolled student who received 
assistance from the program.
    2. Rating Factor 2: Need for the Program (10 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 responding to this factor, HUD will evaluate the applicant's 
commitment to meeting the needs of economically disadvantaged and 
minority students as demonstrated by the institution's policies and 
plans, past efforts and successes recruiting, enrolling, and 
financially assisting economically disadvantaged and minority students, 
including the provision of reasonable accommodations for students with 
disabilities. If the applicant is an APO or State, HUD will consider 
the demonstrated commitment of each accredited institution of higher 
education on whose behalf the APO or State is applying.
    3. Rating Factor 3: Soundness of Approach (45 Points). This factor 
addresses the quality and effectiveness of the proposed student work 
placement assignments.
    a. Quality of the Work Placement Assignments (13 Points). HUD will 
evaluate the extent to which participating students will receive a 
variety of work placement assignments. (Note: Students cannot be placed 
with a Federal government agency.) The assignments should provide 
practical and useful experience to students participating in the 
program and further the participating students' preparation for 
professional careers in community building. In rating this subfactor, 
HUD will consider the variety of work placement agencies, and the 
variety of projects/experiences at each agency and overall. Applicants 
must also include a description of the plan for rotating students among 
work placement agencies. Note: Students engaging in community building 
projects through an institution of higher education (rather than being 
directly supervised by local work placement sites) may do so only 
through a HUD-funded Community Outreach Partnership Center (COPC), 
which will be considered a work placement agency even if the community 
building projects are undertaken with or through a separate 
organization or entity. Accordingly, students engaging in community 
building through an institution of higher education's outreach center 
should do so during only part of their academic program and should 
rotate to other work placement agency responsibilities as well. In 
order to receive higher points on this subfactor, applicants must 
propose at least three different work placement experiences for each 
student (typically, one each school year and one during the summer 
between the two school years) and include executed agreements with 
their proposed work study sites, rather than just listing the sites.
    b. Effectiveness of Program Administration (15 Points). HUD will 
evaluate the degree to which the applicant will be able to coordinate 
and administer the program. HUD will allocate the maximum points 
available under this criterion equally among the following three 
considerations, except that the maximum points available under this 
criterion will be allocated equally only between (a) and (b), if the 
applicant has not previously administered a CDWSP-funded program. If an 
applicant received a CDWSP grant in FY2000 or before and has not 
received one since, the applicant is considered a new applicant, for 
the purposes of this factor. Applicants must include a Management Work 
Plan that addresses the following details at a minimum:
    (1) The strength and clarity of the plan for placing CDWSP students 
on rotating work placement assignments and for monitoring CDWSP 
students' progress both academically and in their work placement 
assignments. In addition, include plans, procedures, schedules, and 
preferably a milestone chart that indicates the sequence in which these 
tasks will be performed, noting areas of work that will be performed 
simultaneously and continually during the life of the grant, along with 
the name of the responsible individual. Also, include plans for 
recruiting and selecting students, monitoring and guidance of students' 
academic progress, coordinating and monitoring student work placement 
agencies, and other matters deemed significant;
    (2) The key personnel responsible for administering, managing, and 
evaluating the project, the experience, responsibilities, available 
time, and authority of the individual who will coordinate and 
administer the program; and
    (3) The effectiveness of prior coordination and administration of a 
CDWSP-funded program, where applicable. In addressing this factor,

[[Page 27127]]

applicants should describe the timeliness of report submissions. 
Applicants should review their prior CDWSP grant agreements and reports 
and compare when reports were due with when the reports actually were 
submitted. Applicants should also describe their timeliness in 
expending grant funds. Applicants are encouraged to provide a chart 
that outlines report submissions for each grant by the submission date 
and the pattern of drawing down of funds.
    c. Likelihood of Fostering Students' Permanent Employment in 
Community Building (15 Points). HUD will evaluate the extent to which 
the proposed program will lead participating students directly and 
immediately to permanent employment in community building. Include a 
statement that describes, at a minimum, the following:
    (1) Past success (in the last four years) in placing graduates 
(particularly CDWSP-funded and similar program graduates, where 
applicable) in permanent employment in community building; and
    (2) How the institution will assist students (particularly students 
in CDWSP-funded and similar programs, where applicable) in finding 
permanent employment in community building. Include the amount/type of 
faculty/staff time and resources that will be devoted to assisting 
students.
    d. HUD Policy Priorities (2 Points). HUD encourages applicants to 
undertake specific activities that will assist the Department in 
implementing its policy priorities and which will help the Department 
achieve its goals and objectives in FY2005, when the majority of grant 
recipients will be reporting programmatic results and achievements. In 
addressing this factor, HUD will evaluate the extent to which an 
applicant will provide students with work place assignments that 
undertake specific activities that will further and support HUD's 
policy priorities and FY2005 goals. In rating this factor, HUD will 
evaluate the quality of the responses provided to one or more of HUD's 
priorities to determine the score an applicant can receive. Applicants 
must describe how each policy priority selected will be addressed. 
Applicants that just list a priority will receive no points. Each 
policy priority addressed has a point value of one point with the 
exception of the policy priority to remove regulatory barriers to 
affordable housing, which has a point value of up to 2 points. The 
total number of points available to applicants that address policy 
priorities is 2. It is up to the applicant to determine which of the 
policy priorities they elect to address to receive the available 2 
points. To receive points for efforts to remove regulatory barriers to 
affordable housing, an applicant must submit the completed 
questionnaire found in the General Section. (Form HUD-27300). For the 
full list and explanation of each policy priority, please refer to the 
General Section of this SuperNOFA.
    4. Rating Factor 4: Leveraging Resources (10 points). HUD will 
evaluate the applicant's commitment and ability to assure that CDWSP 
students will receive sufficient financial assistance above and beyond 
the CDWSP funding to complete their academic program in a timely manner 
and without working in excess of 20 hours a week during the school 
year. When addressing this issue, delineate the full costs budgeted 
annually per student (including living expenses, fees, etc), explain 
the basis for the budget and how the financial assistance package 
offered to each CDWSP student will meet that budget. Applicants must 
explain how variations in the budget needs and emergency financial 
needs will be addressed among students. Loans are less preferred than 
grants because of the burden placed on the student to repay them. 
Therefore, higher points will be given to applicants that provide 
assistance in the form of grants rather than loans.
    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). This factor reflects HUD's goal to embrace high standards of 
management and accountability. The factor measures the applicant's 
commitment to assess their performance to achieve the project's 
proposed objectives and goals. Applicants are required to develop an 
effective, quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that objectives and goals have been 
achieved. All performance indicators should be objectively quantifiable 
and measure actual achievements against anticipated achievements. 
Applicants must also describe the steps that will be taken to make 
adjustments to the work plan if performance targets are not met within 
the established time frame associated with each activity. At a minimum, 
the evaluation plan should address the following activities:
    a. Student recruitment;
    b. Student completion of degree program; and
    c. Long-term placement after graduation (1 year after graduation).
    This information must be placed under this section on a HUD-96010, 
Program Outcome Logic Model form. (Applicants can use as many copies of 
this form as required. It will not be included in the page count 
requirement.) A narrative is not required for this factor; however, if 
a narrative is provided, those pages will be included in the page 
count. Additional information on how to use this form can be found in 
the General Section of the SuperNOFA.

B. Review and Selection Process

1. Application Selection Process
    Two types of reviews will be conducted.
    a. A threshold review to determine an applicant's basic 
eligibility; and
    b. A technical review based on the ``Factors for Award'' listed 
above.
    Only those applications that pass the threshold review will receive 
a technical review and be rated and ranked.
2. Rating Panels
    To review and rate applications, HUD may establish panels which may 
include persons not currently employed by HUD. These individuals may be 
included to obtain certain expertise.
3. Ranking
    HUD will fund applications in rank order, until all available 
program funds are awarded. In order to be funded, an application must 
receive a minimum score of 75 points. The maximum number of points 
available for this program is 100. The RC/EZ/EC points described in the 
General Section of the SuperNOFA do not apply to this program. HUD may 
make awards out of rank order to achieve geographic diversity, and may 
provide assistance to support a number of students that is less than 
the number requested under an application or a lower funding level per 
student, in order to provide assistance to as many highly ranked 
applications as possible. If there is a tie in the point scores of two 
applications, the rank order will be determined by the scores on Rating 
Factor 3 entitled ``Soundness of Approach.'' The application with the 
higher points on this factor will be given the higher rank. If there is 
still a tie, the rank order will be determined by the applicants' 
scores on Rating Factor 1 entitled ``Capacity of the Applicant's 
Academic Program and Relevant Past Experience.'' The application with 
the higher points for this selection factor will be given the higher 
rank.
4. Correction to Deficient Applications
    The General Section of the SuperNOFA provides the procedures for 
correction to deficient applications.

[[Page 27128]]

C. Anticipated Announcement and Award Dates

    Announcements of awards are anticipated on or before September 30, 
2004.

VI. Award Administration Information

A. Award Notice

    After all selections have been made, HUD will notify all winning 
applicants in writing. HUD may require winning applicants to 
participate in additional negotiations before receiving an official 
award. For further discussion on this matter, please refer to the 
General Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of this SuperNOFA.
1. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
requesting a debriefing. All requests for a debriefing must be made in 
writing and submitted to Armand Carriere, Office of University 
Partnerships, Robert C. Weaver Federal Building, 451 7th Street, SW., 
Room 8106, Washington, DC 20410.
2. Environmental Requirements
    In accordance with 24 CFR 50.19 (b) (3) and (b) (9) 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.

C. Reporting

    All grant recipients under this NOFA are required to submit semi-
annual progress reports. The progress reports shall consist of two 
components, a narrative (including forms) that must reflect the 
activities undertaken during the reporting period and a financial 
report that reflects costs incurred during the reporting period, as 
well as a cumulative summary.
    For each reporting period, as part of the required report to HUD, a 
grant recipient must include a completed Logic Model (Form HUD-96010), 
which identifies output and outcome achievements.

VII. Agency Contacts

    Applicants may contact Madlyn Wohlman-Rodriguez at (202) 708-3061, 
extension 5939 or Susan Brunson, at (202) 708-3061, extension 3852. 
Person with speech or hearing impairments may call the Federal 
Information Relay Service TTY at (800) 877-8339. Except for the ``800'' 
number, these numbers are not toll-free. Applicants may also reach Ms. 
Rodriguez via e-mail at [email protected], and/or 
Ms. Brunson at [email protected].

VIII. Other Information

    1. Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2528-0175. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 60 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27129]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.101


[[Page 27130]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.102


[[Page 27131]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.103


[[Page 27132]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.104


[[Page 27133]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.105


[[Page 27134]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.106


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27135]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.107


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27137]]



Fair Housing Initiatives Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Fair Housing and Equal Opportunity.
    B. Funding Opportunity Title: Fair Housing Initiatives Program 
(FHIP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-N-22. The OMB Approval Number is: 2539-0033.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): Private 
Enforcement Initiative (PEI) 14.410; Fair Housing Organizations 
Initiative (FHOI) 14.413; Education and Outreach Initiative (EOI) 
14.409.
    F. Dates: The application due date shall be on or before June 29, 
2004. Please see the General Section for information on submission and 
timeliness requirements.
    G. Optional, Additional Overview Content Information:
    1. FHIP funds are used to increase compliance with the Fair Housing 
Act (the Act) and with substantially equivalent State and local fair 
housing laws.
    2. Approximately $17,730,525 in FY2004 funds and any potential 
recapture is allocated to three (3) initiatives as follows:
    a. Private Enforcement Initiative (PEI) $11,850,000.
    b. Education and Outreach Initiative (EOI) $ 3,780,525.
    c. Fair Housing Organizations Initiative (FHOI) $2,100,000.
    3. HUD expects to award a cost reimbursable cooperative agreement 
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. Eligible applicants are 
Qualified Fair Housing Enforcement Organizations (QFHOs) and Fair 
Housing Enforcement Organizations (FHOs); 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 
(including entities that will be established as a result of receiving 
an award under this FHIP NOFA); agencies of state or local governments; 
and agencies that participate in the Fair Housing Assistance Program. 
Except for applicants under FHOI, applicants may not submit multiple 
applications under this NOFA;
    If you are interested in applying for funding under the Fair 
Housing Initiatives Program (FHIP), please review carefully the General 
Section of the SuperNOFA (hereafter, the General Section), the FHIP 
Authorizing Statute (sec. 561 of the Housing and Community Development 
Act of 1987, as amended), the FHIP Regulations (24 CFR 125.103-501),
    For planning purposes, assume a start date no later than September 
30, 2004.

Full Text of Announcement

I. Funding Opportunity Description

    For Fiscal Year 2004, $20,130,525 is appropriated for the Fair 
Housing Initiatives Program. Of this amount, $17,730,525 is being made 
available on a competitive basis to eligible organizations responding 
to this FHIP program section of the SuperNOFA.
    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.

A. FHIP Initiatives and Components

    The Fair Housing Initiatives Program (FHIP) and its regulations at 
24 CFR part 125, assists fair housing activities that increase 
compliance with the Fair Housing Act (the Act) and with substantially 
equivalent fair housing laws administered by state and local government 
agencies under the Fair Housing Assistance Program (FHAP).
1. Private Enforcement Initiative (PEI)
    This Initiative assists private, tax-exempt fair housing 
enforcement organizations in the investigation and enforcement of 
alleged violations of the Act and substantially equivalent state and 
local fair housing laws.
2. Education and Outreach Initiative (EOI)
    This Initiative assists projects that inform 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 fair housing complaints 
and other information regarding possible discriminatory housing 
practices. Applications are solicited for this Initiative under the 
EOI-Regional/Local/Community-Based Program (R/L/C-B)--in which 
activities are conducted on a regional/local/community-based level, or 
under a National Program in which activities are conducted on a 
national level. Applicants who apply under EOI R/L/C/B may apply under 
one of four components, as follows: EOI General Component; EOI 
Disability Component; EOI Hispanic Fair Housing Awareness Component; or 
the EOI Fair Housing and Minority Homeownership Component. Applicants 
applying under the EOI National Program only apply for one component, 
the Media Campaign Component. Applications submitted under EOI are 
required to describe a complaint referral process that should result in 
referrals to HUD of fair housing complaints and other information 
regarding discriminatory housing practices.
3. Fair Housing Organizations Initiative (FHOI)
    This Initiative provides assistance to projects (sponsoring 
organizations) that establish or build the capacity of organizations to 
become viable fair housing enforcement organizations that conduct fair 
housing activities in underserved areas (as defined in section III 
Program Definitions) or in rural areas and areas with new immigrants 
(especially racial and ethnic minorities who are not English-speaking 
or have limited English proficiency). This is accomplished with the 
assistance of a sponsoring organization. The sponsoring organization 
must submit the application and must certify that the sponsored 
organization has the ability to become a QFHO or FHO. The period of 
performance for the award of funds to assist in capacity building 
activities is renewable for a period of up to three years, based upon 
successful performance of the sponsored organization. Funds are 
distributed to the sponsored organization by the sponsoring 
organization. All fund distributions are based on the performance of 
both the sponsoring and the sponsored organization. The sponsoring 
organization may expend FHIP funds for administrative costs as 
described below. HUD has targeted for funding under this Initiative 
projects that will provide fair housing enforcement services to rural 
areas, to underserved areas, and to immigrants (especially racial and 
ethnic minorities who are not English speaking or have limited English 
proficiency).
B. Program Definitions
    The definitions that apply to this FHIP section of the NOFA are as 
follows:
    1. Broad-based proposals are those that include activities that are 
not limited to a single fair housing issue; instead, they cover 
multiple issues related to housing discrimination

[[Page 27138]]

covered under the Act, such as: rental, sales and financing of housing. 
(See also Full Service Projects below).
    2. Complaint means the person, including the Assistant Secretary 
for Fair Housing and Equal Opportunity at HUD, who files a complaint 
under section 810 of the Fair Housing Act.
    3. Disability Advocacy Groups means 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. Such 
organizations must be experienced in providing services to persons with 
a broad range of disabilities, including physical, cognitive, and 
psychiatric/mental disabilities. Such organizations must demonstrate 
actual involvement of persons with disabilities throughout their 
activities, including on staff and board levels.
    4. 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 or FHAP Agency involvement.
    5. Fair Housing Act means Title VIII of the Civil Rights Act of 
1968 as amended by the Fair Housing Amendments Act of 1988 (42 U.S.C. 
3600-3620).
    6. Fair Housing Assistance Program (FHAP) Agencies mean State and 
local fair housing enforcement government agencies that receive FHAP 
funds because they administer laws deemed substantially equivalent to 
the Act, as described in 24 CFR part 115.
    7. Fair Housing Enforcement Organization (FHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    8. Full-service projects must include the following enforcement-
related activities in your project application: Interviewing potential 
victims of discrimination; analyzing housing-related issues; taking 
complaints; testing; evaluating testing results; conducting preliminary 
investigations; conducting mediation; enforcing meritorious claims 
through litigation or referral to administrative enforcement agencies; 
and disseminating information about fair housing laws.
    9. Grassroots organizations. See General Section.
    10. Jurisdiction means that the complaint must be timely filed; the 
complainant must have standing; the respondent and the dwelling 
involved (where the complaint involves a provision or denial of a 
dwelling) must be covered by the Act; and the subject matter or issue, 
and the basis of the alleged discrimination, must constitute illegal 
practices as defined by the Act.
    11. Meritorious claims means enforcement activities by an 
organization that resulted in lawsuits, consent decrees, legal 
settlements, HUD and/or substantial equivalent agency (under 25 CFR 
115.6) conciliations and organization initiated settlements with the 
outcome of monetary awards for compensatory and/or punitive damages to 
plaintiffs or complaining parties, or other affirmative relief, 
including the provision of housing (24 CFR 125.103).
    12. Minority Serving Institutions (See General Section).
    13. 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.
    14. Qualified Fair Housing Enforcement Organization (QFHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    15. Regional/Local/Community-Based Activities are defined at 24 CFR 
125.301(a) and (d).
    16. Rural Areas, according to the Rural Housing and Economic 
Development Program of Community Planning and Development (CPD), may be 
defined in one of the following five ways:
    a. A place having fewer than 2,500 inhabitants (within or outside 
of metropolitan areas);
    b. A county with no urban population (i.e., city) of 20,000 
inhabitants or more; territory, persons and housing units in the rural 
portions of `extended cities;'
    c. The rural portions of extended cities in the United States as 
identified by the U.S. Census Bureau;
    d. Open country that 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 recreational 
purposes, and open space set aside for future development; or
    e. Any place with a population not in excess of 20,000 and that is 
not located in a Metropolitan Statistical Area.
    17. 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.
    18. Underserved Areas mean jurisdictions where there are no Fair 
Housing Initiatives Program or Fair Housing Assistance Program agencies 
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 
and there is a need for service.
    19. Underserved Populations mean groups of individuals who fall 
within one or more of the categories protected under the Act and who 
are also:
    a. Of an immigrant population (especially racial and ethnic 
minorities who are not English-speaking or with limited English 
proficiency);
    b. In rural populations;
    c. The homeless;
    d. 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; and
    e. Areas that are heavily impacted with minorities and there is 
inadequate protection and ability to provide service from the state or 
local government or private fair housing organizations.

II. Award Information

    The amount available for each initiative or component and the 
maximum amount of funds that can be awarded for each award are 
specified as follows:
    A. Private Enforcement Initiative (PEI). Approximately $11,850,000 
is allocated; maximum award is $275,000 per grant; project duration is 
12-18 months. For PEI, the estimated number of awards is 43.
    B. Education and Outreach Initiative (EOI). Approximately 
$3,780,525 is allocated to five components under this initiative for 
EOI, the estimated number of awards is 33. The maximum award is 
$100,000 for the R/L/CB Program and the project duration is 12-18 
months. These components are as follows:
    1. EOI-General Component. Approximately $1,980,525 is allocated.
    2. EOI-Disability Component. Approximately $500,000 is allocated.
    3. Hispanic Fair Housing Awareness Component. Approximately 
$400,000 is allocated.

[[Page 27139]]

    4. Fair Housing and Minority Homeownership Component. Approximately 
$400,000 is allocated.
    The fifth Component falls under the EOI-National Program:
    5. Media Campaign Component. Approximately $500,000 is allocated. 
The maximum award for the EOI National Program `` Media Campaign 
Component is $500,000 and the project duration is 12 months.
    C. Fair Housing Organizations Initiative (FHOI). Approximately 
$2,100,000 is allocated; project duration is three years. Maximum award 
is $1,050,000 allocated over a three-year period at up to $350,000 per 
year. For FHOI the estimated number of awards is two.
    D. Award Instrument. The type of funding instrument HUD may offer a 
successful applicant which sets forth the relationship between HUD and 
the grantee will be a grant or cooperative agreement, where the 
principal purpose is the transfer of funds, property, services, or 
anything of value to the applicant to accomplish a public purpose. Upon 
completion of negotiations, HUD reserves the right to use the funding 
instrument it determines is most appropriate. The agreement will 
identify the eligible activities to be undertaken, financial controls, 
and special conditions, including sanctions for violations of the 
agreement. HUD will determine the type of instrument under which your 
award will be made and monitor your progress to ensure that you have 
achieved the objectives set out in your agreement. Failure to meet such 
objectives may be the basis for HUD determining your agreement to be in 
default and exercising available sanctions, including suspension, 
termination, and/or the recapture of your funds. Also HUD may refer 
violations or suspected violations to enforcement offices within HUD, 
the Department of Justice, or other enforcement authorities.
    If awarded as a Cooperative Agreement, HUD will also exercise the 
right to have substantial involvement by conducting quarterly reviews 
and approval of all proposed deliverables documented in the applicant's 
Work Plan or Statement of Work (SOW), and determining whether the 
agency meets all certification and assurance requirements under the 
grants, cooperative agreement, etc. This assessment will also be 
carried out by using the information supplied by the agency in its 
proposed Logic Model (Rating Factor 5). If upon completion of this 
assessment by your Government Technical Representative (GTR) a 
determination is made that your quarterly requirements have not been 
met, you, the grantee, will be obligated to provide additional 
information or make modifications, as necessary, in a time frame to be 
established by your GTR.
    E. Project Starting Period. For planning purposes, assume a start 
date no later than September 30, 2004.

III. Eligibility Information

A. Eligible Applicants

1. Private Enforcement Initiative (PEI)
    a. 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 (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, and meritorious claims 
in the three years prior to filing this application, (24 CFR 125.103). 
All applicants claiming QFHO and FHO status are required to be a 
501(c)(3) tax-exempt organization and also to submit with their 
application a copy of its Letter of Determination from the Internal 
Revenue Service (IRS) in support of its 501(c)(3) tax-exempt status.
    b. Eligible Activities include:
    (1) 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. 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 V. ``In addition'').
    (2) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (3) Mediated agreements or other voluntary resolution of 
allegations of fair housing discrimination after a complaint has been 
filed; and
    (4) Litigating fair housing cases including procuring expert 
witnesses.
    c. 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 it its application that it is a private, tax-
exempt organization with the requisite two years of enforcement related 
experience for a QFHO or one year experience for an FHO.
2. Education and Outreach Initiative
    a. Eligible Applicants. Eligible applicants are QFHOs; FHOs; public 
or private, for-profit or not-for-profit organizations, or institutions 
or other public or private entities, that are formulating or carrying 
out programs to prevent or eliminate discriminatory housing practices, 
agencies of State, or local governments; and agencies that participate 
in the FHAP. If you are a disability advocacy group, or an organization 
that partners with or substantially provides activities for grassroots 
faith-based or other community-based organizations, minority 
universities or institutions, or traditional civil rights 
organizations, you are encouraged to apply under this Initiative.
    b. Eligible Activities. The following are eligible activities for 
the Components under EOI: Conducting educational symposia or other 
training; developing new and innovative fair housing activities or 
materials into languages applicable to your community throughout your 
project area; providing outreach and information on fair housing 
through printed and electronic media; developing fair housing 
curricula; providing outreach to persons with disabilities and their 
support organizations and service housing providers; and working with 
homeless activists or persons to determine if fair housing plays a part 
in the homeless situation, and the general public regarding the rights 
of persons with disabilities under the Act. When conducting your 
outreach activities, we also encourage the use of existing, fair 
housing materials, except that we require that you translate these 
existing materials in languages applicable to your community. 
Organizations applying under the EOI National Media Campaign Component 
must conduct the above activities on a national level.
    c. Eligibility of Successor Organization. HUD recognizes that 
organizations may merge with each other or other organizations. The 
merger of an eligible organization with a new organization that has a 
separate

[[Page 27140]]

Employee Identification Number (EIN) or DUNS does not confer 
eligibility status upon the successor. HUD will make the determination 
of whether the successor organization meets the eligibility 
requirements for this Initiative on a case-by case basis.
    (1) Disability Component. Applicants that emphasize the fair 
housing needs of person with disabilities, so that persons with 
disabilities, housing providers and the general public better 
understand the rights and obligations under the Act and fully 
appreciate the forms of housing discrimination that persons with 
disabilities may encounter, should submit their applications to the 
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.
    (2) Hispanic Fair Housing Awareness Component. Applicants must be 
able to provide bilingual materials and services to Hispanics so that 
they are aware of and educated about their fair housing rights and 
responsibilities under the Fair Housing Act. In addition, applicant and 
staff must have demonstrated bilingual experience, which is defined as 
3 years of proven experience in providing social services to persons of 
Hispanic origin; or must have established a partnership with an 
established grass-roots, faith-based or other community-based 
organization to carry out the objectives of this component. Although 
the component has a focus in providing education and outreach to 
Hispanic communities, the funded activities must provide education and 
outreach in a non-discriminatory manner. Grantees may not deny services 
to any protected class.
    (3) Fair Housing and Minority Homeownership Component. Under the 
Fair Housing and Minority Homeownership Component, applicants must 
demonstrate the ability to conduct community outreach activities to 
educate people about their rights under the Fair Housing Act and to 
prepare them for homeownership. The goal of this Component is to 
improve access to homeownership by racial and ethnic minorities by 
educating them about fair housing and how to recognize discriminatory 
housing practices in sales and financing of housing. Applicants must 
demonstrate the ability to educate participants about unlawful 
discrimination including discrimination in the sale of dwellings, 
discrimination in the financing of dwellings and unlawful segregation 
resulting from steering and other activities. Please ensure that all 
activities are tied to the protections outlined in the Fair Housing 
Act.
    (4) General Component. Applications for all other fair housing 
education and outreach activities should be submitted to the EOI-
General Component.
    (5) National Media-Component. Applicants who submit applications 
under the EOI National Program Media Campaign must provide a 
centralized coordination effort for the development, implementation, 
and distribution of a fair housing media campaign designed for FY2005's 
Fair Housing Month.
3. Fair Housing Organization Initiative
    This Initiative provides assistance to projects (sponsoring 
organizations) that establish or build the capacity of organizations to 
become viable fair housing enforcement organizations, as referenced in 
24 CFR part 125.103, that conduct fair housing enforcement activities 
in underserved areas (as defined in section V.) in rural areas and 
areas with new immigrants (especially racial and ethnic minorities who 
are not English-speaking or have limited English proficiency). It is 
the sponsoring organization that submits the application under this 
Initiative and certifies the sponsored organization's ability to become 
a QFHO or FHO. (Note: The sponsoring organization is ineligible if they 
received a grant under this Initiative in 2001 or 2002.) The sponsored 
organization whose enforcement capacity is established or enhanced by 
funding under this Initiative, will be allowed to participate in this 
Initiative for three years contingent upon acceptable annual 
performance reviews. Funds are allocated under this NOFA for this 
Initiative for three years and distributed to the sponsored 
organization by the sponsoring organization
    a. 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). You 
must certify in this application that your organization is a QFHO. 
Sponsored agencies that cannot formulate as private, tax exempt non-
profit charitable organizations cannot qualify as a QFHO or an FHO.
    b. 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 3 
of the grant cycle:
    (1) 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;
    (2) Investigations of individual complaints and systemic housing 
discrimination for further enforcement processing by HUD, through 
testing and other investigative methods;
    (3) Mediation or other voluntary resolution of allegations of fair 
housing discrimination after a complaint has been filed; and
    (4) Litigating fair housing cases including procuring expert 
witnesses.
    c. 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 it its application that it is a private, tax-
exempt organization with the requisite two years of enforcement related 
experience for a QFHO or one year experience for an FHO.
    The following is a chart that summarizes the FHIP Components and 
Funding Available and Eligible Applicants:

[[Page 27141]]



----------------------------------------------------------------------------------------------------------------
                                     Allocation
       Initiative/component            amount        Applicant eligibility      Project period      Award caps
                                      available
----------------------------------------------------------------------------------------------------------------
Private Enforcement Initiative        $11,850,000  QFHOs and FHO (with at    12-18 months.......        $275,000
 (PEI): Assists private, tax-                       least one year of
 exempt fair housing enforcement                    enforcement related
 organizations in the                               experience). See
 investigation and enforcement of                   Section III of the FHIP
 alleged violations of the Fair                     NOFA-Eligibility
 Housing Act and substantially                      Information.
 equivalent state and local fair
 housing laws.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
Fair Housing Organization               2,100,000  Only QFHOs are eligible   36 months..........       1,050,000
 Initiative: Assistance to                          to apply under this
 projects (sponsoring                               Initiative to serve as
 organizations) that establish or                   a sponsoring
 build the capacity of                              organization. See
 organizations to become viable                     Section III of the FHIP
 fair housing enforcement                           NOFA-Eligibility
 organizations that conduct fair                    Information.
 housing activities in
 underserved areas (as defined in
 Section III ``Program
 Definitions'') or in rural areas
 with new immigrants especially
 immigrants with limited English
 proficiency. The sponsoring
 organization must submit the
 application and must certify
 that the sponsored organization
 has the ability to become a QFHO
 or FHO.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
Education and Outreach Initiative       3,780,525  QFHOs, FHOs, public or    12-18 months.......         100,000
 (EOI): EOI Regional, Local and                     private for profit or
 Community Based Program: Assists                   not for profit
 projects that inform the public                    organizations or
 about rights and obligations                       institutions, or other
 under the Fair Housing Act and                     public or private
 substantially equivalent state                     entities that carry out
 and local fair housing laws.                       programs to prevent or
 Applicants must develop a                          eliminate
 complaint referral process so                      discriminatory housing
 that funded activities will                        practices. This
 result in referrals to HUD of                      includes agencies of
 fair housing complaints and                        state or local
 other possible discriminatory                      governments and
 housing practices.                                 agencies that
                                                    participate in the Fair
                                                    Housing Assistance
                                                    Program (FHAP). See
                                                    Section III of the FHIP
                                                    NOFA-Eligibility
                                                    Information.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
EOI-General Component: Open to          1,980,525  Same as EOI above. See    12-18 months.......         100,000
 applicants for all other fair                      Section III of the FHIP
 housing education and outreach                     NOFA-Eligibility
 activities.                                        Information.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
EOI-Disability Component:                 500,000  Same as EOI above. See    12-18 months.......         100,000
 Applicants must emphasize the                      Section III of the FHIP
 fair housing needs of persons                      NOFA-Eligibility
 with disabilities, so that                         Information.
 persons with disabilities,
 housing providers and the
 general public better understand
 the rights and obligations under
 the Fair Housing Act and fully
 appreciate housing
 discrimination that persons with
 disabilities may encounter. The
 funded activities must provide
 education and outreach to all
 persons protected under the Fair
 Housing Act.
EOI-Hispanic Fair Housing                 400,000  Same as EOI above. See    12-18 months.......         100,000
 Awareness Component: Applicants                    Section III of the FHIP
 must be able to provide                            NOFA-Eligibility
 bilingual materials and services                   Information..
 to Hispanics so that they are
 educated about their fair
 housing rights and
 responsibilities under the Fair
 Housing Act. Funded activities
 must provide education and
 outreach in a nondiscriminatory
 manner. Grantees may not deny
 services to a client who is not
 Hispanic.
See Section I of the FHIP NOFA-
 Funding Opportunity Description

[[Page 27142]]

 
EOI-Minority Homeownership                400,000  Same as EOI above. See    12-18 months.......         100,000
 Component: Under the Fair                          Section III of the FHIP
 Housing and Minority                               NOFA-Eligibility
 Homeownership Component,                           Information.
 applicants must demonstrate the
 ability to conduct community
 outreach activities to educate
 people about their rights under
 the Fair Housing Act and to
 prepare them for homeownership.
 The goal of this Component is to
 improve access to homeownership
 by racial and ethnic minorities
 by educating them about fair
 housing and how to recognize
 discriminatory housing practices
 in sales and financing of
 housing.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
EOI-National Program-National             500,000  Same as EOI above. See    12-18 months.......         500,000
 Media Component: Applicants who                    Section III of the FHIP
 submit applications under the                      NOFA-Eligibility
 EOI National Program Media                         Information.
 Campaign must provide a
 centralized coordination effort
 for the development,
 implementation, and distribution
 of a fair housing media campaign
 designed for FY 2005's Fair
 Housing Month.
See Section I of the FHIP NOFA-
 Funding Opportunity Description.
----------------------------------------------------------------------------------------------------------------

B. Cost Sharing or Matching

    No matching funds are required for the Education and Outreach or 
Private Enforcement Initiatives. Federal funds can be used as matching 
funds if the statutes governing the Federal funds consider the funds to 
be local resources.

C. Other

    1. Threshold Requirements
    a. Tax Exempt Status. Applicants for the PEI and FHOI Initiatives 
are ineligible for funding if they are not a 501(c)(3) tax-exempt 
organization as determined by the Internal Revenue Service (IRS) at the 
deadline date for application submission.
    b. Name Check Review. See the General Section
    c. Poor Performance. Applicants are ineligible for funding if they 
are a previous FHIP grantee that has received a ``Poor'' performance 
rating for its most recent performance rating from its Government 
Technical Representative. HUD will assess performance ratings for 
applicants who have received FHIP funding in 2001 or 2002. If the 
applicant has received a ``poor'' performance rating for its most 
recent performance rating from its Government Technical Representative, 
its application is ineligible for FY 2004 competition. An applicant 
that does not agree with its determination of ineligibility for the 
FY2004 competition because of ``poor'' performance must address to 
HUD's satisfaction the factors resulting in the ``poor'' performance 
rating before the FHIP application deadline. If the ``poor'' 
performance rating is not resolved to the Department's satisfaction 
before the application deadline, the application is ineligible for 
funding. HUD is interested in increasing the performance level of all 
grantees; therefore, applicants who are deemed ineligible because of a 
``poor'' performance rating have the right and are encouraged to seek 
technical assistance from HUD to correct their performance in order to 
be eligible for future NOFA competition.
    d. Suits Against the United States. Your application is ineligible 
for funding if, as a current or past recipient of FHIP funds, your 
organization used any funds provided by HUD for the payment of expenses 
in connection with litigation against the United States (24 CFR 
125.104(f)).
    e. Other Litigation. Your application is ineligible for funding if 
you used funds provided by HUD under this program to settle a claim, 
satisfy a judgment, or fulfill a court order in any defensive 
litigation (24 CFR 125.104).
    f. Hispanic Fair Housing Awareness Component. Applicants are 
ineligible for funding if current bilingual staff has not worked with 
the organization for three years and if the organization does not have 
three years of proven experience providing bilingual services. You must 
list all bilingual employees and provide proof of employment. Grantees 
may not deny services to any protected classes under the Fair Housing 
Act.
    g. FHOI. Applicants for FHOI only are ineligible if their 
organization received previous FHOI awards in FY2002 or FY2003.
    h. Media-based Applications. Applicants who submit applications 
under the EOI National Program Media Campaign must have as their 
primary responsibility advertisement and media and have at least five 
years of experience as an advertisement/media organization, or if the 
applicant is not a media organization, it must include as part of its 
proposal a subcontract with an established media/advertising or public 
relations organization that has experience in conducting national media 
campaigns. Applicants that fail to meet this requirement or include 
such subcontract arrangements in their proposals will be ineligible for 
funding.
    i. Maximum award. Applicants are ineligible for funding if they 
request funding in excess of the maximum allowed under the initiative 
or component for which they are applying. Any amount over the maximum 
award, even if less than one dollar, will be considered a request in 
excess of the maximum award. In addition, inconsistencies in the amount 
requested and/or miscalculations that result in amounts over the 
maximum award will be considered excessive; therefore the application 
is ineligible.
    j. Dun and Bradstreet Numbering System (DUNS) Numbering 
Requirement. Refer to General Section of SuperNOFA for information

[[Page 27143]]

regarding the DUNS requirement. You will need to obtain a DUNS number 
to receive an award from HUD.
    k. Majority of Activities. If a majority (51 percent or more) of 
the activities and costs within your application, Statement of Work 
(SOW) and budget are not fair housing related activities, your 
application will be deemed ineligible.
    l. Applicants must receive a minimum of 75 rating points to be 
considered for funding.
    2. Program Requirements for All Initiatives. In addition to the 
Threshold Requirements in section III.C. of the General Section of the 
SuperNOFA, your FHIP-funded program application must also meet the 
following requirements:
    a. Protected Classes. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin.
    b. Tester Requirements for PEI and FHOI applicants.
    (1) 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, except to 
the extent that they could recover damages as provided by law;
    (b) Be a relative related by adoption, blood, or marriage to 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.
    (2) Review and Approval of Testing Methodology. If your SOW 
proposes testing, other than rental housing testing, HUD may require 
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,
    (b) The training materials to be provided to testing, and
    (c) Other forms, protocols, cover letters, etc., used in the 
conduct of testing and reporting of results.
    The testing methodology and training materials that you submit to 
HUD for review and approval are for enforcement purposes and will 
remain confidential.
    (3) Tester Training. You must provide sufficient information in the 
application to show how testers are trained by our organization and how 
the materials will be used.
    (4) Retainer Fees. If you are a recipient of FHIP funds, you cannot 
require any complaint to whom you are providing assistance using FHIP 
funds, to sign a retainer agreement of other contract for legal fees as 
part of the filing, commencement, or maintenance of a Fair Housing Act 
complaint. If the FHIP recipient has a successful settlement or a 
verdict, then the FHIP is able to include its reasonable fees as a part 
of the settlement, though the complainant shall be under no obligation 
to accept such an agreement. If reasonable legal fees are recovered, 
the FHIP agency must return a portion of its recovery to HUD, in 
proportion to the amount of FHIP funds spent on the prosecution of the 
case.
    (a) Agencies that are the recipients of FHIP funds agree to provide 
HUD with information regarding the recovery of fees and applicable 
reimbursement of FHIP funds to HUD on a yearly basis;
    (b) All settlements and verdicts involving cases processed using 
FHIP funds are a matter of public record. An agency cannot claim 
attorney-client or other privilege against the release of data 
concerning the case.
    (c) This restriction on withholding of information must be 
communicated to the complainant.
    (d) The complainant must agree to such a restriction before the 
case can be processed using FHIP funds.
    (5) Performance Measures and Products. For all Initiatives:
    (a) Your Logic Model must demonstrate how your project activities 
will support HUD goals; and
    (b) Identify performance measures/outcomes in support of those 
goals, describe your proposed record keeping and evaluation systems, 
and identify current (baseline) conditions and target levels of the 
performance measures that you plan to achieve.
    (i) For PEI, your application also must contain a strategy for 
generating enforcement related project products, with related timelines 
and milestones.
    (ii) For FHOI, if the sponsoring organization is enhancing an 
existing organization, then the sponsoring organization must submit a 
statement outlining: what is expected of the sponsored organization, 
and that the sponsored organization will be part of the program. If the 
sponsoring organization is being created, then the sponsored 
organization must submit a mission statement for the sponsoring 
organization and a timeline for creation and independence. If selected 
for funding, your final performance measures will be negotiated between 
you and HUD as part of your executed grant agreement.
    Applicants must submit a Logic Model (Form HUD-96010) in their 
application and report against planned actions on a quarterly basis as 
specified in the award agreement, refer to the Logic Model (Form HUD-
96010) provided in the forms appended to the General Section.
    (6) Single Applications. Except for applicants under FHOI, all 
applicants may submit only one application under the FHIP. FHOI 
applicants may apply under FHOI and one other Initiative. Applicants 
must determine which Initiative/Component to which they want to apply 
and submit a completed application to only that Initiative/Component. 
Multiple applications applying to more than one, Initiative/Component, 
except FHOI, will be treated as a technical deficiency and the 
applicant will be asked to identify the application they want reviewed.
    (7) Independence of Awards. HUD will review each eligible 
application separately and without reference to other applications 
submitted by you or others. However, the application you submit must be 
independent and capable of being implemented without reliance on the 
selection of other applications submitted by you or other applicants.
    (8) Training funds. Your proposed budget must set aside funds to 
participate in HUD mandatory sponsored or approved training, $3000 for 
12-18 month projects (EOI and PEI); and $6000 annually for 36 month 
projects (FHOI). For FHOI, there must be attendance from the sponsoring 
and sponsored organization.
    Requests to attend HUD approved training must be submitted to the 
GTR for approval in advance of the requested training. Do not include 
amounts over the $3000 or $6000 (as appropriate) for the training set 
aside in this category. If applicants do not include these funds in the 
budget and you are selected for an award, HUD will modify your budget, 
reallocating the appropriate amount for training. If awardees' key 
personnel do not attend mandatory HUD approved or HUD sponsored 
training, training funds must be returned to HUD and it will be 
reflected on your performance assessment.
    (9) Accessibility Requirements. All activities, facilities, and 
materials funded by this Program must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    (10) Fair Housing Act. HUD expects applicants to address housing 
discrimination covered under the Fair

[[Page 27144]]

Housing Act. HUD has determined there is a need to ensure equal 
opportunity and access to housing in communities across the nation.
    (11) Research Activities. Applicants are ineligible for funding if 
100 percent of their project is aimed at research.
    (12) Tax Exempt Status. Your application must include a copy of 
your Letter of Determination from the Internal Revenue Service dated 
prior to the deadline date of this FHIP Program Section of the 
SuperNOFA, establishing your 501(c)(3) tax-exempt status. Failure to 
submit this with your application is a technical deficiency.
    (13) Limited English Proficiency (LEP). Applicants obtaining an 
award from HUD must seek to provide access to program benefits and 
information to LEP individuals through translation and interpretive 
services in accordance to the HUD's published LEP Recipient Guidance.
    (14) For-profit awardees are not allowed to earn a profit and must 
adhere to OMB Circular A-122.
    (15) Single Audit Requirement. All applicants who have expended 
$500,000 or more in federal financial assistance in a single year (this 
can be a program or fiscal year must be audited in accordance with the 
OMB-A133 requirements as established in 24 CFR Part 84 and 85.

IV. Application and Submission Information

A. Addresses to Submit Application Package

    Your application consists of an original signed application form 
(SF-424) and all items listed in the Checklist (see section for all 
submission requirements). Mail your completed application (one original 
and three copies) to:
    FHIP SuperNOFA 2004 [Specify the Initiative/Component to which you 
apply], FHIP/FHAP Support Division, Office of Fair Housing and Equal 
Opportunity, U.S. Department of Housing and Urban Development, 451 
Seventh Street, SW., Room 5224, Washington, DC 20410.

B. Content and Form of Application Submission

    Please ensure that your application contains all of the following 
elements in the order described:
     SF-424* (Place a copy of the SF-424 on top of application 
package.)
     SF-424 Supplement*--Survey on Ensuring Equal Opportunity 
for Applicants.
     HUD-424--Assurances and Certifications*.
     Transmittal Letter.
     Checklist for Completion of Applications.
     Project Abstract Outlining Project Activities.
     Factor No. 1 Narrative.
     Factor No. 1 Attachments: Tester Experience, Letter of 
Determination from IRS on 501(c)(3), if applicable.
     Factor No. 2 Narrative.
     Factor No. 3 Narrative.
     Factor No. 3 Attachments: Statement of Work (SOW) with 
activities listed in priority order, Budget Forms HUD-424-CB* and HUD-
424 CBW reflecting the order of the statement of work and prioritized 
activities,* Budget Narrative.
    (For EOI General only, separate Budget, Logic Model and SOW at 100 
and 80% each.)
     Factor No. 4 Narrative.
     Factor No. 4 Attachments: Letter(s) of Firm Commitment.
     Factor No. 5 Narrative.
     Responses to Additional Requirements for Specific 
Initiative/Project.
     HUD-2880 (Applicant Recipient Disclosure Update Report 
(General Section)*.
     OMB SF-LLL Disclosure of Lobbying Activities (General 
Section)*.
     HUD-2990 Certification of Consistency with the RC/EZ/EC 
Strategic Plan (General Section)*.
     HUD-2993 Acknowledgment of Application Receipt (General 
Section)*.
     HUD-2994 Client Comments and Suggestions (General 
Section)*.
    *Forms that reflect an asterisk are in the General Section of the 
NOFA.
    This Checklist reflects all forms that must be included in your 
application submission. In addition to the above, all applicants must 
read and adhere to Initiative specific information. Applicants are 
encouraged to review the chart entitled ``Summary of Initiatives/
Components'' to assist in identifying the Initiative and component to 
which you wish to apply.

C. Submission Dates and Times

    You must submit a completed application (one original and three 
copies) for the specific initiative and component for which you are 
applying on or before on June 29, 2004 to the HUD Headquarters 
building. Applicants missing the deadline will have their applications 
returned without further review by the Technical Evaluation Panel.

----------------------------------------------------------------------------------------------------------------
                                                           Required form or
          What to submit              Required content          format                 When to submit it
----------------------------------------------------------------------------------------------------------------
Application:
    Cover sheet..................  (per required form).  Form SF-424,
                                                          available from
                                                          (General Section).
     Survey for Ensuring Equal     ....................  SF-424 Supplement..  Application due date.
     Opportunity for Applicants.
     Budget information..........  (per required form).  Form SF-424-CBW,
                                                          available from
                                                          (General Section).
     Narrative...................  Described in Section  Format described in
                                    IV.2 of this          Section IV.B of
                                    announcement.         this announcement.
     Assurances..................  (per required form).  Form SF-424B,
                                                          available from
                                                          (General Section).
     Letters from third parties    Third parties'        No specific form or
     contributing to cost sharing.  affirmation of        format.
                                    amounts of their
                                    commitments.
----------------------------------------------------------------------------------------------------------------

D. Intergovernmental Review

    Intergovernmental Review is not applicable to this program.

E. Funding Restrictions

    1. 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.
    2. Enforcement Education & Outreach. ``There is a 5 percent limit 
on the amount of education-related activities that can be funded in an 
enforcement award. If you exceed the limit, points will be deducted in 
the rating process and funds will be adjusted to maintain the required 
limitation.

[[Page 27145]]

F. Other Submission Requirements

    1. For All Applicants. The maximum narrative page requirement is 
ten pages per factor. All pages in your application must be numbered 
consecutively from beginning to end. The narrative pages must be 
double-spaced (no more than three lines per vertical inch). This 
includes all narrative text, titles, and headings. (However, you may 
single space footnotes, quotations, references, captions, charts, 
forms, tables, figures, and graphs). You are required to use 12-point 
type size. A page is 8.5 x 11 inch, on one side only, with one-inch 
margins top, bottom, right, and left. You must respond fully to each 
factor to obtain maximum points. Failure to provide narrative responses 
to all factors or omitting requested information will result in less 
than the maximum points available for the given rating factor or sub-
factors. Failure to provide double-spaced, 12-point font type size 
narrative responses will result in five points being deducted from your 
overall score (one point per factor). Failure to consecutively number 
pages within your application will result in one point being deducted 
from your overall score.
    2. EOI-General Component. Organizations applying under the EOI-
General Component must submit a budget at 100 percent of proposed costs 
and activities.
    Additionally, applicants must identify costs and activities in 
priority order so if HUD funds at an 80 percent level approved awards 
will reflect the priorities of the applicant. The activities and line 
item costs above the 80 percent should be reflected as optional 
activities in the applicant's SOW, Logic Model and Budget.
    For example, if an applicant proposes 10 workshops, the applicant 
can designate two workshops as optional to reduce their funding by 20 
percent. By providing the information in this manner if there are no 
further changes during negotiations the applicant does not have to 
submit another budget.
    3. Application Submission and Timeliness Procedures. See the 
General Section of the SuperNOFA for specific procedures governing the 
submission and receipt of applications. HUD will acknowledge receipt of 
an application by letter to the applicant within 15 working days of 
receipt. Acknowledgement letters will be mailed via the U.S Postal 
Service to all applicants meeting the timeliness of application 
requirement.

V. Application Review Information

A. Criteria for Regional/Community-Based Applications

    1. Rating Factor 1: Capacity of Applicant and Relevant 
Organizational Experience (25 Points). You must describe staff 
expertise and your organization's ability to complete the proposed 
activities within the grant period.
    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. You must describe your staffing plan and the extent to 
which you plan to add staff (employees) or contractors. If your 
application proposes using subcontractors and these subcontractor 
activities amount to more than 10 percent of your total activities, you 
must submit a separate budget for each subcontractor. Failure to 
include a separate budget will result in lower points being assessed to 
your application.
    a. Number and expertise of staff (this includes subcontractors and 
consultants. (5) Points for current FHIP grantees; (10) Points for New 
Applicants. You must show that you will have sufficient, qualified 
staff that 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). Applicants 
applying to the Hispanic Awareness Component must list all bilingual 
employees and provide proof of employment and the requisites below:
    (1) Identify, by name and/or title and hours, all persons that will 
be assigned to the project. You must describe the knowledge and 
experience of the proposed overall project director or day-to-day 
program manager (whose duties and responsibilities include managing all 
program and administrative activities as outlined in the SOW and 
ensuring that all timelines are met), in planning and managing projects 
similar in scope and complex interdisciplinary programs. To receive 
maximum points, your day-to-day program manager must devote a minimum 
of 75 percent of his/her time to the project. For day-to-day managers 
who do not have at least 75 percent of their time devoted to the 
project, no points will be awarded under this sub-factor. For example, 
if the Executive Director is responsible for managing the overall 
program administrative activities, the application should reflect the 
Executive Director's time as 75 percent. However, if a staff person 
will be assigned this responsibility, the 75 percent time should be 
reflected as such. You may demonstrate capacity by thoroughly 
describing your prior experience in fair housing. You should indicate 
how this prior experience is to 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).
    (2) Attach resumes for all key personnel or position descriptions 
for newly created positions. (Resumes or position descriptions do not 
count against the ten-page limit.)
    b. Organizational experience. (10) Points for current FHIP 
grantees, (10) Points for New Applicants. In responding to this sub-
factor, you must show that your organization has: (1) conducted a past 
project or projects similar in scope and complexity to the project 
proposed in this application (whether FHIP-funded or not), or (2) 
engaged in activities that, although not 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 three years to be recent, experience 
pertaining to the specific activities to be relevant, and experience 
producing measurable 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.
    (1) In addition. If you are applying for funding under the EOI-
Hispanic Fair Housing Awareness Component, provide the following 
information when responding to this sub-factor:
    (a) A list of all bilingual materials developed and distributed.
    (b) A description of specific instances where projects similar to 
the scope and activities proposed in this application had an impact in 
a Hispanic community.

[[Page 27146]]

    (c) A description of recent relevant experience. Recent experience 
is experience within the past three years.
    (2) In addition. If you are applying for funding under the EOI-Fair 
Housing and Minority Homeownership Component, provide the following 
information when responding to this sub-factor:
    (a) A description of staff's experience in providing fair housing 
and homeownership advice with the objective of increasing awareness of 
homeownership opportunities and
    (b) A description of staff's experience and accomplishments in 
advocating with the real estate industry, the mortgage lending 
industry, appraisers, and developers to increase awareness of 
homeownership opportunities.
    (3) In addition. If you are applying for funding under PEI or FHOI, 
provide the following information when responding to this sub-factor:
    (a) Describe the procedure you will use to ensure that testers 
comply with the requirements in section IV.B. of this NOFA.
    (b) If you propose to conduct testing (other than rental or 
accessibility testing), projects proposing testing in the specific 
areas should document that, at a minimum, you have conducted successful 
testing in those areas. 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 (for example, if testing is for sales of housing, your 
application should outline your sales testing experience).
    (4) FHOI. Provide a statement of organizational capacity and 
experience of the sponsored organization and a list of persons who will 
work on the project along with their experience. c. Performance on past 
project(s). (10) Points for current FHIP grantees, (0) Points for new 
applicants. You must describe your organization's past performance in 
conducting activities relevant to your proposal, in the past two years 
(FY 2001 and 2002 FHIP grants), demonstrating good financial management 
and documenting timely use of funds, timely reporting and submissions 
of tasks and deliverables. HUD may supplement information you provide 
with relevant information on-hand or available from public sources such 
as newspapers, Inspector General or General Accounting Office Reports 
or Findings, hotline complaints that have been proven to have merit, or 
other such sources of information. In evaluating past performance, the 
following points will be deducted from your score under this rating 
sub-factor:
    10 points out of 10 will be deducted if you received a ``fair 
performance'' assessment;
    5 points out of 10 will be deducted if you received a ``good 
performance'' assessment; and
    0 points out of 10 will be deducted if you received an ``excellent 
performance'' assessment.
    (1) In addition. If you have received an FHOI or a PEI award under 
the FY2000, 2001, or 2002 FHIP Program, you must:
    (a) Discuss your compliance with the mandatory referral requirement 
of all cases arising from FHIP-funded activities in FY2000, 2001, and 
2002. Five points will be deducted for this sub-factor if you do not 
show in your application compliance with the requirement. The 
compliance discussion should provide an explanation if discrepancies 
exist. For example, your application notes receipt of 100 complaints. 
It also notes that only 25 complaints were referred. There should be an 
explanation for the difference of 75 complaints.
    (b) 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. Two points will be deducted for this sub-factor if 
you have not complied with the requirement.
    2. Rating Factor 2: Need/Distress/Extent of the Problem (20 
Points). This factor addresses the extent to which there is a need for 
funding the proposed activities to address a documented fair housing 
problem(s) in the target area(s). You will be evaluated on the 
information that you submit that describes the fair housing need in the 
geographic area you propose to serve, its urgency and how your project 
is responsive to that need.
    a. Documentation of Need. To justify the need for your project, PEI 
and EOI applicants must describe the following:
    (1) The fair housing need, including:
    (i) Geographic area to be served;
    (ii) Populations that will be served--your project must serve all 
persons protected by the Act; and
    (iii) 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.
    (2) The urgency of the identified need. For example:
    (i) The potential consequences to persons if your application is 
not selected for funding;
    (ii) The extent to which the organizations provides the services 
identified in your application;
    (iii) Other sources that support the need and urgency for this 
project. For example, make reference to reports, statistics, or other 
data sources that you used 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 site at: www.hud.gov.
    (3) To receive maximum points under this sub-factor, applicants 
must submit data and studies that support (i), (ii), and (iii) above. 
Those that address each category and submit supporting data will 
receive higher points than those that do not.
    For FHOI: to justify the need for a sponsored organization under 
FHOI, the sponsoring organization must describe the following:
    (i) Populations that will be served: HUD has targeted for funding 
under this Initiative projects that will provide fair housing 
enforcement services to underserved areas, rural areas, and areas 
serving individuals who are immigrants (especially racial and ethnic 
minorities who are not English-speaking or have limited English 
proficiency):
    (ii) 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
    (iii) Why the project area is underserved and why the proposed 
sponsored organization is needed. Your proposal must serve all persons 
protected by the Act.
    For example, make reference to reports, statistics, or other data 
sources that you used 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.
    For all applicants: If the fair housing needs you have identified 
are not

[[Page 27147]]

covered under the Consolidated Plan and Analysis of Impediments to Fair 
Housing Choice (AI) or if your locality does not have a CP or AI, you 
should so indicate, and use other sound data sources to identify the 
level of need and the urgency in meeting the need. 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.
    (4) 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. 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
    (b) Why, in light of other on-going efforts, the additional funding 
you are requesting is necessary.
    (5) In addition, with respect to Documentation of Need, the 
following apply to specific FHIP initiatives or components:
    (a) EOI-Disability Component. Your project must focus on 
individuals who are disabled and must serve all persons protected by 
the Act.
    (b) EOI-Hispanic Fair Housing Awareness Component. Your project 
must focus on serving Hispanics and must serve all persons protected by 
the Act. Therefore, provide specific demographics on Hispanic 
neighborhoods to be served and the relationship of the area served to 
the objectives of the project. The need in these neighborhoods must be 
clearly stated and supported with documentation such as beneficiary 
information.
    (c) EOI-Fair Housing and Minority Homeownership Component. Your 
project must document under-representation of homeownership by 
protected classes or a critical level of need for fair housing and 
homeownership activities in the area where activities will be carried 
out.
    3. 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 policy priorities as 
referenced in the General Section.
    a. (8 Points) Support of HUD Goals. Describe how your proposed 
project will further and support HUD's policy priorities. For FY2004, 
FHIP applications, address the following:(1) All EOI-General, EOI-
Disability, EOI-Hispanic Fair Housing Awareness, and EOI-Fair Housing 
and Minority Homeownership Component:
    Applicants who:
    (1) Relate HUD's policy priorities to:
    (a) The project's purpose,
    (b) Persons to be served,
    (c) Geographic area to be served,
    (d) Proposed activities and who will conduct these activities, 
e.g., you or a subcontractor(s) or consultant(s); and
    (2) Provide a methodology for carrying out these activities that 
includes items (i) through (iv) above will be assessed as follows:
    (a) Four points under this sub-factor if you are a grassroots 
faith-based or other community-based organizations, propose to partner 
or sub-contract with grassroots faith-based or other community-based 
organizations
    (b) Up to two points under this sub-factor if your application 
specifically addresses regulatory barriers to affordable housing.
    (c) One point under this sub-factor if your application 
specifically addresses the elimination of housing discrimination to 
improve our nation's communities; and
    (d) One point under this sub-factor if your application 
specifically addresses housing discrimination to persons who are 
homeless because of housing discrimination in violation of the Fair 
Housing Act.
    (3) PEI and FHOI. Applicants should discuss their project purpose 
and proposed activities, persons to be served, geographic areas and 
methodology and their relation to HUD's policy priorities (see General 
Section). Include specific information on how you will address the 
need(s) identified under Rating Factor 2. The quality of the response 
you provide to one or more of the policy priorities will determine the 
score you receive. You may receive points for each policy priority you 
address up to a total of eight points.
    b. (17 Points) Proposed Statement of Work (SOW) and Information 
Requirements. The SOW 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 relevance of proposed 
activities to stated needs, attention to implementation steps, proposed 
activities consistent with organizational expertise and capacity and 
accuracy of the SOW and budget.
    (1) 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 (e.g., you, a subcontractor, or partner), and the products that 
will be provided to HUD and when. You should also include a schedule of 
your activities and products (with interim implementation steps), staff 
allocation over the term of the project; staff acquisition and 
training; and activities of partners and/or subcontractors.
    EOI-General Applicants Only--You must identify optional activities 
(to achieve an 80 percent budget) in order to receive full points under 
this sub-factor.
    (2) Information Requirements. For PEI and FHOI, your application 
must include a description of the enforcement proposals to be referred 
to HUD. Your description must explain the information (see 24 CFR 
121.2) 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 
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 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.
    (3) In addition. For EOI Hispanic Fair Housing Awareness Component 
include:
    (a) All bilingual key personnel and their capacity to communicate 
and disseminate information in projected Hispanic neighborhoods.
    (b) A plan that reflects an understanding of the characteristics 
and needs of the neighborhoods selected and outlines a plan of action 
pertaining to the scope and detail of how the work outlined will be 
accomplished.
    c. (15 Points) The Budget Form and the Budget Information--HUD will 
also assess the soundness of your approach by evaluating the quality, 
thoroughness,

[[Page 27148]]

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 is:
    (1) Reasonable in achieving the goals identified in your proposed 
SOW;
    (2) Relate tasks in the SOW to the proposed budget costs;
    (3) Cost-effectiveness,
    (4) Quantifiable based on the need identified in Factor 2, and
    (5) Documents and justify all cost categories in accordance with 
the cost categories indicated in the HUD-424 CB (see General Section 
Grant Application Detailed Budget). Include your approved Indirect Cost 
rate in your budget submission, as well as the agency contact name and 
telephone number. If you do not have a federally approved indirect cost 
rate, please provide your proposed rate and submit an indirect cost 
rate proposal with your application. If HUD is the cognizant agency, it 
will establish a rate or contact the appropriate federal agency to 
establish a rate. For information on Indirect Cost rates, you can 
review HUD's training on http://www.hud./gov.
    (6) 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 is quantifiable 
based on the needs identified in Rating Factor 2.
    (7) Financial Management Capacity. Describe 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.
    (8) In addition: FHOI provide a statement of transfer of 
programmatic and management responsibilities from the sponsoring to 
sponsored organization by the end of grant year three. Also provide 
budgetary information on the viability of the sponsoring organization 
to maintain the sponsored organization for the duration of the grant.
    Your Grant Application Detailed Budget HUD-424-CBW 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 may include information 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 
explaining each budget category listed. Failure to provide a written 
budget narrative will result in two points being deducted from your 
application. It must explain each cost category you list. Generally, 
estimated costs for high-cost items or subcontractors/consultants 
should be supported by bids from at least three sources. Where there 
are travel costs for subcontractors/consultants, you must show that the 
combined travel costs (per diem rates) are consistent with Federal 
Travel Regulations (41 CFR 301.11) and travel costs for the applicant's 
subcontractors and/or consultants do not exceed the rates and fees 
charged by local subcontractors and consultants. The narrative (which 
does not count toward the 10 page limit) and supporting documentation 
(which does not count toward the 10 page limit) must address the Grant 
Application Detailed Budget as referenced in the General Section.
    (9) Enforcement Education & Outreach--Also, there is a 5 percent 
limit on the amount of education-related activities that can be funded 
in an enforcement grant. If you exceed this limit, points will be 
deducted from this sub-factor.
    4. Rating Factor 4: Leveraging Resources (5 Points). This factor 
addresses your ability to secure additional 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.
    a. Firm Commitment of Leveraging. HUD requires you to secure 
resources from sources other than what is requested under this FHIP 
Program Section of the SuperNOFA. Community resources may include 
funding or in-kind contributions, such as workspace or services or 
equipment, allocated to the purpose(s) of your proposal. Contributions 
from affiliates or employees of the applicant do not qualify as in-kind 
contributions. Resources may be provided by governmental entities 
(including other HUD programs if such costs are allowed by statute), 
public or private non-profit organizations, faith-based organizations, 
for-profit or civic private organizations, or other entities willing to 
work with you. In order to secure points you must establish leveraging 
of resources by providing letters of firm commitment from the 
organizations and/or individuals who will support your project. Each 
letter of firm commitment must:
    (1) Identify the organization and/or individual committing 
resources to the project,
    (2) 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
    (3) Describe how these resources will be used under 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 
fair market value of those resources and describe how this fair market 
value was determined. (Do not include indirect costs within your in-
kind resources). In-kind and matching contributions and Program Income 
must be in accordance with 24 CFR 84.23 and 84.24. FHIP funds cannot be 
used for in-kind or donated services (for example, a current staff 
person on a FHIP-funded project). No points will be awarded for general 
letters of support endorsing the project from organizations, including 
elected officials on the local, state, or national levels, and/or 
individuals in your community. For PEI and EOI, 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 for PEI and EOI based 
on the following scale:
    One point will be awarded if less than 5 percent of the projects 
total costs come from non-FHIP resources.
    Two points will be awarded if between 5 percent and 10 percent of 
the project's total costs are from non-FHIP resources.
    Three points will be awarded if between 11 percent and 20 percent 
of the project's total costs are from non-FHIP resources.
    Four points will be awarded if between 21 percent and 30 percent of 
the project's total costs are from non-FHIP resources.
    Five points will be awarded if at least 31 percent of the project's 
total costs are from non-FHIP resources.
    For FHOI, two points will be awarded if between 5 percent and 10 
percent of the project's total cost are from non-FHIP resources.
    Three points will be awarded if between 11 percent and 20 percent 
of the project's total costs are from non-FHIP resources.
    Four points will be awarded if between 21 percent and 30 percent of 
the project's total costs are from non-FHIP resources.

[[Page 27149]]

    Five points will be awarded if at least 31 percent of the project's 
total costs are from non-FHIP resources.
    5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points). In evaluating this factor, HUD will assess the extent to which 
you demonstrate how you will measure your success or results to be 
achieved that represent the work of your organization as set out in 
your budget. Applicants must describe their specific methods and 
measures to assess progress, evaluate program effectiveness, and 
identify program changes necessary to improve performance, to ensure 
commitments made will be kept and results to be achieved can be 
accounted for and independently assessed, to ensure performance 
measures are met. Applicants who have identified inputs and outcome 
measurement and include means for assessing these measures, tracking 
and monitoring performance goals and achievements against these 
commitments made in the application, will receive higher points than 
those that do not. To meet this requirement, you should:
    a. First, identify the outcome. You should refer to the Logic Model 
provided in the forms appended to the General Section. Applicants 
should also review the Logic Model training which can be found at: 
http://www.hud.gov/offices/adm/grants/training/training.cfm.
    b. Second, identify the indicator. An indicator should be explained 
using numerical measures that can determine the extent to which the 
outcome was or is expected to be achieved and/or utilized to assess 
your performance. You should also track or monitor how your projected 
outcomes will be successfully achieved. Specify what form of 
measurement tool(s) will be utilized to quantify the overall results of 
your project's performance.
    In formulating how you attain your end results, estimate the types 
and amounts of clients you expect to be served with the amount 
allocated as it relates to your proposed budget. Estimate approximately 
how many of those served will benefit from your project's activities 
and tasks and estimate the timeframe for this to be accomplished.
    Accomplishments can be achieved using specific measurements tools 
to assess the impact of your solutions. Examples include: Intake 
Assessment Instrument; Pre/Post Tests; Customer/Client Satisfaction 
Survey; Follow-up Survey; Observational Survey; Functioning scale; or 
Self-sufficiency scale. You should describe what kind of fair housing 
activities you propose to accomplish and the success of your project, 
as identified in Rating Factor 2, for these activities. Finally you 
should consider this need, what you plan to accomplish, your proposed 
methodology and work plan to assess the benefits that will be derived 
from your project.
    You should demonstrate the extent to which your application 
proposes solutions that result in creating linkages and using specific 
measurement tools to assess the impact of your project and a process to 
establish a clear relationship between all parties impacted. For the 
EOI-Disability Component, you should demonstrate how the activities 
will assist the Department in implementing the Olmstead Supreme Court 
decision. As your project ends, you must report meaningful data derived 
from client feedback on how they benefited from your project's 
activities.

B. Criteria for National Program Applications

    Factors for Award Used to Evaluate and Rate Applications for the 
National Education and Outreach Initiative Program. The factors for 
rating and ranking applicants and the maximum points for each factor 
are provided below. The maximum number of points awarded any 
application is 100. Bonus points are not available for this category of 
funding.
1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (25 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, and the applicant's ability to 
develop and implement large information campaign projects as 
appropriate, on a national scale. The rating of the ``applicant'' or 
the ``applicant's organization and staff'' for technical merit or 
threshold compliance, unless otherwise specified, will include any sub-
contractors, consultants, sub-recipients, and members of consortia that 
are firmly committed to the project.
    You must describe staff expertise and your organization's ability 
to complete the proposed activities within the grant period.
    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. You must describe your staffing plan and the extent to 
which you plan to add staff (employees) or contractors. If your 
application proposes using subcontractors and these subcontractor 
activities amount to more than 10 percent of your total activities, you 
must submit a separate budget for each subcontractor. Failure to 
include a separate budget will result in lower points being assessed to 
your application.
    a. Number and expertise of staff (this includes subcontractors and 
consultants). (5) Points current FHIP grantees; (10) Points for new 
applicants You must show that you will have sufficient, qualified staff 
that 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):
    (1) Identify by name and/or title and hours, all persons that will 
be assigned to the project. You must describe the knowledge and 
experience of the proposed overall project director or day-to-day 
program manager (whose duties and responsibilities include managing all 
program and administrative activities as outlined in the SOW and 
ensuring that all timelines are met), in planning and managing national 
projects similar in scope and complex interdisciplinary programs. To 
receive maximum points, your day-to-day program manager must devote a 
minimum of 75 percent of his/her time to the project. For day-to-day 
managers who do not have at least 75 percent of their time devoted to 
the project, no points will be awarded under this sub-factor. For 
example, if the Executive Director is responsible for managing the 
overall program administrative activities, the application should 
reflect the Executive Director's time as 75 percent. However, if a 
staff person will be assigned this responsibility, the 75 percent time 
should be reflected as such. You may demonstrate capacity by thoroughly 
describing your prior experience in fair housing. You should indicate 
how this prior experience is to 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).
    (2) Attach resumes for all key personnel or position descriptions 
for newly created positions. (Resumes or

[[Page 27150]]

position descriptions do not count against the ten-page limit.)
    b. Organizational experience. (10) Points for current FHIP 
grantees; (15) Points for new applicants. In responding to this sub-
factor, you must show that your organization has the ability to 
effectively develop, implement, and manage a media campaign on a 
national scale. (Applicants must be or include as part of their 
proposal a subcontract with an established media/advertisement 
organization that has experience in conducting national media 
campaigns.) Applicants for FHIP program funding must specifically 
describe their experience in developing or carrying out programs to 
prevent or eliminate discriminatory housing practices. Applicants must 
discuss their and/or subcontractor's ability to implement a coordinated 
national marketing awareness campaign, especially in the areas of fair 
housing, discrimination, public health, and housing. In responding to 
this sub-factor, the applicant must describe the extent to which its 
and/or subcontractor's past activities have resulted in successful 
national media campaigns as appropriate, especially with respect to 
developing and implementing innovative strategies resulting in positive 
public response. 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 
three years to be recent, experience pertaining to the specific 
activities to be relevant, and experience producing measurable 
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.
    c. Performance on past project(s). (10) Points for current FHIP 
grantees; (0) Points for new applicants. You must describe your 
organization's past performance in conducting activities relevant to 
your proposal, in the past two years (FY2001-2002 FHIP grants), 
demonstrating good financial management and documenting timely use of 
funds, timely reporting and submissions of tasks and deliverables. HUD 
may supplement information you provide with relevant information on-
hand or available from public sources such as newspapers, Inspector 
General or General Accounting Office Reports or Findings, hotline 
complaints that have been proven to have merit, or other such sources 
of information. In evaluating past performance, the following points 
will be deducted from your score under this rating sub-factor:
    10 points out of 10 possible points will be deducted if you 
received a ``fair performance'' assessment;
    5 points out of 10 possible points will be deducted if you received 
a ``good performance'' assessment; and
    0 points out of 10 will be deducted if you received an ``excellent 
performance'' assessment.
2. Rating Factor 2: Need/Approach to the Problem (20 Points)
    This factor addresses the extent to which the applicant documents 
and defines the national need that its proposed activities and methods 
are intended to address, and how its proposal offers the most effective 
approach for dealing with that national need. In responding to this 
factor, an applicant will be evaluated on the following:
    a. The extent to which the applicant defines, describes, and 
documents the national need the application intends to address, which 
demonstrates a grasp of the elements of the problem, its pervasiveness 
at the national level, and an understanding of the necessary mass media 
vehicles. The applicant's description of the national need will be used 
to evaluate the depth of the applicant's understanding of the problem 
as an indication of ability to address the problem; and
    b. If the applicant has experienced staff or if the applicant 
proposes to use a contractor sub-grantee, the extent to which the 
applicant provides a rationale for how it will utilize its staff or a 
contractor or sub-grantee to incorporate its proposed activities, 
methods, and media techniques will most effectively deal with the 
national need described by the applicant in response to sub-factor (1), 
immediately above. To the extent possible, applicants should 
demonstrate effectiveness in terms of scope and cost.
3. Rating Factor 3: Soundness of Approach (40 Points)
    This factor addresses the quality and cost-effectiveness of the 
applicant's proposed Statement of Work (SOW). The SOW must address the 
strategy, quality and time frames needed to carry out the project and 
all activities as proposed.
    a. (8 Points) Support of HUD Goals. Describe how your proposed 
project will further and support HUD's policy priorities. For FY2004 
FHIP applications, address the following:
    (1) The project's purpose,
    (2) Persons to be served,
    (3) Geographic area to be served,
    (4) Proposed activities and who will conduct these activities, 
e.g., you or a subcontractor(s) or consultant(s).
    Applicants who provide a methodology for carrying out these 
activities that includes items (1) through (4) above will be assessed 
as follows:
    (a) Four points under this sub-factor if you are a grassroots 
faith-based or other community-based organizations, or propose to 
partner or sub-contract with grassroots faith-based or other community-
based organizations
    (b) Up to two points under this sub-factor if your application 
specifically addresses regulatory barriers to affordable housing.
    (c) One point under this sub-factor if your application 
specifically addresses the elimination of housing discrimination to 
improve our Nation's Communities; and
    (d) One point under this sub-factor if your application 
specifically addresses housing discrimination to persons who are 
homeless because of housing discrimination in violation of the Fair 
Housing Act.
    b. (17 Points) 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 also include a schedule of proposed activities and 
products (with interim implementation steps), staff allocation over the 
term of the project, staff acquisitions and training, and activities of 
partners and subcontractors.
    For this Component, HUD anticipates that products will be available 
in at least 3 languages plus English. Deliverables may include Public 
Service Announcements (PSAs) for radio and television in both majority 
and minority markets, and posters and other graphic materials. Graphic 
materials may include, but are not limited to, enlarged reproductions 
of several print PSAs, separately produced and printed posters for 
national public dissemination, and the development of ad slicks to 
market in newspapers and magazines nationwide. The applicant should 
plan on using a clipping service or other appropriate means to collect 
information on frequency and scope of the placement of ads. Applicant's 
SOW should:
    (1) Clearly describe the specific activities and tasks to be 
performed, the sequence in which the tasks are to be performed, noting 
areas of work which must be performed simultaneously,

[[Page 27151]]

estimated completion dates, and the work and program deliverables to be 
completed within the grant period, including specific numbers of 
quantifiable end products and program improvements the applicant aims 
to deliver by the end of the award agreement period as a result of the 
work performed;
    (2) Provide national media market coverage, specific protected 
class focus, as well as focus on persons underserved (ethnic and racial 
minorities, especially those who are non-English speaking or who are 
not proficient in English); and
    (3) Describe their methods for distribution of finished materials. 
Applicants must describe the methods they will use to distribute and 
gauge the effectiveness of their national marketing strategies.
    c. (15 Points) Budget Form and Budget Information. A written budget 
narrative must accompany the proposed budget. The narrative (counted 
toward the 10-page limit) and supporting documentation (not counted 
toward the 10-page limit) must address the following for maximum 
points:
    (1) Cost estimates of salary levels, staff assignments, number of 
staff hours, and all other budget items are reasonable, allowable, and 
appropriate for the proposed activities;
    (2) The proposed program is cost effective in achieving its 
anticipated results, as well as in achieving significant impact; and
    (3) The proposed program is effective by explaining and attaching 
back-up documentation for each cost category. 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 out-of-town subcontractors/
consultants do not exceed the rates and fees charged by local 
subcontractors and consultants.
    (4) In addition, the proposed activities will be conducted in a 
manner (e.g., languages, formats, locations, distribution, use of 
majority and minority media) that will reach and benefit all members of 
the public, especially members of target groups identified in Factor 2;
    (5) How proposed activities will yield long-term results and 
innovative strategies or ``best practices'' that can be readily 
disseminated to other organizations and state and local governments; 
and
    (6) The proposed Media Campaign Component will make available 
activities, training and meeting sites, and information services and 
materials in places and formats that are accessible to all persons 
including persons with disabilities.
4. Rating Factor 4: Leveraging Resources (5 Points Maximum)
    This factor addresses your ability to secure additional 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.
    a. Firm Commitment of Leveraging. HUD requires you to secure 
resources from sources other than what is requested under this FHIP 
Program Section of the SuperNOFA. National resources may include 
funding or in-kind contributions, such as workspace or services or 
equipment, allocated to the purpose(s) of your proposal. Contributions 
from affiliates or employees of the applicant do not qualify as in-kind 
contributions. Resources may be provided by governmental entities 
(including other HUD programs if such costs are allowed by statute), 
public or private non-profit organizations, faith-based organizations, 
for-profit or civic private organizations, or other entities willing to 
work with you. If your project will not be supported by non-FHIP 
resources you cannot claim in-kind and donation of resources and you 
will not receive any points under this factor. Points will be assigned 
based on the following scale: One point will be awarded if less than 5 
percent of the projects total costs come from non-FHIP resources.
    Two points will be awarded if between 5 percent and 10 percent of 
the project's total costs are from non-FHIP resources.
    Three points will be awarded if between 11 percent and 20 percent 
of the project's total costs are from non-FHIP resources.
    Four points will be awarded if between 21 percent and 30 percent of 
the project's total costs are from non-FHIP resources.
    Five points will be awarded if at least 31 percent of the project's 
total costs are from non-FHIP resources. In order to secure points you 
must establish leveraging of resources by providing letters of firm 
commitment from the organizations and/or individuals who will support 
your project. Each letter of firm commitment must:
    (1) Identify the organization and/or individual committing 
resources to the project,
    (2) 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
    (3) Describe how these resources will be used under 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 
fair market value of those resources and describe how this fair market 
value was determined. (Do not include indirect costs within your in-
kind resources.) In-kind and matching contributions and Program Income 
must be in accordance with 24 CFR 84.23 and 84.24. FHIP funds cannot be 
used as in kind or donated services (for example, a current staff 
person on a FHIP-funded project). No points will be awarded for general 
letters of support endorsing the project from organizations, including 
elected officials on the local, state, or national levels, and/or 
individuals in your community.
5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    In evaluating this factor, HUD will assess the extent to which you 
demonstrate how you will measure your success or results to be achieved 
that represent the work of your organization as set out in your budget 
and SOW. Applicants must describe their specific methods and measures 
to assess progress, evaluate program effectiveness, and identify 
program changes necessary to improve performance, to ensure commitments 
made will be kept and results to be achieved can be accounted for and 
independently assessed to ensure performance measures are met. 
Applicants who have identified inputs and outcome measurement and 
include means for assessing these measures, tracking and monitoring 
performance goals and achievements against these commitments made in 
the application, will receive higher points than those that do not. To 
meet this requirement, you should:
    a. First, identify the outcome. You should refer to the Logic Model 
provided in the forms appended to the General Section. Applicants 
should review the training for the Logic Model on HUD's Web site. The 
URL where the training can be found is: http://www.hud.gov/offices/
grants/training/training.cfm.
    b. Second, identify the indicator. An indicator should be explained 
using numerical measures that can determine the extent to which the 
outcome was or is expected to be achieved and/or utilized to assess 
your performance. You should also track or monitor how your

[[Page 27152]]

projected outcomes will be successfully achieved. Specify what form of 
measurement tool(s) will be utilized to quantify the overall results of 
your project's performance.
    In formulating how you attain your end results, estimate the types 
and amounts of clients you expect to be served with the amount 
allocated as it relates to your proposed budget. Estimate approximately 
how many of those served will benefit from your project's activities 
and tasks and estimate the timeframe for this to be accomplished.
    Accomplishments can be achieved using specific measurements tools 
to assess the impact of your solutions. Examples include: Intake 
Assessment Instrument; Pre/Post Tests; Customer/Client Satisfaction 
Survey; Follow-up Survey; Observational Survey, Functioning scale, or 
Self-sufficiency scale. You should describe what kind of fair housing 
activities you propose to accomplish and how successful you project 
them to be given the national need, as identified in Factor 2, for 
these activities. Finally, you should consider this need, what you plan 
to accomplish, your proposed methodology and work plan to assess the 
benefits that will be derived from your project.
    You should demonstrate the extent to which your application 
proposes solutions that result in creating linkages and using specific 
measurement tools to assess the impact of your project and a process to 
establish a clear relationship among all parties impacted. As your 
project ends, you must report meaningful data derived from client 
feedback on how they benefited from your project's activities.

B. Reviews and Selection Process

    1. Rating and Ranking. Although all rating factors are organized 
the same way for all FHIP initiatives, there are differences in 
application requirements and rating criteria, which are indicated 
throughout the Rating Factor instructions. Your application for funding 
will be evaluated competitively against all other applications 
submitted under one of the following initiatives or components:
    a. Private Enforcement Initiative (PEI);
    b. Education and Outreach Initiative (EOI)--
    (1) Regional/Local/Community-Based Program's:
    (a) General Component (EOI-GC);
    (b) Disability Component (EOI-DC);
    (c) Hispanic Fair Housing Awareness Component (EOI-HA);
    (d) Fair Housing and Minority Homeownership Component (EOI-HC);
    (2) National Program: Media Component, or the Fair Housing 
Organizations Initiative (FHOI).
    3. Fair Housing Organizations Initiative.
    For all initiatives, all eligible applications will be reviewed and 
points awarded based upon your narrative responses to the Factors for 
Award and accompanying materials (e.g., resumes) and EC/EZ bonus 
points, as applicable. Ineligible applications will not be ranked. The 
maximum number of points to be awarded for the Rating Factors is 100. 
See section of the General Section for information on Bonus Points.
    Applications with a score of 75 points or more will be considered 
of sufficient quality for funding. The Selecting Official will not 
select for award any application with a score below 75 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 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.
    c. Tie Breaking. When two or more applications have the same total 
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 amount of FHIP funding will be ranked 
higher. Finally, if this does not break the tie, the application with 
the higher score under Rating Factor 2 will be rated higher.
    d. Achieving Geographic Diversity of Awards. (1) PEI and EOI. HUD 
reserves the right to select applications out of rank order under 
geographic diversity, 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, there will be two determinants used: (a) Geography and (b) 
score. Geographic diversity shall be applied to all qualified 
applications (applications of sufficient quality for funding--
applications that received a score of 75 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 queue. The 
applications moved to the end of the qualified queue will retain their 
geographic rank order. If sufficient funds remain, it is possible that 
applications moved to the end of the queue may be selected for award.
    (2) FHOI. Under FHOI, the geographic diversity provision does not 
apply.
    e. Adjustments to Funding. As provided in the General Section, HUD 
may approve an application for an amount lower than the amount 
requested, fund only portions of your application, withhold funds after 
approval, reallocate funds among activities and/or require that special 
conditions be added to your grant agreement, in accordance with 24 CFR 
84.14, the requirements of the SuperNOFA the SuperNOFA, or where:
    (1) HUD determines the amount requested for one or more eligible 
activities is unreasonable or unnecessary;
    (2) An ineligible activity is proposed in an otherwise eligible 
project;
    (3) Insufficient amounts remain to fund the full amount requested 
in the application, and HUD determines that partial funding is a viable 
option;
    (4) The past record of key personnel warrants special conditions; 
or,
    (5) Training funds are not reserved for FHIP training.
    f. Reallocation of Funds. If after all applications within funding 
range have been selected or obligations are completed in an Initiative 
and funds remain available, the selecting official or designee will 
have the discretion to reallocate leftover funds in rank order among 
initiatives as follows:
    (1) For EOI, any remaining funds from any component will be 
reallocated first within the initiative; if after reallocating funds 
within the initiative left over funds remain, they shall be reallocated 
to PEI then to FHOI;
    (2) For PEI, any remaining funds will be reallocated to EOI then to 
FHOI;
    (3) For FHOI, left over funds will be reallocated to PEI then to 
EOI.
    Reallocated funds will be awarded within initiatives as described 
in this Program Section of the SuperNOFA.

C. Anticipated Announcement and Award Dates

    For planning purposes, anticipate an announcement date of August 
17, 2004, and an award date of September 17, 2004.

[[Page 27153]]

VI. Award Administration Information

A. Award Notices

    1. Applicant Notification and Award Procedures. a. Notification. No 
information about the review and award process will be available to you 
during the period of HUD evaluation, which begins on the closing date 
for applications under this 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 the General Section 
of the SuperNOFA and Section of this NOFA. HUD will communicate only 
with persons specifically identified in the application. HUD will not 
provide information about the application to third parties such as 
subcontractors.
    b. 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 in the General Section. 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 signed and 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.).
    c. Applicant Debriefing. After awards are announced, applicants may 
receive a debriefing on their application as described in the General 
Section. Materials provided during the debriefing will be the 
applicant's final scores 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. Applicants 
requesting a debriefing must send a written request to Annette Corley, 
Grant Officer; U.S. Department of Housing and Urban Development, FHIP/
FHAP Support Division, 451 7th Street, SW., Room 5224, Washington, DC 
20410. 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.

B. Administrative and National Policy Requirements

    1. Accessibility Requirements. All activities, facilities, and 
materials funded by this Program must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    2. Protected Classes. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin.
    3. 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.
    4. Product Information. Press releases and any other product 
intended to be disseminated to the public must be submitted to the 
Government Technical Representative (GTR) two weeks before release for 
approval and acceptance.
    5. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. (See General 
Section.)
    6. Payment Contingent on Completion. Payment of FHIP funds is made 
on a reimbursement basis. Payments are contingent on the satisfactory 
and timely completion of your project activities and products as 
reflected in your grant or cooperative agreement. Requests for funds 
must be accompanied by financial and progress reports.
    7. Copyright Materials. You may copyright any work that is eligible 
for copyright protection subject to HUD's right to reproduce, publish, 
or otherwise use your work for Federal purposes, and to authorize 
others to do so as required in 24 CFR 84.36.9.
    8. Complaints Against Awardees. Each FHIP award is overseen by a 
HUD Grant Officer (see Appendix B for list of Grant Officers per 
region). Complaints from the public against FHIP grantees should be 
forwarded to the Grant Officer. The Grant Officer's name and contact 
information is provided in the grant agreement. If, after notice and 
consideration of relevant information, the Grant Officer concludes that 
there has been inappropriate conduct, such as a violation of FHIP 
program requirements, terms or conditions of the grant, 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 
awarding future FHIP applications; repayment to HUD of funds received 
under the grant; or temporary or permanent denial of participation in 
the FHIP in accordance with 24 CFR part 24.
    9. Double Payments. If you are awarded funds under this NOFA, you 
(and any subcontractor or consultant) may not charge or claim credit 
for the activities performed under this project under any other Federal 
project.
    10. Performance Sanctions. A grantee or subcontractor failing to 
comply with the requirements 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.

C. Reporting

    1. HUD requires that funded recipients collect racial and ethnic 
beneficiary data. It has adopted the Office of Management and Budget's 
Standards for the Collection of Racial and Ethnic Data. In view of 
these requirements, you should use Form HUD-27061, Racial and Ethnic 
Data Reporting Form (and instructions for its use), found on http://www.HUDclips.org, a comparable program form, or a comparable electronic 
data system for this purpose.
    2. Listed below is a sample reporting document of activities and 
tasks to be performed by a FHIP Grantee.
BILLING CODE 4210-32-P

[[Page 27154]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.108


[[Page 27155]]


BILLING CODE 4210-32-C
    3. Funded recipients must use the Logic Model to report outcomes 
and outputs.

VII. Agency Contact(s)

    You may contact Myron P. Newry or Denise L. Brooks of the FHIP/FHAP 
Support Division, at 202-708-0800 (this is not a toll-free number). 
Persons with hearing or speech impairments may contact the Division by 
calling 800-290-1617 (this is a toll-free number).

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2529-0033. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burdens for the collection of 
information is estimated to average 100 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
    B. Frequently Asked Questions.
    Q. If data, tables, exhibits, reports, and studies are submitted 
with the application, will they be counted toward the 10-page limit 
requirement?
    A. The attachments do not count toward the 10-page limit. However, 
you are encouraged to summarize the points that support your Factor 
responses. Do not attach data tables, exhibits, and studies and expect 
the evaluator to read them and discern the points that should be 
considered. If you summarize information from studies, reports, etc, 
simply include a bibliography or other reference at the end of Factor.
    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. For FY2004, the Certification of Consistency with the 
Consolidated Plan is not required.
    Q. Where can I find a copy of the Application Kit?
    A. There is no Application Kit for the FY2004 FHIP SuperNOFA. The 
NOFA 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 is the maximum number of narrative pages that can be 
submitted for each Rating Factor?
    A. The maximum number is 10 pages per Rating 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, Resumes as required by Factor 1, or any reports or documents 
you attach to support your Factor information). The narrative pages 
must be double-spaced and you are required to use 12-point type size 
(font). However, all pages in the application must be consecutively 
numbered starting with number one through the end of your application. 
For example, Factor 1 has 10 pages of narrative and 10 pages of 
attachments. Each attachment page must be numbered. When you get to 
Factor 2, the first page of the Factor will be numbered 21, and so on. 
If you do not number each page in your entire application, points will 
be deducted from your application if this criterion is not met.
    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 private, tax-exempt, charitable organizations 
that have engaged in enforcement-related activities. The amount of 
enforcement-related experience is an eligibility requirement for PEI, 
least one year for and FHOI, at least two years. (See 24 CFR 125.103 
for QFHO and 24 CFR 125.401(b)(2) for FHO.) For PEI and FHOI, 
applicants must self-identify as a QFHO or an FHO AND provide 
information, including dates of enforcement-related activities. The 
information you provide should enable HUD to determine if your 
organization meets at least the one or two year enforcement-related 
experience requirement.
    Q. May an applicant subcontract out a percentage of its activities 
to subcontractors, partner, or consultants, if it is selected for a 
FHIP award?
    A. Yes. However, when the expenditures to a particular 
subcontractor, partner, or consultant exceed 10 percent of the grant 
amount, an itemized budget is required.
    Q. Is an organization ``engaged in testing for fair housing 
violations'' if it hires a qualified organization to carry out its 
testing program?
    A. Yes, so long as the applicant maintains decision making 
authority, analyzes the test results, and maintains oversight or 
selection of testing operations.
    Q. Does the SuperNOFA identify what makes an application 
ineligible?
    A. Yes. For FHIP, see the eligibility requirements for each 
Initiative, and the Threshold Criteria. For threshold requirement 
information under the SuperNOFA, see the General Section.
    Q. Can an applicant propose to do an Analysis of Impediments (AI)?
    A. No. The applicant can identify activities to be carved out of 
the AI but not to do planning to develop AI.
    Q. Are there major differences between this year's SuperNOFA and 
last year's?
    A. Yes, those differences are explained in Section of the FHIP NOFA 
and Section of the General Section of the SuperNOFA. Please note the 
major differences in eligibility requirements. Some requirements that 
were technical deficiencies in previous years are ineligible under this 
NOFA.
    Q. At what point may a FHOI ``sponsored organization'' apply under 
any FHIP Initiative?
    A. A sponsored organization is eligible after three years to apply 
for funds under other initiatives or components.
    Q. What are maximum awards?
    A. Maximum award 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/FHAP 
Support Division Office in Washington, DC. These applications should be 
mailed or sent by an express service to the address stated in the 
SuperNOFA under the Section Addresses and Application Submission 
Procedures. Please note that applications incorrectly addressed may not 
be forwarded to this Division at all or it may be forwarded late. If 
that happens, your application will be deemed ineligible.
    Q. What is the best method of knowing that the appropriate person 
has received my application? Should I follow up with a call?
    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. The Acknowledgement will be returned to the address indicated. 
HUD

[[Page 27156]]

will not acknowledge the receipt of applications over the telephone 
(see General Section for return receipt requirements).
    Q. What is the Web site address?
    A. Http//www.hud.gov/grants.
    Q. What is the due date?
    A. The due date is outlined in this NOFA under Section IV. 
Application and Submission Information.
    Q. If I have a technical question, can I call HUD?
    A. Yes, technical questions should be directed to Myron P. Newry, 
or Denise L. Brooks 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 800-290-1617 (this is a toll-free number). 
Technical assistance does not include assisting you in determining your 
eligibility to apply for funds. Applicants must make their own 
determination, based upon the requirements identified in the FHIP 
component under the section labeled Eligible Applicants. Technical 
Assistance cannot be provided to help you write any part of your 
application or develop responses to the application requirements. 
Rather, technical assistance, outside of the training broadcasts, will 
only clarify general application and program requirements published in 
the NOFA.
    Q. What is meant by geographic diversity?
    A. See information under section V.B.
    Q. As an FHOI applicant, are education and outreach expenses 
required to come out of my 15 percent administrative costs?
    A. No.

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27157]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.109


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27159]]



Fair Housing Initiatives Program, Education and Outreach Initiative-
Partnership With Historically Black Colleges and Universities

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Fair Housing and Equal Opportunity.
    B. Funding Opportunity Title: Fair Housing Initiatives Program 
(FHIP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4894-N-01. The OMB approval number for this program is 2539-
0033.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 
Education and Outreach Initiative 14.409.
    F. Dates: The application due is June 18, 2004.
    G. Additional Overview Content Information:
    General description. The Education and Outreach Initiative (EOI) 
assists projects that educate and inform the public about the rights 
and obligations under the Fair Housing Act (Act) and substantially 
equivalent state and local fair housing laws. Applications are 
solicited for this initiative under the EOI-College and University 
Component to organize and operate a fair housing legal-clinical 
education program that will benefit the public by producing well-
trained clinicians and lawyers who are capable of educating and 
informing the public on fair housing rights and obligations. This fair 
housing legal-clinical education program will also serve as a national 
model that can be replicated at any ABA-accredited law school.
    FHIP funds are used to increase compliance with the Fair Housing 
Act (the Act) and with substantially equivalent state and local fair 
housing laws. This NOFA furthers this goal by seeking to provide 
funding to Historically Black Colleges and Universities (HBCUs) with 
Law schools accredited by the American Bar Association (ABA) to develop 
fair housing curricula and a clinical fair housing law program for law 
students. While this effort was announced in the April 25, 2003, 
Federal Register, in the NOFA for the FHIP (at 68 FR 21197), no 
applications were solicited at that time. This NOFA solicits 
applications for this effort only.
    1. HUD intends to award cost reimbursable Cooperative Agreements.
    2. Eligible applicants are HBCUs with American Bar Association 
(ABA) accredited law schools.
    3. If you are interested in applying for funding under the FHIP 
please review 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), 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).

Full Text of Announcement`

I. Funding Opportunity Description

    $20,118,375 was appropriated for the FHIP in FY2003. Of this 
amount, $1 million is being made available on a competitive basis to 
eligible organizations responding to this FHIP NOFA. The term for this 
Cooperative Agreement will be one year. HUD may exercise the option to 
extend this Cooperative Agreement for two additional one-year terms, 
based on satisfactory performance of the awardee in the first year and 
the availability of FHIP funds. Rolling out the model Fair Housing Law-
Clinical Program to other accredited law schools will be the focus of 
subsequent years.
    HUD is seeking to establish a national model for a Fair Housing 
Law-Clinical Program at an accredited HBCU law school. Pursuant to 
Executive Order 13256, HUD is strongly committed to broadening the 
participation of HBCUs in federal programs. Establishing a Fair Housing 
Law-Clinical Program will serve to better inform and educate the public 
about the rights and obligations under the Act and substantially 
equivalent State and local fair housing laws, and will also enhance the 
HBCU's ability to serve its students and the public by providing Fair 
Housing Law as another field of study and career option.
    Authority. Section 561 of the Housing and Community Development Act 
of 1987, as amended, (42 U.S.C. 3616) established the FHIP (FHIP)) and 
the implementing regulations are found at 24 CFR part 125.
    A. Program Definitions. The definitions that apply to this FHIP 
NOFA are as follows:
    1. Fair Housing Act (the Act) means Title VIII of the Civil Rights 
Act of 1968 as amended by the Fair Housing Amendments Act of 1988 (42 
U.S.C. 3600-3620).
    2. Fair Housing Assistance Program (FHAP) Agencies mean State and 
local fair housing enforcement government agencies that receive FHAP 
funds because they administer laws deemed substantially equivalent to 
the Act, as described in 24 CFR part 115.
    3. Fair Housing Enforcement Organization (FHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    4. Minority-Serving Institutions (MSI) (see General Section).
    5. Qualified Fair Housing Enforcement Organization (QFHO) means an 
organization engaged in fair housing activities as defined in 24 CFR 
125.103.
    6. Regional/Local/Community-Based Activities are defined at 24 CFR 
125.301(a) & (d).

II. Award Information

    A. Approximately $1 million will be awarded under the EOI Minority 
Serving Institutions Component of the Fair Housing Initiatives Program 
(FHIP-EOI).
    B. Anticipated Number of Awards. The estimated number of awards is 
one.
    C. Maximum Award Amount. The maximum award amount is $1 million 
under this NOFA.
    D. Anticipated Start Date and Period of Performance. For planning 
purposes, assume a start date of no later than September 1, 2004. The 
period of performance shall be for one year, however, HUD may exercise 
the option to extend the agreement for two additional one-year terms.
    E. Funding Instrument. Funds will be awarded as a Cooperative 
Agreement. HUD expects to have substantial involvement in the 
development of the awardee's academic approach in establishing the law 
clinic and services made available and allow for direct input into the 
development of a national model for replication at any ABA-accredited 
law school. The agreement will identify the eligible activities to be 
undertaken, financial controls, the awardees' proposed performance 
measures, and special conditions, including sanctions for violation of 
the agreement. HUD will use the Cooperative Agreement to monitor your 
progress to ensure that you have achieved the objectives set out in 
your agreement. Failure to meet such objectives may be the basis for 
HUD determining your agreement in default and exercising available 
sanctions, including suspension, termination, and/or the recapture of 
your funds. Also HUD may refer violations or suspected violations to 
enforcement offices within HUD, the U.S. Department of Justice or other 
enforcement authorities.

III. Eligibility Information

A. Eligible Applicants

    1. To qualify as an applicant under this Component, an institution 
must:

[[Page 27160]]

    a. Be recognized by the American Bar Association as having an 
accredited law school;
    b. Be legally authorized by the State in which it is located to 
provide a bachelor's degree program and a law degree program;
    c. Be designated by the Secretary of the U.S. Department of 
Education as a Historically Black College or University; and
    d. Have a high enrollment of needy students defined by 34 CFR 
607.3. Applicants must submit documentation from the U.S. Department of 
Education establishing eligibility (except for item a. above).
    2. Consortium Requirements. Two or more eligible applicants may 
file a joint application as a consortium. When filing jointly, you must 
designate one entity to be the lead applicant. The lead applicant will 
be the awardee if HUD funds your application. The lead applicant must 
include a Memorandum of Understanding (MOU) for each consortium member. 
Each MOU must provide a detailed description of the work to be 
performed by the consortium member(s) and the costs associated with the 
work. A draft MOU may be acceptable provided you include a detailed 
explanation of why a fully ratified MOU is not being presented in your 
application. A fully ratified MOU is contingent upon HUD funding the 
application. In addition, written commitment from the proposed 
consortium member(s) must be included in your application. If a draft 
MOU is submitted in the application, the finalized fully ratified MOU 
for each consortium member must be submitted to HUD within 15 calendar 
days after announcement of the award. Each MOU must commit the 
consortium member to actively supporting the development and 
implementation of the Fair Housing Legal-Clinical Program. Each MOU 
must also describe the skills and resources each consortium member 
brings to assist in implementation of your specific action plan 
activities. Each MOU will be considered in reviewing and rating your 
application, so you should strive to be as specific as possible in each 
MOU document.

B. Cost Sharing or Matching

    No matching funds are required for the Education and Outreach 
Initiative.

C. Other

    1. Threshold Requirements.
    a. Ineligible Applicants. HUD will not consider an application from 
an ineligible applicant.
    b. Compliance with Fair Housing and Civil Rights Laws. See General 
Section.
    c. Debarment and Suspension. Applicants are ineligible for funding 
if they are debarred and suspended.
    d. Poor Performance. Applicants are ineligible for funding if they 
are a previous FHIP awardee that has received a ``Poor'' performance 
rating for its most recent performance rating from its Government 
Technical Representative (GTR). HUD will assess performance ratings for 
applicants who have received FHIP funding in 2001 or 2002. If the 
applicant has received a ``poor'' performance rating for its most 
recent performance rating from its GTR, its application is ineligible 
for FY2004 competition. An applicant that does not agree with its 
determination of ineligibility for the FY2004 competition because of 
``poor'' performance must address to HUD's satisfaction the factors 
resulting in the ``poor'' performance rating before the FHIP 
application deadline. If the ``poor'' performance rating is not 
resolved to the Department's satisfaction before the application 
deadline, the application is ineligible for funding. HUD is interested 
in increasing the performance level of all funded recipients; 
therefore, applicants who are deemed ineligible because of a ``poor'' 
performance rating have the right and are encouraged to seek technical 
assistance from HUD to correct their performance in order to be 
eligible for future NOFA competition.
    e. Suits Against the United States. Your application is ineligible 
for funding if as a current or past awardee of FHIP funds, your 
organization used any funds provided by HUD for the payment of expenses 
in connection with litigation against the United States (24 CFR 
125.104(f)).
    f. Other Litigation. Your application is ineligible for funding if 
you used funds under this Program provided by HUD to settle a claim, 
satisfy a judgment or fulfill a court order in any defensive litigation 
(24 CFR 125.104).
    g. Delinquent Federal Debt. See General Section.
    h. Name Check Review. See General Section.
    i. False Statements. See General Section.
    j. DUN and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section of the SuperNOFA for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD.
    2. Requirements under this NOFA. In addition to the Threshold 
Requirements, your application for FHIP-program funding must also meet 
the following requirements:
    a. Protected Basis. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status, or national origin.
    b. Performance Measures and Products. Your application must 
demonstrate how your project activities will support HUD's goals to 
increase compliance with the Act and with substantially equivalent 
state and local fair housing laws, identify performance measures/
outcomes in support of those goals, and describe your proposed record-
keeping and evaluation systems. If selected for funding, your final 
performance measures will be negotiated between you and HUD as part of 
your executed Cooperative Agreement.
    c. Reports and Meetings on Performance Measures and Products. 
Applicants must use the Logic Model, Form HUD-96010.
    d. Discrimination Covered Under the Act. The applicant must 
describe how it will address all housing discrimination covered under 
the Act.
    e. Screening/Threshold Review. Only applications that satisfy all 
of the applicable requirements under this FHIP NOFA will be considered 
for funding. The rating of the ``applicant'' or the ``applicant's 
organization and staff'' for technical merit or threshold compliance, 
unless otherwise specified, will include any sub-contractors, 
consultants, subrecipient, and members of consortia that are firmly 
committed to the project.
    3. Specific activities. An application under this NOFA must address 
how the applicant proposes to undertake each of the activities listed 
below:
    a. Development of a comprehensive concept and design of an Action 
Plan for the Fair Housing Legal-Clinical Program that can serve as a 
national model for replication at any accredited law school. The Action 
Plan must include a design concept and academic structural approach 
that will be used in developing and operating the Fair Housing Legal-
Clinical Program.
    b. Design of a course curriculum that will:
    (1) Review and identify all of the prohibitions contained in the 
Act;
    (2) Explain how, and in what manner, the prohibitions apply to each 
protected class identified in the law;
    (3) Provide examples of the contexts and the numerous factual 
circumstances that can be presented in establishing applicability;
    (4) Implement the curriculum design at an HBCU with an ABA-
accredited law school;

[[Page 27161]]

    (5) Develop training that will be provided to faculty and, as 
appropriate, other key support staff and establishment of a training 
schedule;
    (6) Develop procedures that will be used to recruit law students to 
participate in the program and the procedures for such students to 
receive credit for their participation;
    (7) Project the number of students expected to participate in the 
program;
    (8) Develop the procedures that will be used to assure that law 
students enrolled in the legal-clinical program are adequately 
supervised in processing fair housing cases;
    (9) Develop a comprehensive concept and design for a legal-clinical 
program that can serve as a national model for replication at any ABA-
accredited law school; and
    (10) Develop a plan to promote the replication of the fair housing 
curriculum and clinical law program at other accredited law schools.
    (11) An applicant may propose other activities, but the application 
must consist of items (1)-(10) above to be considered eligible for 
funding.
    4. Statutory and Regulatory Requirements. To be eligible for 
funding under this NOFA, you, the applicant, must meet all statutory 
and regulatory requirements applicable to the FHIP. If you need copies 
of the FHIP regulations, they are available through the HUD Web site 
http://www.hud.gov.

IV. Application and Submission Information

A. Addresses To Request Application Package

    1. Copies of the published FHIP NOFA and application forms can be 
secured by calling HUD at 202-708-0800 or for the hearing impaired, 
800-290-1617.
    2. Before the application due date, HUD staff will be available to 
provide you with general guidance and technical assistance about this 
NOFA. However, HUD staff is not permitted to assist you in preparing 
your application. Following selection of applicants, but before the 
announcement of awards is made, HUD staff is available to assist in 
clarifying or confirming information that is a prerequisite to the 
offer of an award.

B. Content and Form of Application Submission

    The maximum narrative page requirement is 10 pages per Factor. All 
pages in your application must be numbered consecutively from beginning 
to end. The narrative pages must be double-spaced (no more than three 
lines per vertical inch). This includes all narrative text, titles and 
headings. (However, you may single space footnotes, quotations, 
references, captions, charts, forms, tables, figures and graphs). You 
are required to use 12-point type size. A page is 8.5 x 11 inch, on one 
side only, with one inch margins on the top, bottom, right and left. 
You must respond fully to each factor to obtain maximum points. Failure 
to provide narrative responses to all factors or omitting requested 
information will result in less than the maximum points available for 
the given rating factor or sub-factors. Failure to provide double-
spaced, 12-point type size narrative responses will result in five 
points being deducted from your overall score (one point per factor). 
Failure to consecutively number pages within your application will 
result in one point being deducted from your overall score.
    1. Please ensure that your application contains all of the 
following:
     Copy of SF-424 (Place a copy of the SF-424 on top of 
application package).
     Transmittal Letter.
     Checklist for Completion of Applications.
     Project Abstract Outlining Project Activities.
     Factor No. 1 Narrative.
     Factor No. 2 Narrative.
     Factor No. 3 Narrative.
     Factor No. 3 Attachments: Statement of Work, Budget Form, 
Budget Narrative.
     Factor No. 4 Narrative.
     Factor No. 4 Attachments: Letter(s) of Firm Commitment.
     Factor No. 5 Narrative.
     Responses to Additional Requirements for Specific 
Initiative/Project.
Application Forms and Certifications
     SF-424 Application for Federal Assistance.
     SF-424B Applicant Assurances and Certifications.
     SF-424CB Grant Application Detailed Budget.
     SF-424CBW Grant Application Detailed Budget Worksheet.
     HUD-2880 (Applicant Recipient Disclosure Update Report.
     OMB SF-LLL Disclosure of Lobbying Activities.
     HUD 2993 Acknowledgment of Application Receipt.
    This Checklist reflects all forms that must be included in your 
application submission.
    2. Attachments. All applicants must submit resumes or position 
descriptions for newly created positions. If you received HUD funding 
in the past, please submit the most recent Financial Status Report, 
Standard Form (SF) 269.
    3. Within 30 days after the due date for this NOFA applicants are 
invited, on a voluntary basis, to submit applications via the use of 
http://www.Grants.gov. For your fiscal year 2004 application, use of 
grants.gov/APPLY is strictly voluntary and intended to help HUD test 
the system to ensure that future applications can be received at HUD 
without problems and also, to help you, the applicant, become familiar 
with the use of the system. It is HUD's intent to move to electronic 
submissions in Federal Fiscal Year 2005 and beyond and you can help us 
in our planning by submitting your application electronically within 30 
days after you have submitted your paper copies by the due date and 
time per the mailing instructions in this program section and general 
Section of this SuperNOFA.

C. Submission Dates and Times

    You must submit a completed application (one original and three 
copies) for the specific initiative and component for which you are 
applying on or before June 14, 2004 to the HUD Headquarters building. 
Applicants missing the deadline will have their applications returned 
without further review by the Technical Evaluation Panel.

----------------------------------------------------------------------------------------------------------------
                                                         Required form or
         What to submit             Required content          format                  When to submit it
----------------------------------------------------------------------------------------------------------------
Application:
    Cover sheet.................  (Per required form)  Form SF-424........
    Budget information..........  (Per required form)  Form SF-424CBW.....
    Narrative...................  Described in         Format described in
                                   Section IV.B of      Section IV.B of
                                   this announcement.   this announcement.
    Assurances..................  (Per required form)  Form SF-424B,
                                                        available from.
    Letters from third parties    Third parties'       No specific form or  By June 14, 2004.
     contributing to cost          affirmations of      format.
     sharing.                      amounts of their
                                   commitments.
----------------------------------------------------------------------------------------------------------------


[[Page 27162]]

D. Intergovernmental Review

    Executive Order 12372 was issued to foster intergovernmental 
partnership and strengthen federalism by relying on State and local 
processes for the coordination and review of Federal financial 
assistance and direct Federal development. HUD implementing regulations 
are published in 24 CFR part 52. The Order allows each state to 
designate an entity to perform a state review function. The official 
listing of State Points of Contact (SPOC) for this review process can 
be found at http://www.whitehouse.gov/omb/grants/spoc.html. States not 
listed on the website have chosen not to participate in the 
intergovernmental review process and, therefore, do not have a SPOC. If 
your state has a SPOC, you should contact them to see if they are 
interested in reviewing your application prior to submission to HUD. 
Please make sure that you allow ample time for this review process when 
developing and submitting your applications. If your state does not 
have a SPOC, you may send applications directly to HUD.

E. Funding Restrictions

    1. Applicants are ineligible for funding if they request funding in 
excess of the maximum allowed under the initiative or component for 
which they are applying. Any amount over the maximum award, even if 
less than one dollar, will be considered a request in excess of the 
maximum award. In addition, inconsistencies in the amount requested 
and/or miscalculations that result in amounts over the maximum award 
will be considered excessive; therefore the application is ineligible.
    2. Ineligible Activities. Fair Housing and Free Speech. None of the 
amounts made available under this FHIP Program Section of the 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.

F. Other Submission Requirements

    Your application consists of an original signed application form 
(SF-424) and all items listed in the Checklist (above). Mail your 
completed application (one original and three copies) to: FHIP 
SuperNOFA 2004 Attn: EOI-Fair Housing Legal-Clinical Component, FHIP/
FHAP Support Division, Office of Fair Housing and Equal Opportunity, 
U.S. Department of Housing and Urban Development, 451 Seventh Street, 
SW., Room 5224, Washington, DC 20410-2000.
    See the General Section of the SuperNOFA for additional information 
regarding the mailing and receipt procedures that apply to all HUD 
NOFAs.

V. Application Review Information

A. Criteria

    Factors for Award Used to Evaluate and Rate Applications. 
Applications for funding will be evaluated competitively against all 
applications submitted under this NOFA. The maximum number of points to 
be awarded for the Rating Factors is 100. Applications with a score of 
75 points or more will be selected in rank order except as provided 
below:
    The factors for rating and ranking applications and the maximum 
points for each Rating Factor are described below. Failure to provide 
the required information under the appropriate Factor will result in a 
lower score for that Factor. Please respond fully to the criteria in 
each Rating Factor and sub-factor and, when directed, provide other 
information in support of your response. Your responses to each Rating 
Factor must not exceed the 10-page Rating Factor requirement. The 
Factors for Award are set below:
1. Rating Factor 1. Capacity of Applicant and Relevant Organizational 
Experience (40 Points Maximum)
    You must describe staff expertise and your organization's ability 
to complete the proposed activities within the Cooperative Agreement 
period. Your staff must discuss their experience in implementing and 
maintaining a legal-clinical program and in Civil Rights law.
    In carrying out the proposed activities, you must identify persons 
already on staff who will be assigned to carry out the tasks of this 
Cooperative Agreement. If you plan to hire additional staff or rely on 
subcontractors or consultants to perform specific tasks, you must 
describe your staffing plan and the extent to which you plan to add 
staff (employees) or contractors. If your application proposes using a 
consortium, each member of the consortium must have staff assigned to 
carry out the tasks of this Cooperative Agreement. In addition, 
consortium proposals must specify a lead member who will be responsible 
for ensuring that all tasks and activities are being carried out.
    a. Number and expertise of staff (this includes subcontractors and 
consultants). (20 Points Maximum)
    (1) You must show that you will have sufficient, qualified staff or 
faculty who will be available to:
    (2) Develop an academic structural approach and comprehensive 
concept and design for a fair housing legal-clinical program that can 
serve as a national model for replication at any ABA-accredited law 
school (submit a draft curriculum with the application); and
    (3) Implement the curriculum design at an HBCU with an ABA-
accredited law school.
    (a) You must also:
    (b) Identify all of the administrators of the clinical program and 
describe their function, qualifications, and experience;
    (c) Identify persons who will constitute the faculty for the 
program and describe their functions, qualifications, and experience; 
and
    (d) Identify and describe the functions and qualifications of any 
other program staff.
    (e) For consortium applicants, identify and describe:
    (f) The qualifications of each consortium member;
    (g) The faculty and staff to be assigned for each member and
    (h) The ability of each member to develop an overall design 
concept, curriculum; and academic structural approach that will be used 
in developing and operating the Fair Housing Legal-Clinical Component.
    (i) You must describe the knowledge and experience of the proposed 
overall Faculty Administrator and day-to-day program manager (whose 
duties and responsibilities include managing all program and 
administrative activities as outlined in the SOW and ensuring that all 
timelines are met), in planning and managing a fair housing legal-
clinical program. 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 percent of his/her time to 
the project. For day-to-day managers who do not have at least 75 
percent of their time devoted to the project, no points will be awarded 
under this sub-factor. You must indicate how your prior experience will 
be used in carrying out your proposed activities. All applicants must 
clearly identify those persons that are on staff at the time this 
application is filed for each member and those persons who will be 
assigned at a later date. Each consortium member must 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. For part-

[[Page 27163]]

time staff, indicate the percentage of time each person is assigned to 
the project. In addition, provide information on the training that will 
be provided to each clinical staff person.
    (j) Attach resumes or curriculum vitae for all key personnel or 
position descriptions for newly created positions. (Resumes, curriculum 
vitae or position descriptions do not count against the 10-page limit.)
    b. Organizational experience. (20 Points Maximum)
    (1) In responding to this sub-factor, you must show that your 
organization is:
    (2) Designated by the Secretary of the U.S. Department of Education 
as a Historically Black College or University;
    (3) Accredited by the ABA as a law school; and
    (4) You must also show that you have conducted a past clinical 
project or projects similar in scope and complexity to the clinical 
project proposed in this application (whether FHIP-funded or not) or 
that you have engaged in activities that, although not similar, are 
readily transferable to the proposed project. Experience will be judged 
in terms of recent, relevant and successful experience of your staff 
and institution to undertake eligible activities.
    (5) In rating this factor, HUD will consider experience within the 
last three years to be recent, experience pertaining to the specific 
activities to be relevant, and experience producing measurable 
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.
2. Rating Factor 2. Soundness of Approach (40 Points Maximum)
    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. A Statement of Work (SOW) and budget 
must be included. Your proposed activities must support HUD's policy 
priorities as referenced in the General Section.
    a. Proposed SOW. (25 Points Maximum)
    The SOW 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 relevance of proposed activities to 
stated needs, attention to implementation steps, proposed activities 
consistent with organizational expertise and capacity and accuracy of 
the SOW and budget.
    Submit a proposed SOW that comprehensively outlines in 
chronological order the administrative, program activities, and tasks 
to be performed during the one-year Cooperative Agreement period. Your 
outline should identify all activities and tasks to be performed in 
developing a fair housing curriculum and clinical law program. You must 
also describe how you will promote the replication of the fair housing 
curriculum and clinical law program at other accredited law schools. 
This description must provide a timeline, identify any subcontractors 
or partners involved with promoting the replication process, and 
describe products that will be provided to HUD. You must also include a 
schedule of your activities and products, staff allocation over the 
term of the project; staff acquisition and training; and activities of 
partners and/or subcontractors.
    Applicants must develop a curriculum that includes an analysis of 
judicial or administrative decisions or settlements; an examination and 
discussion of documents used in the preparation for trial, hearings and 
settlements; and discussion of any procedures used in the investigation 
of these matters.
    b. The Budget Form and the Budget Information. (15 Points Maximum)
    (1) Your Grant Application Detailed Budget SF-424-CBW 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 may include information obtained from 
various vendors or you may rely on historical data. Applicants must 
round all budget items to the nearest dollar.
    If you have a federally negotiated indirect rate, you should use 
that rate and 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 and you must use your 
organization's rate.
    A written budget narrative must accompany the proposed budget 
explaining each budget category listed. Failure to provide a written 
budget narrative will result in two points being deducted from your 
application. It must explain each cost category you list. Generally, 
estimated costs for high-cost items or subcontractors/consultants 
should be supported by bids from at least three sources. Where there 
are travel costs for subcontractors/consultants, you must show that the 
combined travel costs (per diem rates) are consistent with Federal 
Travel Regulations (41 CFR 301.11) and travel costs for the applicant's 
subcontractors and/or consultants do not exceed the rates and fees 
charged by local subcontractors and consultants. The narrative (which 
counts toward the 10-page limit) and supporting documentation (which 
does not count toward the 10-page limit) must address the Grant 
Application Detailed Budget as referenced in the General Section.
    (2) 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:
    (a) Is reasonable in achieving the goals identified in your 
proposed SOW;
    (b) Relates tasks in the SOW to the proposed budget costs;
    (c) Is cost-effective;
    (d) Is quantifiable; and
    (e) Documents and justifies all cost categories in accordance with 
the cost categories indicated in the SF-424 CBW. In addition, if you 
already have an approved indirect cost rate, please provide the 
necessary contact information (i.e., name, address, and telephone 
number of the cognizant agency). If you do not have an approved 
indirect cost rate, HUD will contact the cognizant agency or if HUD is 
the cognizant agency, we will determine the indirect cost rate.
    (f) Financial Management Capacity. Describe 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 adequate accounting and 
internal control procedures.
3. Rating Factor 3. Leveraging Resources (10 Points Maximum)
    This factor addresses your ability to secure additional 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. HUD requires you to secure resources 
from sources other than what is requested under this FHIP NOFA. 
Describe the steps that will be taken to

[[Page 27164]]

obtain additional funding from sponsors, program partners or available 
grants or Cooperative Agreements for the initial and sustained 
operation of the program; Community resources may include funding or 
in-kind contributions, such as workspace or services or equipment, 
allocated to the purpose(s) of your proposal. Resources may be provided 
by governmental entities (including other federal funds if such costs 
are allowed by statute), public or private non-profit organizations, 
faith-based organizations, for-profit or civic private organizations or 
other entities willing to work with you. In order to secure points you 
must establish leveraging of resources by providing letters of firm 
commitment from the organizations and/or individuals who will support 
your project. Each letter of firm commitment must:
    a. Identify the organization and/or individual committing resources 
to the project,
    b. 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 2), and
    c. Describe how these resources will be used under 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 
fair market value of those resources and describe how this fair market 
value was determined. (Do not include indirect costs within your in 
kind resources.) In-kind and matching contributions and program income 
must be in accordance with 24 CFR 84.23 and 84.24. If the applicant has 
no funding source other than the FHIP, it cannot propose in-kind or 
donated resources. No points will be awarded for general letters of 
support endorsing the project from organizations, including elected 
officials on the local, State or national levels, and/or individuals in 
your community. If non-FHIP resources will not support your project, 
then you will not receive any points under this factor.
4. Rating Factor 4. Achieving Results and Program Evaluation (10 Points 
Maximum)
    In evaluating this factor, HUD will assess the extent to which you 
demonstrate how you will measure your future success or anticipated 
results to be achieved and how the project will be replicated based 
upon the work of your organization as set out in your budget.
    Applicants must use the Logic Model, Form HUD-96010. Please refer 
to the Logic Model Training that is archived on the HUD Web site at: 
http://www.hud.gov/offices/adm/grants/training/training.cfm, to 
describe their specific methods and measures to assess progress, 
evaluate program effectiveness, and identify program changes necessary 
to improve performance. The Logic Model should also be used to ensure 
commitments made will be kept, results to be achieved can be accounted 
for and independently assessed, and to ensure performance measures are 
met. Columns 5, Output Results and 7, End Results should be left blank 
initially and used later for reporting purposes.
    a. Applicants who have identified inputs and outcome measurement 
and include means for assessing these measures, tracking and monitoring 
performance goals and achievements against these commitments made in 
the application, will receive higher points than those that do not. To 
meet this requirement, you must:
    (1) First, specify what form of measurement tool(s) will be 
utilized to quantify the overall results of your project's performance.
    (2) Second, identify the indicator. An indicator should be 
explained using numerical measures that can determine the extent to 
which the outcome was or is expected to be achieved and/or utilized to 
assess your performance. You should also track or monitor how your 
projected outcomes will be successfully achieved.
    (3) Third, identify the outcome. You should use the Logic Model to 
specify what form of measurement tool(s) will be utilized to quantify 
the overall results of your project's performance. You may also access 
the Logic Model that is archived on the HUD Web site at: http://
www.hud.gov/offices/adm/grants/training/training.cfm.
    b. In formulating how you attain your end results, estimate the 
types and amounts of clients you expect to be served with the amount 
allocated as it relates to your proposed budget. Estimate approximately 
how many of those served will benefit from your project's activities 
and tasks and estimate the timeframe for this to be accomplished.
    This can be done using real numbers and reasonable estimates. If 
you are proposing a new program, and numbers have never been assessed, 
indicate that actual numbers will be reported as you submit your 
required quarterly reports, should you receive funding.

B. Review and Selection Process

    1. Independence of Awards. HUD will review each application 
separately and without reference to other applications submitted by you 
or others. Therefore, the application you submit must be independent 
and capable of being implemented without reliance on the selection of 
other applications submitted by you or other applicants. An application 
from a consortium will be considered as a single application.
    2. Tie Breaking. When two or more applications have the same total 
overall score, the application with the higher score under Rating 
Factor 2: 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 amount of FHIP funding will be ranked 
higher. Finally, if this does not break the tie, the application with 
the higher score under Rating Factor 3 will be rated higher.
    3. Adjustments to Funding. HUD may approve an application for an 
amount lower than the amount requested, fund only portions of your 
application, withhold funds after approval, reallocate funds among 
activities and/or require that special conditions be added to your 
Cooperative Agreement, in accordance with 24 CFR 84.14, the 
requirements of this NOFA 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. Training funds are not reserved for FHIP training.
    4. Reallocation of Funds. If after all applications within funding 
range have been selected or obligations are completed and funds remain 
available, any remaining funds from this Component will be reallocated 
within the Education and Outreach Initiative.

VI. Award Administration Information

A. Award Notices

1. Applicant Notification and Award Procedures
    a. Notification. No information about the review and award process 
will be available to you during the period of HUD's evaluation, which 
begins on the closing date for applications under this NOFA and lasts 
approximately 90 days thereafter, except to advise you, in

[[Page 27165]]

writing or by telephone, if HUD determines that your application is 
ineligible or has technical deficiencies which may be corrected as 
described in the General Section. HUD will communicate only with 
persons specifically identified in the application. HUD will not 
provide information about the application to third parties such as 
subcontractors.
    b. Negotiations. If you are selected, HUD will require you to 
participate in negotiations to determine the specific terms of your 
cooperative agreement. After HUD has rated and ranked all applications 
and made selections, HUD may require, depending upon the program, that 
all selected applicants participate in negotiations to determine the 
specific terms of the funding 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, and proceed with negotiations with the next highest-
ranking applicant. The selection(s) is/are conditional and does not 
become final until the negotiations between the applicant and the 
Department are successfully concluded and the cooperative agreement is 
signed and 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.).
    c. Applicant Debriefing. Debriefing. Beginning 30 days after the 
awards for assistance are publicly announced and for at least 120 days 
after awards for assistance are publicly announced, HUD will provide a 
debriefing to any applicant requesting one on their application. All 
debriefing requests must be made in writing or by e-mail by the 
authorized official whose signature appears on the SF-424 or his or her 
successor in office, and submitted to the person or organization 
identified as the Contact under the section entitled ``Further 
Information and Technical Assistance'' in the Program Section of the 
NOFA under which you applied for assistance. Information provided 
during a debriefing will include, at a minimum, the final score you 
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.
    Applicants requesting a debriefing must send a written request to 
Annette Corley, Grant Officer; U.S. Department of Housing and Urban 
Development; FHIP/FHAP Support Division; 451 Seventh Street, SW., Room 
5224; Washington, DC 20410. 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.
    d. Award Instrument. The type of funding instrument that HUD may 
offer a successful applicant which sets forth the relationships between 
HUD and the recipient will be a Cooperative Agreement, where the 
principal purpose is the transfer of funds, property, services or 
anything of value to the applicant to accomplish a public purpose, and 
substantial direct involvement is expected between HUD and the awardee 
when carrying out the activities in the agreement. The agreement will 
identify the eligible activities to be undertaken, financial controls, 
the awardees proposed performance measures, and special conditions, 
including sanctions for violations of the agreement. HUD will use the 
Cooperative Agreement to monitor your progress to ensure that you have 
achieved the objectives set out in your agreement. Failure to meet such 
objectives may be the basis for HUD determining your agreement in 
default and exercising available sanctions, including suspension, 
termination, and/or the recapture of your funds. Also HUD may refer 
violations or suspected violations to enforcement offices within HUD, 
the U.S. Department of Justice or other enforcement authorities.
    e. Product Information. Press releases and any other product 
intended for dissemination to the public must be submitted to the (GTR) 
two weeks before release for approval and acceptance.

B. Administrative and National Policy Requirements

    1. Training funds. Your proposed budget must set-aside $6,000 per 
applicant per year to participate in HUD mandatory sponsored or 
approved training. If the application is from a consortium consisting 
of four members or more, the training budget cannot exceed $24,000 for 
a 12-month Cooperative Agreement administration period. Requests to 
attend HUD-approved training must be submitted to the (GTR) for 
approval in advance of the requested training. Do not include amounts 
over the maximum (as appropriate) for the training set-aside in this 
category. If applicants do not include these funds in the budget and 
you are selected for an award, HUD may modify your budget, reallocating 
the appropriate amount for training. If awardees do not attend 
mandatory HUD-approved or HUD-sponsored training, the approved budget 
will be reduced by the amount allocated for the specific training that 
was not attended and the amount of funds allocated for the training 
must be returned to HUD. In addition, your failure to attend mandatory 
training will adversely impact your performance assessment.
    2. Payment Contingent on Completion. Payment of FHIP funds is made 
on a reimbursement basis. Payments are contingent on the satisfactory 
and timely completion of your project activities and products as 
reflected in your Cooperative Agreement. Requests for funds must be 
accompanied by financial progress reports and deliverables, if 
applicable.
    3. Accessibility Requirements. All activities, facilities, and 
materials funded by this NOFA must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    4. Copyright Materials. You may copyright any work that is eligible 
for copyright protection subject to HUD's right to reproduce, publish 
or otherwise use your work for federal purposes, and to authorize 
others to do so as required in 24 CFR 84.36.
    5. Complaints Against Awardees. A HUD Grant Officer oversees each 
FHIP award. Complaints from the public against FHIP recipients should 
be forwarded to the Grant Officer. The Grant Officer's name and contact 
information is provided in the Cooperative Agreement. If, after notice 
and consideration of relevant information, the Cooperative Agreement 
Officer concludes that there has been inappropriate conduct, such as a 
violation of FHIP program requirements, terms or conditions of the 
Cooperative Agreement 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 awarding future FHIP applications; repayment to 
HUD of funds received under the Cooperative Agreement; or temporary or 
permanent denial of participation in the FHIP in accordance with 24 CFR 
part 24.
    6. Double Payments. If you are awarded funds under this NOFA, you 
(and any subcontractor or consultant) may not charge or claim credit 
for the activities performed under this project under any other federal 
project.
    7. Performance Sanctions. A fund recipient or subcontractor failing 
to comply with the requirements set forth in its Cooperative Agreement 
will be

[[Page 27166]]

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.

C. Reporting

    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 
complaints filed with HUD as well achieved. You must submit monthly 
activity reports describing the administrative and program task 
completed and/or underway, and a corresponding financial report showing 
how the funds were disbursed during the reporting period. This 
narrative must also give qualitative and quantitative data relative to 
the success of the program or service, based on the performance 
measures in the Cooperative Agreement. You will also provide a 
narrative report within 90 days after all Cooperative Agreement 
activities have ended or at the end of each 12-month period of the 
Cooperative Agreement, whichever comes first. This narrative report 
must identify and describe the program or services provided and give 
qualitative and quantitative data relative to the success of the 
program or service based on the performance measures in the Cooperative 
Agreement.
    Listed below are sample reporting documents of activities and tasks 
to be performed by a FHIP Grantee.
BILLING CODE 4210-32-P

[[Page 27167]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.110


[[Page 27168]]


BILLING CODE 4210-32-P

VII. Agency Contacts

    You may contact Myron P. Newry or Walter Ayers of the FHIP/FHAP 
Support Division, at 202-708-0800 (this is not a toll-free number). 
Persons with hearing or speech impairments may contact the Division via 
TTY by calling 800-290-1617 (this is a toll-free number).

VIII. Other Information

    A. Accessibility Requirements. All activities, facilities, and 
materials funded by this Program must be accessible to persons with 
disabilities (24 CFR 8.2, 8.4, 8.6, and 8.54).
    B. Protected Basis. All FHIP-funded projects must address housing 
discrimination based upon race, color, religion, sex, disability, 
familial status or national origin.
    C. 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.
    D. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2539-0033. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 100 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
    E. Frequently Asked Questions.
    Q. If data, tables, exhibits, reports, and studies are submitted 
with the application, will they be counted toward the 10-page limit 
requirement?
    A. The attachments do not count toward the 10-page limit. However, 
you are encouraged to summarize the points that support your Factor 
responses. Do not attach data tables, exhibits, and studies and expect 
the evaluator to read them and discern the points that should be 
considered. If you summarize information from studies, reports, etc, 
simply include a bibliography or other reference at the end of Factor.
    Q. Where can I find a copy of the Application Kit?
    A. There is no Application Kit for this FHIP NOFA. The NOFA 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 NOFA.
    Q. What is the maximum number of narrative pages that can be 
submitted for each Rating Factor?
    A. The maximum number is 10 pages per Rating Factor. This does not 
include any attachments that may be required under each factor (e.g., 
the proposed SOW and budget required under Factor 2, Resumes as 
required by Factor 1 or any reports or documents you attach to support 
your Factor information). The narrative pages must be double-spaced and 
you are required to use 12-point type size. However, all pages in the 
application must be consecutively numbered starting with number one (1) 
through the end of your application. For example, Factor 1 has 10 pages 
of narrative and 10 pages of attachments.
    Each attachment page must be numbered. When you get to Factor 2, 
the first page of the Factor will be numbered 21, and so on. If you do 
not number each page in your entire application, points will be 
deducted from your application if this criterion is not met.
    Q. May an applicant subcontract out a percentage of its activities 
to subcontractors, partner or consultants, if it is selected for a FHIP 
award?
    A. Yes. However, when the expenditures to a particular 
subcontractor, partner or consultant exceed 10 percent of the 
Cooperative Agreement amount, an itemized budget is required.
    Q. Does the NOFA identify what makes an application ineligible?
    A. Yes. For FHIP, see the eligibility requirements and the 
Threshold Criteria in Requirements and Procedures, Section B.
    Q. What are maximum awards?
    A. Maximum award 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/FHAP 
Support Division Office in Washington, DC. These applications should be 
mailed or sent by an express service to the address stated in the NOFA 
under the Section Addresses and Application Submission Procedures. 
Please note that applications incorrectly addressed may not be 
forwarded to this Division at all or it may be forwarded late. If that 
happens, your application will be deemed ineligible.
    Q. What is the best method of knowing that the appropriate person 
has received my application? Should I follow up with a call?
    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. The Acknowledgement will be returned to the address indicated. 
HUD will not acknowledge the receipt of applications over the 
telephone. Within 10 working days after the deadline date, 
acknowledgement letters will be mailed via the U.S. Post Office to all 
applicants meeting the timeliness of applications requirement.
    Q. What is the Web site address?
    A. Http//www.hud.gov/grants.
    Q. What is the due date?
    A. The due date is outlined in this NOFA 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, 
Walter Ayers or Denise L. Brooks 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 800-290-1617 (this is a toll-free 
number). Technical assistance does not include assisting you in 
determining your eligibility to apply for funds. Applicants must make 
their own determination, based upon the requirements identified in 
section III.(C) labeled Eligible Applicants. Technical Assistance 
cannot be provided to help you write any part of your application or 
develop responses to the application requirements. Rather, technical 
assistance, outside of the training broadcasts, will only clarify 
general application and program requirements published in the NOFA.
    Q. What is meant by geographic diversity?
    A. See comments above in Section V.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27169]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.111


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27171]]



Housing Counseling Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Single Family Housing.
    B. Funding Opportunity Title: Housing Counseling Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
4900-N-09. The OMB Approval number is: 2502-0261.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.169 
Housing Counseling Assistance Program.
    F. Dates: The application due date is June 23, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    G. Available Funds: Up to $36.014 million is made available for 
eligible applicants under this program NOFA.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    This program supports the delivery of a wide variety of housing 
counseling services to homebuyers, homeowners, low- to moderate-income 
renters, and the homeless. The primary objectives of the program are to 
expand homeownership opportunities and improve access to affordable 
housing. Counselors provide guidance and advice to help families and 
individuals improve their housing conditions and meet the 
responsibilities of tenancy and homeownership. Counselors also help 
borrowers avoid inflated appraisals, unreasonably high interest rates, 
unaffordable repayment terms, and other conditions that can result in a 
loss of equity, increased debt, default, and eventually foreclosure.
    Applicants funded through this program may also provide Home Equity 
Conversion Mortgage (HECM) counseling to elderly homeowners who are 
looking to convert equity in their homes into income that can be used 
to pay for home improvements, medical costs, living expenses, or other 
expenses.
    This grant program also supports the delivery of housing counseling 
services to potential homebuyers and homeowners utilizing Section 8 
Homeownership Vouchers (hereafter referred to as Homeownership 
Vouchers) under HUD's Homeownership Voucher Program. The primary 
objectives of counseling in conjunction with the Homeownership Voucher 
program are to: (1) help Homeownership Voucher Program participants 
make the transition from renting to homeownership; (2) assist them in 
evaluating their readiness and in making informed decisions; (3) help 
them meet the responsibilities of homeownership; and (4) encourage 
increased participation by Public Housing Agencies (PHAs) in HUD's 
Homeownership Voucher Program.

B. Grant Categories

    HUD will award a single grant to qualified applicants through one 
of three grant categories: (1) Local Housing Counseling Agencies 
(LHCAs); (2) National and Regional Intermediaries; and (3) State 
Housing Finance Agencies (SHFAs).
1. Comprehensive Counseling
    All awards through the 3 categories will consist of a specified sum 
for comprehensive counseling.
2. Supplemental Funding
    Comprehensive counseling awards through the 3 grant categories can 
also be augmented with supplemental funding for the following specific 
activities and assistance to targeted communities:
    a. Predatory Lending. Supplemental funding is available for 
counseling and educational activities designed to combat predatory 
lending, including helping borrowers avoid inflated appraisals, 
unreasonably high interest rates, unaffordable repayment terms, and 
other conditions which can result in a loss of equity, increased debt, 
default, and even foreclosure.
    b. Homeownership Voucher Counseling. Supplemental funding is 
available for counseling and educational activities in conjunction with 
HUD's Homeownership Voucher Program.
    c. Colonias. Supplemental funding is available for the counseling 
and educational activities targeted at Colonias. Colonias means any 
identifiable, rural community that is located in Arizona, California, 
New Mexico, or Texas; is within 150 miles of the border between the 
United States of America and the United Mexican States; and is 
determined to be a Colonia on the basis of objective need criteria, 
including lack of potable water supply, lack of adequate sewage 
systems, and lack of decent, safe, sanitary, and accessible housing.

C. 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, CHG-1, dated October 
27, 1997.
    The Homeownership Voucher Program refers to the homeownership 
option in the Housing Choice Voucher Program. The homeownership option 
is authorized by section 8(y) of the United States Housing Act of 1937, 
as amended by section 555 of the Quality Housing and Work 
Responsibility Act of 1998. The implementing regulations are found at 
24 CFR 982.625 through 982.643.

II. Award Information

A. Amount Allocated

    Of the $39,764,000 appropriated for housing counseling in FY2004, 
up to $36.014 million is made available for eligible applicants under 
this NOFA. Specifically, $2 million is available for counseling in 
conjunction with HUD's Homeownership Voucher Program, $350,000 is 
available for counseling services that specifically target Colonias, 
$2.7 million is available for counseling services addressing predatory 
lending, and $30.964 million is available for comprehensive counseling.

B. Specific Allocations

    Funding is allocated to each Homeownership Center (HOC), regional 
HUD offices that oversee the Housing Counseling Program in their 
jurisdiction, by a formula that incorporates first-time homebuyer 
rates, default rates, HECM endorsements, and minority homebuyers.
    1. Category 1--Local Housing Counseling Agencies (LHCAs). $14.351 
million is available from HUD to directly fund HUD-approved LHCAs, 
including $12.201 million for comprehensive counseling, $1.2 million in 
supplemental funding for predatory lending, $850,000 in supplemental 
funding for counseling in conjunction with HUD's Homeownership Voucher 
Program, and $100,000 for counseling targeting Colonias.
    Allocations for Category 1 by HOC are as follows:

[[Page 27172]]



----------------------------------------------------------------------------------------------------------------
                                                                   Homeownership
                                   Comprehensive     Predatory        voucher        Colonias          Total
                                    counseling        lending       counseling
----------------------------------------------------------------------------------------------------------------
Philadelphia HOC................      $3,462,921        $340,587        $241,249  ..............      $4,044,757
Atlanta HOC.....................       3,340,830         328,579         232,744  ..............       3,902,153
Denver HOC......................       3,147,082         309,524         219,246          50,000       3,725,852
Santa Ana HOC...................       2,250,167         221,310         156,761          50,000       2,678,238
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½
----------------------------------------------------------------------------------------------------------------

    2. Category 2--National and Regional Intermediaries. $19.263 
million is available from HUD to directly fund HUD-approved National 
and Regional Intermediaries, including $16.763 million for 
comprehensive counseling, $1.3 million in supplemental funding for 
predatory lending, $1 million in supplemental funding for counseling in 
conjunction with HUD's Homeownership Voucher Program, and $200,000 for 
counseling targeting Colonias.
    3. Category 3--State Housing Finance Agencies (SHFA). $2.4 million 
is available to fund SHFAs that provide housing counseling services 
directly or serve as intermediaries to Affiliates who offer housing 
counseling services, including $2 million for comprehensive counseling, 
$200,000 in supplemental funding for predatory lending, $150,000 in 
supplemental funding for counseling in conjunction with HUD's 
Homeownership Voucher Program, and $50,000 for counseling targeting 
Colonias.
    Allocations for Category 3 by HOC are as follows:

----------------------------------------------------------------------------------------------------------------
                                                                   Homeownership
                                   Comprehensive     Predatory        voucher        Colonias          Total
                                    counseling        lending         program
----------------------------------------------------------------------------------------------------------------
Philadelphia HOC................        $567,645         $56,765         $42,573  ..............        $666,983
Atlanta HOC.....................         547,632          54,763          41,073  ..............         643,468
Denver HOC......................         515,873          51,587          38,690          25,000         631,150
Santa Ana HOC...................         368,850          36,885          27,664          25,000         458,399
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½
----------------------------------------------------------------------------------------------------------------

C. Individual Awards

    1. Category 1. No individual LHCA may be awarded more than 
$260,000. Specifically, the limit for Comprehensive Counseling is 
$150,000. If applicable, the limit for supplemental funding for 
predatory lending is $40,000, the limit for supplemental funding for 
Homeownership Voucher Counseling is $30,000, and the limit for 
supplemental funding for Colonias is $40,000. HUD anticipates that the 
average award will be approximately $40,000.
    2. Category 2. Awards for individual HUD-approved National and 
Regional intermediaries may not exceed $3.4 million. The limit for 
Comprehensive Counseling is $2.5 million. If applicable, the limit for 
supplemental funding for predatory lending is $325,000, the limit for 
supplemental funding for Homeownership Voucher Counseling is $275,000, 
and the limit for supplemental funding for Colonias is $300,000. HUD 
anticipates that the average award for Intermediaries will be $1.1 
million.
    3. Category 3. No individual SHFA may be awarded more than 
$450,000. Specifically, the limit for Comprehensive Counseling is 
$300,000. If applicable, the limit for supplemental funding for 
predatory lending is $63,000, the limit for supplemental funding for 
Homeownership Voucher Counseling is $47,000, and the limit for 
supplemental funding for Colonias is $40,000. HUD anticipates that the 
average award for SHFAs will be approximately $140,000.

D. Grant Period

    Funds awarded shall be available for a period of 12 calendar 
months.

E. Award Instrument

    HUD will use a Grant Agreement. 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, local, and 
federally recognized 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. Grantees must ensure that any Sub-grantees and/or 
Branches also comply with the above requirements. OMB circulars can be 
found at http://www.whitehouse.gov/omb/.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants include (1) HUD-approved Local Housing 
Counseling Agencies (LHCAs); (2) HUD-approved national and regional 
intermediaries; and (3) State Housing Finance Agencies (SHFAs).
1. Definitions
    a. Applicant. Applicant means a HUD-approved housing counseling 
agency or SHFA applying for a Housing Counseling grant from HUD through 
this NOFA. In the case of an LHCA, the term Applicant includes the 
agency's branch offices, if applicable. In the case of an intermediary, 
the term Applicant includes the branch offices the Applicant proposes 
to fund through this NOFA.
    b. Grantee. Grantee means the HUD-approved housing counseling 
agency or SHFA that receives housing counseling funds from HUD through 
this NOFA. In the case of an LHCA, the term Grantee includes the 
agency's branch offices, if

[[Page 27173]]

applicable. In the case of an intermediary, Grantee includes the branch 
offices the applicant proposes to fund through this NOFA.
    c. LHCA. LHCA means a HUD-approved Local Housing Counseling Agency. 
LHCAs must be approved by one of HUD's four HOCs. Affiliates of HUD-
approved Housing Counseling intermediaries are not HUD-approved LHCAs 
by virtue of their affiliation with the intermediary. They are, 
however, eligible to individually apply for HUD approval as an LHCA. An 
LHCA may have only one location or a main office with one or more 
branch offices within the same state or no more than two contiguous 
states.
    d. Intermediary. Intermediary means a HUD-approved national or 
regional organization that provides housing counseling services through 
its branches or affiliates. As used in this NOFA, the term Intermediary 
refers to any of the following entities:
    (1) National Intermediary. A National Intermediary provides housing 
counseling services through its branches or affiliates in a number of 
states as determined by HUD.
    (2) Regional Intermediary. A Regional Intermediary provides housing 
counseling services through its branches or affiliates in a generally 
recognized region or group of regions within the United States of 
America, such as the Southwest, Mid-Atlantic, and New England.
    e. SHFA. For the purpose of this NOFA, a State Housing Finance 
Agency (SHFA) is the unique public body, agency, or instrumentality 
created by a specific act of a state legislature and empowered to 
finance activities designed to provide housing and related facilities 
and services, for example through land acquisition, construction or 
rehabilitation, throughout a state. The term state includes the several 
states, Puerto Rico, the District of Columbia, Guam, the Commonwealth 
of the Northern Mariana Islands, American Samoa, and the U.S. Virgin 
Islands.
    f. Sub-grantee. Sub-grantee means an organization to which the 
grantee awards a sub-grant, and which is accountable to the grantee for 
the use of the funds provided. A Sub-grantee may be separately 
incorporated or organized, but connected with an intermediary or SHFA 
for purposes of this NOFA.
    In the case of an intermediary or SHFA, all Sub-grantees are 
identified in the grantee's application. Under certain conditions, 
grantees may amend their Sub-grantee list after awards are made.
    g. Branch. Branch or Branch Office means an organizational and 
subordinate unit of an LHCA or Intermediary not separately incorporated 
or organized. A Branch or Branch Office must be in good standing under 
the laws of the state where it is authorized to do business and where 
it proposes to provide housing counseling services. A Branch or Brach 
Office cannot be an affiliate or sub-grantee.
    h. Affiliate. Affiliate means a separately incorporated or 
organized housing counseling agency that is connected with a national 
or regional intermediary for the purposes of its housing counseling 
program. Affiliates can be sub-grantees.
2. Eligibility Criteria

----------------------------------------------------------------------------------------------------------------
           Grant categories                   Who is eligible                   Total amount available
----------------------------------------------------------------------------------------------------------------
Category 1--LHCAs....................  HUD-approved LHCAs...........  $14.351 million.
Category 2--Regional and National      HUD-approved Regional and      $19.263 million.
 Intermediaries.                        National Intermediaries.
Category 3--SHFAs....................  SHFAs........................  $2.4 million.
----------------------------------------------------------------------------------------------------------------

    a. Eligible LHCAs and Intermediaries are private or public 
nonprofit organizations, including grassroots faith-based and other 
community-based organizations, that secure HUD approval as an LHCA, or 
as a national or regional intermediary, as of the publication date of 
the SuperNOFA, and retain such approval through the term of any grant 
awarded. For information on securing HUD approval visit HUD's Web site 
at http://www.hud.gov/offices/hsg/sfh/hcc/hccprof13.cfm.
    Additionally, to be eligible to receive a grant directly from HUD 
under this Housing Counseling NOFA, all applicants (except SHFAs) must 
be (1) duly organized and existing as a nonprofit, (2) in good standing 
under the laws of the state of its organization, and (3) authorized to 
do business in the states where it proposes to provide housing 
counseling services. For example, applicable state licensing, corporate 
filing, and registering requirements must be satisfied.
    (1) HUD-approved LHCAs. HUD-approved LHCAs may apply for and 
receive: (1) One grant under Category 1; or (2) one sub-grant from an 
intermediary or SHFA under Category 2 or 3, but not both. The only 
exception to this rule is that HUD-approved LHCAs that have one or more 
HECM Network Counselors that receive a grant or sub-grant under 
Categories 1-3, may also receive a sub-grant, or otherwise be 
reimbursed, exclusively for HECM counseling activities, from a HUD-
approved intermediary that exclusively provides HECM counseling.
    HUD-approved LHCAs applying under Category 1 are also eligible for 
supplemental funding to combat predatory lending, for homeownership 
voucher counseling, and for Colonias.
    Funded LHCAs may not make sub-grants to other HUD-approved LHCAs or 
non-HUD-approved entities.
    (2) HUD-approved National and Regional Intermediaries may only 
apply for a grant under Category 2. HUD-approved intermediaries are 
also eligible for supplemental funding to combat predatory lending, for 
homeownership voucher counseling, and for Colonias.
    b. Eligible SHFAs. A SHFA does not need HUD approval in order to 
apply for a grant through this NOFA. SHFAs may only apply for grants 
under Category 3. SHFAs are also eligible for supplemental funding to 
combat predatory lending, for homeownership voucher counseling, and for 
Colonias.
    c. Eligible Sub-grantees of Intermediaries and SHFAs. Eligible sub-
grantees of intermediaries and SHFAs are not required to be HUD-
approved, although HUD-approved LHCAs may apply to an intermediary or 
SHFA as a sub-grantee. Intermediaries and SHFAs that award sub-grants 
to counseling agencies that are not HUD-approved must assure that said 
organizations meet or exceed the approval standards specified in 
paragraph 2-1 of HUD Handbook 7610.1, Rev-4, CHG-1. Intermediaries that 
do not ensure their sub-grantee's compliance with HUD standards could 
be prohibited from participating in the Housing Counseling Program. 
These organizations will be monitored by HUD.
    Additionally, to be eligible for a sub-grant, a sub-grantee must be 
(1) duly organized and existing as a nonprofit, (2) in good standing 
under the laws of the state of its organization, and (3) authorized to 
do business in the states where it proposes to provide housing 
counseling services. For example, applicable state licensing, corporate 
filing, and registering requirements must be satisfied. Additionally, 
eligible

[[Page 27174]]

sub-grantees may have only one location or a main office with one or 
more branch offices within the same state or no more than two adjacent 
states.
    Eligible sub-grantees under Categories 2 or 3 must not have 
directly applied for or received a grant under Category 1 of this NOFA, 
or another sub-grant from an intermediary or SHFA under Category 2 or 3 
of this NOFA. Sub-grantees may apply for and receive only one sub-grant 
from an intermediary or SHFA under Category 2 or 3, but not both. The 
only exception to this rule is that sub-grantees that have one or more 
HECM Network Counselors that receive a sub-grant from an intermediary 
or SHFA under Category 2 or 3 may also receive a sub-grant, or 
otherwise be reimbursed, exclusively for HECM counseling activities, 
from a HUD-approved intermediary that exclusively provides HECM 
counseling.
    3. Eligibility/Supplemental Funding. No separate application is 
needed to be eligible for supplemental funding. However, to be 
eligible, applicants must meet the following requirements.
    a. Predatory Lending. To be eligible for the supplemental predatory 
lending funding, an applicant must: (1) Request the supplemental 
funding by specifically and separately identifying ``Predatory 
Lending'' and providing the specific amount of predatory lending 
supplemental funding it is requesting in its response to Section 
V.A.4.c.(1) of this NOFA and by completing an additional copy of page 1 
of Form HUD-424 CB, Grant Application Detailed Budget, for the 
supplemental predatory lending funding the applicant is requesting. 
Identify ``Predatory Lending'' in the field entitled ``Name of Project/
Activity'; (2) identify predatory lending related needs in the target 
community in their response to Rating Factor 2, (3) include predatory 
lending related activities in the proposed activities listed in 
response to Rating Factor 3; (4) indicate in Factor 3 how many 
individuals will be served with the requested supplemental funding for 
predatory lending, and (5) respond to all predatory lending related 
requests for information throughout the NOFA.
    b. Homeownership Voucher Counseling. To be eligible for the 
supplemental funding available for counseling and education in 
conjunction with HUD's Homeownership Voucher Program, applicants must: 
(1) Request the supplemental funding by specifically and separately 
identifying ``Homeownership Voucher Counseling'' and providing the 
specific amount of Homeownership Voucher Counseling supplemental 
funding it is requesting in its response to Section V.A.4.c.(1) of this 
NOFA and by completing an additional copy of page 1 of Form HUD-424 CB, 
Grant Application Detailed Budget, for the supplemental Homeownership 
Voucher Counseling funding the applicant is requesting. Identify 
``Homeownership Voucher Counseling'' in the field entitled ``Name of 
Project/Activity'; (2) respond to all Homeownership Voucher Counseling 
related requests for information throughout the NOFA; (3) include 
counseling and other related activities in conjunction with the 
Homeownership Voucher Program in the proposed activities listed in 
response to rating Factor 3; (4) indicate in Factor 3 how many 
individuals will be served with the requested supplemental funding for 
Homeownership Voucher Counseling; and (5) provide a written commitment 
to partner from one or more Public Housing Authorities (PHAs) with whom 
the applicant has an agreement to provide housing counseling to 
participants of the PHA's Homeownership Voucher Program. Intermediaries 
and SHFAs proposing to make sub-grants must provide a separate written 
commitment to partner from a PHA for each proposed sub-grantee. There 
is no requirement that the PHA commit to partner with the applicant for 
the provision of all housing counseling services related to its 
Homeownership Voucher Program, although this would be acceptable.
    Written commitments to partner from PHAs do not have to be ratified 
by the PHA Board, although a formal document, such as a Memorandum of 
Understanding (MOU) between the PHA and the applicant, is acceptable. 
The written commitment to partner must be on PHA letterhead, 
specifically mention the housing counseling agency applicant and 
proposed sub-grantee, if applicable; and be signed by an authorized PHA 
official. Moreover, the written commitment to partner must indicate 
that the PHA is exercising its option to implement the Homeownership 
Voucher Program and agrees to refer Homeownership Voucher participants 
to the applicant to fulfill the housing counseling requirement 
specified in the Homeownership Voucher Program regulations. The written 
commitment to partner must clearly outline: (1) The broad roles and 
responsibilities of the PHA and the housing counseling agency applying 
for funding under this NOFA; (2) the estimated number of Homeownership 
Voucher Program participants, both pre-purchase and ongoing, to be 
referred by the PHA to the applicant during the grant period October 1, 
2004, to September 30, 2005; (3) the specific PHA requirements for 
ongoing counseling; and (4) outcome goals.
    While no written commitment to partner is required from PHAs 
approved by HUD as housing counseling agencies, the PHA must estimate 
the number of voucher participants to be counseled in connection with 
the Homeownership Voucher Program, and describe the outcome goals to be 
achieved.
    c. Colonias. To be eligible for the supplemental funding available 
for counseling and education targeted at Colonias, applicants must: (1) 
Request the supplemental funding by specifically and separately 
identifying ``Colonias'' and providing the specific amount of Colonias 
supplemental funding it is requesting in its response to Section 
V.A.4.c.(1) of this NOFA and by completing an additional copy of page 1 
of Form HUD-424 CB, Grant Application Detailed Budget, for the 
supplemental Colonias funding the applicant is requesting. Identify 
``Colonias'' in the field entitled ``Name of Project/Activity'; (2) 
identify Colonias-related needs in the target community in their 
response to Rating Factor 2; (3) respond to all Colonias-related 
requests for information throughout the NOFA; (4) include counseling 
and other related activities targeted at Colonias in the proposed 
activities listed in response to Rating Factor 3; (5) indicate in 
Factor 3 how many individuals will be served with the requested 
supplemental funding for Colonias; and (6) demonstrate that the 
communities that the applicant will target with these funds meet the 
definition of Colonias provided in Section I.B.1.c. of this NOFA.

B. Cost Sharing or Matching

    No specific ratio is required. However, in order to receive points 
under Rating Factor 4, applicants are required to demonstrate the 
commitment of other private and public sources of funding to supplement 
HUD funding for the applicant's counseling program. HUD does not intend 
for the Housing Counseling grants to cover all costs incurred by an 
applicant.

C. Other

1. Eligible Activities for Categories (1), (2) and (3) Awards
    Grantees and sub-grantees will only be reimbursed for the eligible 
activities outlined in this Section. Grantees and sub-grantees 
providing housing counseling services under Categories 1 through 3 may 
use their HUD housing

[[Page 27175]]

counseling funds for one or more of the following 8 eligible 
activities.
    a. Pre-Purchase Homebuyer Counseling. This includes the following 
types of one-on-one counseling: Pre-purchase; evaluating mortgagor 
readiness; search assistance/mobility; fair housing; budgeting for 
mortgage payments; money management (does not include debt management 
plan programs); selecting a real estate agent, and home inspection. 
This also may include guidance on: Alternative sources of mortgage 
credit; how to apply for housing assistance; how to identify and avoid 
predatory lending practices; locating housing which provides universal 
design and visitability; and referrals to community services and 
regulatory agencies.
    b. Homebuyer Education Programs. These programs are homeownership 
preparation related education programs in which educational materials, 
including HUD's Homebuyer Education and Learning Program (HELP) guide, 
are used in training sessions for multiple participants, and not 
tailored to the unique circumstances of an individual. This activity 
also includes financial literacy workshops that are geared toward 
potential homebuyers, and group sessions that assist potential 
homebuyers with identifying and avoiding predatory lending practices, 
such as loans with unreasonable and inappropriate terms and conditions, 
and other unscrupulous practices intended to defraud or take advantage 
of homebuyers and borrowers. Applicants that provide homebuyer 
education must also offer individual counseling that complements the 
group sessions.
    c. Counseling to Resolve or Prevent Mortgage Delinquency or 
Default. This includes counseling on how to: restructure debt, obtain 
re-certification for mortgage subsidy, establish reinstatement plans, 
seek loan forbearance, and manage household finances. This counseling 
can also include helping clients affected by predatory lending, 
foreclosure prevention strategies, explaining the foreclosure process, 
providing referrals to other sources, and assisting clients with 
locating alternative housing, or pursuing loss mitigation strategies.
    d. Non-Delinquency Post-Purchase Counseling on Improving Mortgage 
Terms, Home Equity Conversion, and Home Improvement. This includes 
information and advice on finding favorable mortgage loan terms, 
personal money management, and relations with lenders. It also includes 
help in converting home equity into cash, such as counseling on HUD's 
HECM Program. HECM counseling assists clients who are 62 years or older 
with the opportunity to convert the equity in their homes into income 
to pay living, medical, or other expenses. This counseling also 
includes counseling the client about: home improvement and 
rehabilitation; property maintenance; loan and grant options; the loan 
or grant application processes; what housing codes and housing 
enforcement procedures apply for the intended activity; accessibility 
codes and how to design features to provide accessibility for persons 
with disabilities; non-discriminatory lending and funding for persons 
who modify their dwellings to accommodate disabilities; visitability 
and universal design; how to specify and bid construction work; how to 
enter into construction contracts; and how to manage construction 
contracts, including actions to address the non-performance of 
contractors.
    e. Post-Purchase Education Programs. These are post-purchase 
oriented group sessions in which educational materials are used in 
training sessions for multiple participants. Topics can include 
resolving or preventing mortgage delinquency and default, converting 
home equity into cash, seeking favorable mortgage loan terms, budgeting 
and financial management, real estate taxes and insurance, and home 
maintenance. Agencies that provide this service must also offer 
individual counseling to complement group sessions.
    f. Counseling and Education on Locating, Securing, or Maintaining 
Residence in Rental Housing. This refers to one-on-one counseling and 
group education sessions regarding renter-related topics, including: 
helping clients obtain and utilize rent subsidies; pre-rental search 
assistance/mobility counseling; budgeting for rent payments; educating 
clients on landlords' and renters' rights; explaining the eviction 
process; ensuring clients understand their rights when faced with 
displacement; explaining the responsibility of the entity causing 
displacement; and providing assistance with locating alternate housing.
    g. Counseling on Shelter or Services for the Homeless. Includes 
referrals to social, community, and homeless services such as emergency 
shelter or transitional housing.
    h. Marketing and Outreach Initiatives. This includes providing 
general information and materials about housing opportunities and 
issues, conducting informational campaigns, advocating with lenders for 
non-traditional lending standards, and raising awareness about critical 
housing topics, such as predatory lending or fair housing issues. 
(Note: Affirmative fair housing outreach should be directed at those 
populations least likely to seek counseling services. To do so, it may 
be necessary to broaden the target areas or provide translation and 
interpretive services in languages other than English in order to reach 
a greater variety of racial and ethnic minorities.)
2. Eligible Activities--Supplemental Funding
    a. Predatory Lending. Recipients of supplemental funding for 
Predatory Lending must use the supplemental funds for any of the 
marketing and outreach initiatives, group sessions, or one-on-one 
counseling activities outlined in Section I.C. of this NOFA, in a 
manner that clearly and directly assists clients affected by predatory 
lending or helps to prevent predatory lending.
    b. Homeownership Voucher Counseling. Recipients of supplemental 
funding for counseling in conjunction with HUD's Homeownership Voucher 
Program must use the supplemental funds for any of the group sessions 
or one-on-one counseling activities outlined in Section I.C. of this 
NOFA, in a manner that clearly and directly assists recipients of 
Homeownership Vouchers to utilize those vouchers toward the purchase 
and maintenance of a home.
    According to the Final Rule on the Homeownership Voucher Program 
(FR-4427-F-02), suggested topics for the HUD-required pre-assistance 
counseling program include: How to negotiate the purchase price of a 
home; how to obtain homeownership financing and loan pre-approvals, 
including a description of types of financing that may be available, 
and the pros and cons of different types of financing; alternative 
sources of mortgage credit; how to find a home, including information 
about homeownership opportunities, schools, and transportation in the 
PHA jurisdiction; mobility counseling, including purchasing a home 
outside the PHA's jurisdiction; advantages of purchasing a home in an 
area that does not have a high concentration of low-income families and 
how to locate homes in such areas; how to design features to provide 
accessibility for persons with disabilities; how to obtain funding for 
modifications that will make housing accessible and available to 
clients and their family members with disabilities; information on fair 
housing, including fair housing lending and local fair housing 
enforcement agencies; information about the Real Estate Settlement 
Procedures Act (12 U.S.C.

[[Page 27176]]

2601 et seq.) (RESPA), state and federal truth-in-lending laws, and how 
to identify and avoid loans with oppressive terms and conditions; home 
maintenance; budgeting and money management; and credit counseling.
    Counseling services in conjunction with HUD's Homeownership Voucher 
Program can be adapted to reflect local circumstances, fit the pre- and 
ongoing post-purchase needs of the individual families, and fulfill 
specific requirements established by the PHA. The PHA has the 
discretion to require ongoing counseling for all or select participants 
in the homeownership option.
    For example, agencies may provide on-going counseling on issues 
such as home improvement and rehabilitation. This could include 
educating the client about their loan and grant options; the loan or 
grant application processes; what housing codes and housing enforcement 
procedures apply for the intended activity; accessibility codes; 
visitability and universal design; non-discriminatory lending for 
persons who modify their dwellings to accommodate disabilities; how to 
identify and hire a construction contractor; how to specify and bid 
construction work; how to enter into construction contracts; and how to 
manage construction contracts, including actions to address the non-
performance of contractors.
    Additional ongoing counseling needs may include default counseling 
and loss mitigation strategies such as debt restructuring, establishing 
reinstatement plans, seeking loan forbearance, and managing household 
finances. Counselors can also help program participants that are 
affected by predatory lending, provide referrals to emergency and 
social service providers, and assist clients with locating alternative 
housing.
    c. Colonias. Recipients of this supplemental funding may provide 
any of the eligible activities outlined in Section I.C., so long as 
they serve communities that meet the definition of a Colonia provided 
in Section I.B.1.c. of this NOFA.
3. Threshold Requirements
    Applications that do not meet all of the following Threshold 
Requirements are not eligible to receive an award from HUD.
    a. Applicants, and if applicable sub-grantees, must meet the 
Threshold Requirements in the General Section of the SuperNOFA.
    b. Applicants must be currently approved by HUD as an LHCA or as a 
national or regional housing counseling intermediary, and have secured 
HUD approval as a housing counseling agency by the publication date of 
this NOFA. SHFAs must meet the eligibility requirements listed in this 
NOFA.
    c. Applicants that received a HUD Housing Counseling grant or 
grants through the FY2002 HUD Housing Counseling NOFA, and did not 
receive an extension approved by HUD, must have drawn-down at least 80 
percent of award monies by September 30, 2003, the end of the relevant 
grant period.
    d. Applicants that were for any reason required to submit Form HUD-
9902, covering the period October 1, 2002, through September 30, 2003, 
must have submitted the form to HUD by the extension deadline of 
January 31, 2004. Applicants that were required to submit the Form HUD-
9902 and failed to do so, must submit a copy of the required report 
with their application, or the application will not be rated and 
ranked.
    e. Code of Conduct. Awardees are required to submit a written code 
of conduct. For information on this subject, refer to the General 
Section of the SuperNOFA.
    f. Financial Management Systems. Consistent with the requirements 
of the Single Audit Act Amendments of 1996 (31 U.S.C. 7501-07), if the 
applicant expended $500,000 or more in Federal awards in its most 
recent fiscal year, and is selected for funding through this NOFA, the 
applicant must provide documentation demonstrating that the applicant's 
financial management systems satisfy the requirements in the applicable 
regulations at 24 CFR 84.21(b) and 85.20. Such documentation must 
include a certification from, or most recent audit by, the applicant's 
Independent Public Accountant that the applicant maintains internal 
controls over Federal awards; complies with applicable laws, 
regulations, and contract or grant provisions; and prepares appropriate 
financial statements. The applicant will have at least 30 calendar days 
to respond to this requirement. If an applicant does not respond within 
the prescribed time or responds with insufficient documentation, then 
HUD may determine that the applicant has not met this requirement and 
may withdraw the grant offer.
    If the applicant has not received a Federal award before and is 
therefore not subject to the A-133 Audit Requirements, HUD may conduct 
an accounting system review to ensure that the applicant has an 
accounting system that meets Federal requirements. If the applicant 
system does not meet Federal requirements, the applicant may be 
required to make arrangements for the management of the funds awarded 
or HUD may make a determination not to award funds due to poor 
financial management capability.
    g. DUNS Requirement. All applicants must have a DUN and Bradstreet 
Data Universal Numbering Systems number to receive an award of funds 
from HUD. Please refer to the General Section and HUD's regulation in 
24 CFR Part 5 concerning requirements for a DUNS number.
    h. Name Check Review. HUD may elect to conduct a name check review 
for applicants selected for funding. See the General Section of the 
SuperNOFA for more information on this topic.
4. Program Requirements
    Program requirements are outlined in detail in HUD Handbook 7610.1, 
REV-4, CHG-1, dated October 27, 1997, which can be viewed on HUD's Web 
site at http://www.hud.gov/offices/hsg/sfh/hcc/hccprof7.cfm.
    Additionally, the following also apply:
    a. List of HUD-approved Housing Counseling Agencies. Pursuant to 
section 106(C)(5) of the Housing and Urban Development Act of 1968, HUD 
maintains a list of all HUD-approved and HUD-funded counseling 
agencies, including contact information, which interested persons can 
access. All HUD-approved LHCAs and their branches, and all sub-grantees 
and their branches under Categories 2 and 3 of this NOFA will be placed 
on this list and must accept subsequent referrals, or when they do not 
provide the services sought, refer the person to another organization 
in the area that does provide the services.
    b. Accessibility. All Grantees and sub-grantees must 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.
    For each of the eight general activities proposed, grantees must be 
prepared to meet the needs of all individuals requesting services, 
including persons with disabilities, regardless of the complexity of 
the services involved. Additionally, services must be affirmatively 
marketed to persons with disabilities, including visual and hearing 
disabilities, as they would be to any other segment of the population 
not likely to apply for such services.
    c. Religious Discrimination. Grant recipients and sub-grantees are 
prohibited from discriminating on behalf of or against any segment of 
the population in the provision of services

[[Page 27177]]

or in outreach, including those of other religious affiliations.
    Additionally, organizations funded under this program may not 
engage in inherently religious activities, such as worship, religious 
instruction, or proselytization, as part of the programs or services 
funded under this program. If an organization conducts such activities, 
these activities must be offered separately, in time or location, from 
the programs or services funded under this part, and participation must 
be voluntary for the HUD-funded programs or services.
    d. Indirect Cost Rate. Grantees must also submit documentation 
establishing the organization's indirect cost rate. Such documentation 
may consist of a certification from most recent audit by, or indirect 
cost rate agreement by, the cognizant federal agency or an Independent 
Public Accountant. If the grantee does not have an established indirect 
cost rate, it 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 that will govern the award. 
Applicants that do not have a previously established indirect cost rate 
with a federal agency shall submit an initial indirect cost rate 
proposal immediately after the applicant is advised that it will be 
offered a grant and, in no event, later than three months after the 
start date of the grant. OMB Circular A-122 established the 
requirements to determine allowable direct and indirect costs and the 
preparation of indirect cost proposals, and can be found at http://
www.whitehouse.omb.gov. Applicants can review Indirect Cost Training on 
http://www.hud.gov at: http://www.hud.gov/offices/adm/grants/training/
training.cfm
    e. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). See General Section.
    f. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. See General 
Section.
    g. Sub-grant Agreements. Intermediaries and SHFAs that make sub-
grants must execute sub-grant agreements with sub-grantees that clearly 
delineate the mutual responsibilities for program management, including 
appropriate time frames for reporting results to HUD. Intermediaries 
and SHFAs have wide discretion to decide how to allocate their HUD 
Housing Counseling funding among sub-grantees, with the understanding 
that a written record must be kept documenting and justifying funding 
decisions. This record must be made available to sub-grantees and to 
HUD.
    h. Limited English Proficiency. Applicants obtaining an award from 
HUD must seek to provide access to program benefits and information to 
persons with limited English proficiency (LEP) through translation and 
interpretive services in accordance with HUD's published LEP Recipient 
Guidance.
    i. Subcontracting. Grantees and sub-grantees must deliver all of 
the counseling activities set forth in the applicant's work plan 
provided in Factor 3 of this NOFA. Subcontracting with other entities 
is permitted only in geographical areas where no HUD-approved housing 
counseling agency exists; however, the subcontractor must meet the HUD 
approval eligibility standards in HUD Handbook 7610.1. In addition, a 
grantee or sub-grantee that is using grant funds to pay a subcontractor 
for housing counseling services pursuant to a housing counseling sub-
agreement is prohibited from having a controlling interest in that 
subcontractor or vice versa. In other words, a grantee or sub-grantee 
cannot use grant funds to pay for housing counseling services by a 
subcontractor, if the subcontractor is partially or fully-controlled by 
the grantee or sub-grantee, or affiliate or vice versa.
    j. Subsidiaries. A board member, employee/staff or contractor of an 
organization applying for a housing counseling grant from HUD, or 
receiving a sub-grant, under this NOFA, shall not be a board member, 
employee/staff or contractor of any other organization applying for a 
housing counseling grant from HUD, or receiving a sub-grant, under this 
NOFA.

IV. Application and Submission Information

A. Addresses To Request Application Package

    Applicants may request general information, and copies of the 
General Section and Program Sections of the SuperNOFA, from the 
SuperNOFA Information Center (800-HUD-8929 or 800-877-8339 (TTY)) 
between the hours of 9 a.m. and 8 p.m. (eastern time) Monday through 
Friday, except on Federal holidays. When requesting information, please 
refer to the name of the program in which you are interested. 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 copies of this NOFA can be made immediately 
following publication of the SuperNOFA. The SuperNOFA Information 
Center opens for business simultaneously with the publication of the 
SuperNOFA. You can also obtain information on this NOFA through the Web 
site www.grants.gov.
    There is no application kit. Specific application submission 
requirements are outlined in this section.

B. Content and Form of Application Submission

    In addition to reviewing the instructions below, all applicants 
should consult the General Section of the SuperNOFA and review the 
procedures that affect application submission.
1. Packaging
    Because applications will be handled by various readers, they must 
be secured in a binder.
2. Size Limitations
    Please be as specific and direct as possible. For LHCAs, responses 
to each factor must be limited to 10 double-spaced, size 12 font, 
single-sided pages. Additional submissions by LHCAs will not be read. 
National and regional intermediaries, and SHFAs, are limited to 20 
double-spaced, size 12 font, single-sided pages in response to each 
factor, and no more than two 4-inch binders in total.
3. Application Checklist
    Use the checklist below to organize the application. Include a 
table of contents and tabs. All pages must be numbered. Unless 
indicated below, all applicants must submit the following:
    a. Standard forms, certifications, and assurances. Submit the 
following forms with the application. If a form is not applicable, 
indicate this on the form and submit it anyway. These forms are 
available at: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    [squf] SF-424, Application for Federal Assistance.
    [squf] The figure identified by the Applicant in Section 15a. of 
the Form SF-424 represents the total award being requested by the 
applicant. This total award should include the amount the applicant is 
requesting for comprehensive counseling, as well as the amounts of 
supplemental funding being requested, if applicable. Applicants must 
specify in Section V.A.4.c.(1), and distinguish between the separate 
amounts they are requesting for comprehensive counseling and the 
applicable supplemental funding areas.

[[Page 27178]]

    [squf] SF-424 Supplement--Survey on Ensuring Equal Opportunity for 
Applicants.
    [squf] SF-424B, Assurances Non-Construction Programs.
    [squf] HUD-424CB, Grant Application Detailed Budget.
    [squf] While the form is designed for multiple year grants, 
applicants to this NOFA should assume a one-year grant period. 
Applicants requesting supplemental funding must complete an additional 
copy of page 1 of Form HUD-424 CB, Grant Application Detailed Budget, 
for each type of supplemental funding the applicant is requesting. 
Identify the type of supplemental funding in the field entitled ``Name 
of Project/Activity.''
    [squf] HUD-9902, Housing Counseling Agency Fiscal Year Activity 
Report.
    [squf] SF-LLL, Disclosure of Lobbying Activities (if applicable).
    [squf] HUD-2880, Applicant/Recipient Disclosure/Update Report (if 
applicable).
    [squf] HUD-2990, Certification of Consistency with the RC/EZ/EC 
Strategic Plan (if applicable).
    [squf] HUD-2991, Certification of Consistency with the Consolidated 
Plan (if Applicable).
    [squf] HUD-96010, Program Outcome Logic Model.
    [squf] HUD-2994, Client Comments and Suggestions (optional).
    [squf] HUD-2993, Acknowledgement of Application Receipt.
    [squf] HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers (see Appendix A to General Section).
    b. Statutory Authority / SHFAs. SHFAs must submit evidence of their 
statutory authority to operate as a SHFA, as defined in this NOFA, and 
apply for and use, any funds awarded.
    c. Form HUD-9902, Housing Counseling Agency Fiscal Year Activity 
Report, for Fiscal Year October 1, 2002, through September 30, 2003. If 
applicable, in the space provided on the form, indicate the amount of 
the FY2002 HUD grant(s) or sub-grant(s) the applicant received that 
corresponds with this data. If the applicant did not participate in 
HUD's Housing Counseling Program during the period October 1, 2002, 
through September 30, 2003, this report should be completed to reflect 
the applicant's counseling workload and budget during that period. A 
copy of this form is included in Appendix A of this NOFA.
    d. Written Commitment to Partner. For applicants applying for 
Supplemental Funding for Homeownership Voucher Counseling, and for 
applicants proposing to counsel clients in conjunction with HUD's 
Homeownership Voucher Program with comprehensive counseling funds, 
provide a copy of a written commitment to partner from each PHA with 
which the applicant, and if applicable proposed sub-grantees and 
branches, have entered into an agreement, as described in Section III 
of this NOFA.
    e. National and Regional Intermediaries must provide a list of the 
states in which they maintain offices, including the central office and 
all affiliates or branch offices. Provide this information for all 
affiliates and branch offices, not just the ones the applicant proposes 
to fund through this grant.
    f. Organization Description. Provide a brief description, no more 
than 225 words, of the applicant's history and activities as it would 
like it to appear in the press release issued by HUD in the event that 
the applicant is funded through this NOFA.
    g. Narrative statements addressing the Rating Factors in Section V 
below.

C. Submission Dates and Times

1. Application Due Date
    The application due date is June 23, 2004. Please see the General 
Section of the SuperNOFA for application submission, delivery, and 
timely receipt requirements.
2. Proof of Timely Submission
    See the General Section of the SuperNOFA for more information on 
this topic.

D. Intergovernmental Review

    The Housing Counseling Program is not subject to Intergovernmental 
Review. See the General Section of the SuperNOFA for more information 
on this topic.

E. Funding Restrictions

    1. Funding is limited to the eligible activities described in 
Section III.C. of this NOFA.
    2. Pre-award Costs. Applicants selected for award must receive 
prior HUD approval to incur costs prior to the date of the grant 
agreement. Grantees may incur pre-award costs 90 calendar days prior to 
the effective date of the grant agreement. All pre-award costs are 
incurred at the applicant's risk and HUD has no obligation to reimburse 
such costs if the award is inadequate to cover such costs or the award 
offer is withdrawn because of the applicant's failure to satisfy the 
requirements of this NOFA.

F. Other Submission Requirements

    1. Application Submission Procedures. See the General Section of 
the SuperNOFA for mailing instructions and procedures and acceptance of 
hand-carried submissions.
    2. Category 1 and Category 3. LHCAs applying under Category 1 and 
SHFAs applying under Category 3 must submit an original and two copies 
of a complete application to the contact person listed for the HOC 
whose jurisdiction includes the geographic area in which the applicant 
is proposing to provide services (see Section VII.A. of this NOFA.) The 
envelope should be clearly marked ``FY 2004 Housing Counseling Grant 
Application (indicate Category 1 or 3.)''
    3. Category 2. National and regional intermediaries applying under 
Category 2 must submit an original and two copies of a complete 
application to: Director, Program Support Division; Office of Single 
Family Housing; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room 9274; Washington, DC 20410. The envelope should be clearly 
marked, ``FY 2004 Housing Counseling Intermediary Application.''

V. Application Review Information

A. Criteria

    The Factors for Award, and maximum points for each factor, are 
outlined below. These factors will be used to evaluate applications 
under Categories 1-3, and the maximum number of points for each 
applicant is 102 points for LHCAs and 100 for all other applicants.
1. Bonus Points
    LHCAs are eligible for 2 bonus points. Section V(A)(1)(a) of the 
General Section of the SuperNOFA, entitled ``RC/EZ/EC,'' contains 
additional information regarding these bonus points.
2. Additional Information
    HUD may rely on information from performance reports, financial 
status information, monitoring reports, audit reports, and other 
information available to HUD in making score determinations under any 
Rating Factor.
3. Responses to Factors for Award
    Responses to the following rating factors should provide HUD with 
detailed quantitative and qualitative information and relevant examples 
regarding the housing counseling work of the organization.
    Applicants applying for supplemental funding must describe the 
relevant

[[Page 27179]]

Predatory Lending, Homeownership Voucher Counseling, and/or Colonias-
related needs and corresponding activities. The Rating Factors below 
contain requests for additional information from applicants interested 
in this supplemental funding.
    In responding to the various factors and sub-factors, 
intermediaries and SHFAs should not submit a separate response for each 
proposed sub-grantee and branch, but should provide a summary response 
for their entire network, highlighting individual activities, 
partnerships, needs or results when appropriate.
4. Rating Factors Used To Evaluate and Rate Applications
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (35 Points). HUD uses responses to this Rating 
Factor to evaluate the readiness and ability of an applicant, and if 
applicable proposed sub-grantees and branches, to immediately begin, 
and cost-effectively and successfully implement, the proposed work 
plan.
    (1) Applicants must provide the following information. Applicants 
may use the following outline as a convenient format:
    (a) Number of full-time (35 hours + per week) housing counselors 
working for the applicant, or if applicable, proposed sub-grantees or 
branches;
    (b) Number of part-time housing counselors working for the 
applicant, or if applicable, proposed sub-grantees or branches;
    (c) Number of bilingual housing counselors working for the 
applicant, or if applicable, proposed sub-grantees or branches;
    (d) Average years of housing counseling experience for counselors 
working for the applicant, or if applicable, proposed sub-grantees or 
branches;
    (e) Average years of housing counseling program management 
experience for the project director(s) for the applicant, or if 
applicable, proposed sub-grantees or branches;
    (f) Average hourly labor rate for housing counselors working for 
the applicant, or if applicable, proposed sub-grantees or branches;
    (g) Average hours of housing counseling per client, for the period 
October 1, 2002, through September 30, 2003, for each of the following 
applicable service types, including follow-up:
    (i) Pre-purchase Counseling.
    (ii) Homebuyer Education.
    (iii) Delinquency/Default Counseling.
    (iv) Non-Delinquency Post-Purchase Counseling.
    (v) Home Equity Conversion Mortgage (HECM) Counseling.
    (vi) Post-Purchase Education.
    (vii) Rental Counseling.
    (viii) Homeless/Displacement Counseling.
    (ix) Predatory Lending Counseling.
    (x) Homeownership Voucher Counseling and Education.
    (xi) Other (describe).
    (h) FY2002 HUD housing counseling grant(s) or sub-grant(s), if 
applicable. If the applicant received one or more FY2002 HUD housing 
counseling grants or sub-grants covering the period October 1, 2002-
September 30, 2003, indicate the grant amounts and make sure that these 
grants are properly recorded in section 8 of the Form HUD-9902 
submitted with this application.
    (i) FY2002 total housing counseling budget, covering the period 
October 1, 2002-September 30, 2003, including HUD housing counseling 
grant(s) or sub-grants, if applicable, as well as other resources 
leveraged specifically for housing counseling. Do not include funds for 
down payment or closing cost assistance, Individual Development 
Accounts, emergency services, or other resources not used for the 
direct provision of housing counseling.
    (j) Total number of clients served under the ``HUD Grant 
Activities'' column, if applicable, on the Form HUD-9902 submitted with 
this application, covering the grant period October 1, 2002, through 
September 30, 2003. This figure should represent individuals served 
entirely with HUD housing counseling grant or sub-grant funding. If it 
does not, the applicant must prorate their response to reflect a figure 
representing services provided with only funding from a HUD housing 
counseling grant(s).
    (k) Total number of clients served under the ``All Counseling 
Activities'' column on the Form HUD-9902 submitted with this 
application, covering the grant period October 1, 2002 through 
September 30, 2003. This total should reflect all the counseling 
activities performed by the applicant, and if applicable Affiliates and 
Branches, during the grant period, both with HUD Housing Counseling 
grant or sub-grant funds, if applicable, and with other leveraged 
resources.
    (l) The number of clients recorded on the Form HUD-9902 submitted 
with this application, covering the period October 1, 2002, through 
September 30, 2003, that participated only in Homebuyer Education 
Workshops or other types of classes offered as group sessions:
    (i) Under the ``HUD Grant Activities'' column, if applicable;.
    (ii) Under the ``All Counseling Activities'' column.
    (m) The number of clients recorded on the Form HUD-9902 submitted 
with this application, covering the period October 1, 2002, through 
September 30, 2003, that participated in one-on-one counseling only:
    (i) Under the ``HUD Grant Activities'' column, if applicable;
    (ii) Under the ``All Counseling Activities'' column.
    (n) The number of clients recorded on the Form HUD-9902 submitted 
with this application, covering the period October 1, 2002, through 
September 30, 2003, that participated in group sessions and also 
received one-on-one counseling:
    (i) Under the ``HUD Grant Activities'' column, if applicable;
    (ii) Under the ``All Counseling Activities'' column;
    (o) If applicable, for the grant period October 1, 2002, through 
September 30, 2003, indicate:
    (i) The number of individuals and families counseled by the 
applicant that participated in HUD's Homeownership Voucher Program;
    (ii) The number of clients that received one-on-one counseling from 
the applicant related to predatory lending, or if applicable, from sub-
grantees and branches;
    (iii) The results of one-on-one counseling pertaining to predatory 
lending, including the number of clients for whom loans have been 
successfully restructured, credit fixed, and the success of other loss 
mitigation strategies;
    (iv) The number of clients that participated in group educational 
sessions related to predatory lending.
    (p) For intermediaries and SHFAs, the number of sub-grantees and 
branches that received funding from the applicant through an FY2002 HUD 
housing counseling grant(s), if applicable, covering the period October 
1, 2002-September 30, 2003.
    (q) For intermediaries and SHFAs, the total number of sub-grantees 
and branches that received funding, specifically for housing 
counseling, from the applicant, both through an FY 2002 HUD housing 
counseling grant(s), if applicable, or other sources of funds, during 
the grant period October 1, 2002, to September 30, 2003.
    (2) (7 points) Knowledge and Experience. Demonstrate that the 
applicant, including if applicable proposed sub-grantees and branches, 
has sufficient personnel with the relevant knowledge and experience to 
implement the proposed activities in a

[[Page 27180]]

timely and effective manner, and bilingual language skills, if 
appropriate.
    Specifically, for LHCAs, scoring will be based on the number of 
years of recent and relevant experience of Housing Counseling Program 
project directors and recent housing counseling and relevant experience 
of housing counselors.
    For national and regional intermediaries and SHFAs, scoring will be 
based on: the number of years of recent and relevant experience of 
project directors of proposed sub-grantees and branches; the number of 
years of recent housing counseling and relevant experience of 
counselors in proposed sub-grantees and branches; and the number of 
years, for key intermediary or SHFA personnel, of recent experience 
running a housing counseling program consisting of a network of 
multiple housing counseling agencies.
    Related experience, such as experience in mortgage lending will 
also be considered, but will not be weighted as heavily as direct 
housing counseling or housing counseling program management experience. 
HUD will also factor in other information that demonstrates the 
capacity of the applicant, such as relevant trainings and competency 
exams and certifications.
    (a) Submit the names and titles of employees, including 
subcontractors and consultants, performing the activities proposed in 
Rating Factor 3. Clerical staff should not be listed. Describe each 
employee's, subcontractor's, or consultant's relevant professional 
background and experience, and bilingual language skills, if 
applicable. Experience is relevant if it corresponds directly to 
projects of a similar scale and purpose. Individual descriptions should 
be limited to one page, and do not count toward narrative page 
limitations. Provide the number of years of experience for each 
position listed, and indicate when each position was held. Indicate 
whether the position is full-time or part-time, and in the case of 
part-time positions, provide the number of hours per week.
    National and regional intermediaries and SHFAs should summarize in 
a single chart listing, each applicable employee, subcontractor, and 
consultant of your proposed sub-grantees or branches, the number of 
years of direct counseling or counseling program management experience, 
and the number of years or relevant experience. Please total each 
column.
    (b) All applicants must indicate whether counselors in their 
agency, or if applicable, proposed sub-grantees and branches are 
required to take and pass an exam evaluating housing counseling 
competency. Describe the test and testing process and the implications 
of the exam.
    (c) Indicate for each counselor listed the specific counseling 
activities with which they have experience, distinguishing between 
group sessions and one-on-one counseling, and the relevant number of 
years of experience for each counseling type. In scoring this section, 
HUD will evaluate whether the applicant has experience providing the 
proposed services.
    Applicants for supplemental funding for Homeownership Voucher 
Counseling must provide detailed information regarding the 
Homeownership Voucher Program-related experience of the applicant and 
each PHA with whom the applicant, or its proposed sub-grantees and 
branch offices have a written commitment to partner, including the 
number of years of experience that the applicant and partnering PHA(s) 
have working with HUD's Homeownership Voucher Program. If different 
from the applicant, explain what counseling agency or other 
organization provided the housing counseling related to the PHA's 
program.
    Similarly, applicants for supplemental funding for predatory 
lending and Colonias must specify the predatory lending or Colonias-
specific experience of project directors and counselors and the 
organization. Applicants for Colonias supplemental funding must also 
highlight the bilingual capacity of relevant counselors.
    (d) Indicate for all housing counselors and project directors the 
specialized trainings and certifications received relevant to the 
proposed activities. Indicate when the training was received and who 
provided it.
    Applicants for supplemental funding must also indicate whether or 
not relevant staff has received recent and relevant specialized 
training. For example, applicants for supplemental funding for 
predatory lending must indicate if relevant personnel received FHA loss 
mitigation training or other training relevant to predatory lending.
    (3) (9 points) Quality and Complexity of Services. In scoring this 
Section, HUD will evaluate the quality of, the variety of, and the 
level of effort and time associated with the housing counseling 
services provided by the applicant during the period October 1, 2002, 
to September 30, 2003, both with HUD housing counseling grant funds, if 
applicable, and with other resources leveraged for housing counseling. 
For applicants that did not receive an FY2002 HUD housing counseling 
grant, the analysis will be based on services provided with other 
sources of funding.
    (a) Applicants must carefully document the various types of housing 
counseling and education services provided during the period October 1, 
2002, through September 30, 2003, both with FY2002 HUD grant funds, if 
applicable, and other resources leveraged for housing counseling. Also 
describe follow-up activities, if applicable.
    If applying for supplemental funding for predatory lending, 
describe the applicant's activities for the grant period October 1, 
2002, to September 30, 2003, in assisting individuals, through outreach 
and group education, in identifying and avoiding predatory lending. For 
example, describe group workshops, community meetings, mass media, or 
material distribution (provide copies of relevant letters, brochures, 
etc.) Also describe the applicant's outreach strategy, including the 
various types of individuals targeted (e.g., sub-prime borrowers, 
elderly homeowners with substantial equity in their homes, etc.), 
explain the rationale for targeting specific areas, types of community 
forums that are effective, methods through which ideas and materials 
are disseminated, and all other relevant information.
    Also, if applicable, describe efforts through one-on-one counseling 
for the period October 1, 2002, to September 30, 2003, to assist 
individuals in identifying and avoiding predatory lending, and describe 
efforts through one-on-one counseling to assist clients affected by 
predatory lending.
    If applying for supplemental Homeownership Voucher Counseling 
funds, describe counseling and education activities during the period 
October 1, 2002, to September 30, 2003, performed in conjunction with 
HUD's Homeownership Voucher Program.
    If applying for supplemental funding for Colonias, describe the 
applicant's activities for the grant period October 1, 2002, to 
September 30, 2003, in assisting individuals in Colonias.
    (b) Describe the level of effort and time required to provide the 
housing counseling services described in part (a) and to meet the needs 
of clients. Explain the average counseling time per client figures 
provided in Section V.A.4.a.(1). Scoring will be based on the degree to 
which the applicant demonstrates that, as compared to similar 
applicants, sufficient time, and resources were devoted to ensure that 
clients received quality counseling.

[[Page 27181]]

    (c) Explain the figures provided in Section V.A.4.a.(1) regarding 
group session participation and one-on-one counseling. Describe how 
clients come to participate in one or the other, the relationship 
between the two, and the role that each plays in the applicant's 
overall service provision.
    Applicants for supplemental funds should also provide this 
information for the activities relevant to the specific supplemental 
funding for which they are applying.
    Scorers will evaluate the extent to which, as compared to similar 
applicants, an agency encouraged and provided one-on-one counseling, 
which HUD considers the most effective form of housing counseling, 
instead of over-relying on homebuyer education workshops and other 
forms of group sessions.
    (d) Indicate whether the applicant, and if applicable, affiliates 
and branches, utilized an on-line Client Management System during the 
grant period October 1, 2002, to September 30, 2003. If a system was 
used, identify which system.
    (4) (9 points) Impact/Outcomes. In scoring this Section, HUD will 
evaluate the applicant's, and if applicable, affiliates' and branches', 
clients served numbers for the grant period October 1, 2002, to 
September 30, 2003. The quantity of clients the applicant was able to 
serve will be compared to similar applicants providing similar 
services. Clients served numbers will also be analyzed in the context 
of the total housing counseling budget, which applicants must provide, 
FY2002 HUD housing counseling grant(s), if applicable, costs; spending 
decisions; the types of services provided; level of effort expended; 
and the performance of similar applicants providing similar services. 
HUD will also consider the degree to which the services provided are 
time and resource intensive.
    Additionally, HUD will evaluate the geographic coverage of the 
applicant's activities for the grant period October 1, 2002, through 
September 30, 2003. For national and regional intermediaries and SHFAs, 
the number of sub-grantees under an FY2002 HUD housing counseling 
grant(s), if applicable, and the overall size of the housing counseling 
network during that period will be factors in the scoring.
    (a) To evaluate the applicant's program results, provide a context 
for, or qualify, the number of clients indicated, on the Form HUD-9902 
submitted with this application, and in SectionV.A.4.a.(1), were served 
under the column ``All Counseling Activities.'' This total should 
reflect all the counseling activities performed by the applicant during 
the period 10/1/02 through 9/30/03, both with HUD housing counseling 
grant funds, if applicable, and with other leveraged resources. 
Indicate how location, counseling and client type, and expenses may 
have affected client volume.
    If the applicant received one or more FY2002 HUD housing counseling 
grants, indicate differences in how the HUD grants were spent compared 
to other leveraged resources. Justify expenses and explain why they 
were reasonable, strategic, and appropriate for the counseling 
activities identified above.
    If applying for supplemental funding, quantify the applicant's 
relevant predatory lending, Homeownership Voucher Counseling, and 
Colonias results during the period 10/1/02 through 9/30/03 and provide 
the total budget for each. For example, if applying for supplemental 
funding for Homeownership Voucher Counseling, provide the number of 
families that participated in the applicant's Homeownership Voucher 
Program in the past complete fiscal year, and the number of current 
homeowners receiving voucher assistance to date, and other notable 
outcomes and information demonstrating the effectiveness of the 
existing program. Provide the same information for PHAs with whom the 
applicant, and if applicable, proposed sub-grantees and branches have 
written commitments to partner.
    (b) National and regional intermediaries and SHFAs that received 
one or more FY2002 HUD housing counseling award(s) for the grant period 
October 1, 2002, to September 30, 2003, must also indicate what 
percentage of their award(s) was passed through directly to sub-
grantees or branches, and explain how funds not passed through were 
spent.
    LHCAs applying under Category 1 that received one or more FY2002 
HUD housing counseling award(s) for the grant period October 1, 2002, 
to September 30, 2003, must indicate what percentage of their award(s) 
was spent on the salaries and benefits of housing counselors and 
project director. Explain how other funds were spent.
    Applicants that did not receive a FY2002 HUD housing counseling 
grant should characterize their performance through other housing 
counseling funding sources.
    (c) LHCAs must list all branch offices for the grant period October 
1, 2002, through September 30, 2003. Also describe the applicant's 
geographic coverage for that period. For example, indicate the 
percentage of a metropolitan area covered by the grantee, and indicate 
if the applicant operated in more than one state.
    National and Regional Intermediaries and State Housing Finance 
Agencies must identify the sub-grantees, affiliates and branches, and 
corresponding states, the applicant provided housing counseling 
funding, for the period October 1, 2002, through September 30, 2003, 
through:
    (i) FY2002 HUD housing counseling grant funds, if applicable;
    (ii) All housing counseling resources.
    (5) (6 points) Performance. In scoring this section, HUD will 
evaluate the applicants performance in relation to pre-established 
performance goals. Additionally, results of HUD monitoring will be 
factored into the scoring.
    (a) So HUD can evaluate the applicant's performance at meeting 
goals, indicate prior goals for the outcome categories listed below 
that correspond to the results shown on the Form HUD-9902 submitted 
with this application, covering the grant period, October 1, 2002, to 
September 30, 2003, under the ``All Grant Activities'' column, and the 
``HUD Grant activities'' column:
    (i) The number of individuals receiving pre-purchase counseling 
that purchased a home;
    (ii) The number of individuals receiving pre-purchase counseling 
that are working toward becoming mortgage ready;
    (iii) The number of individuals receiving pre-purchase counseling 
that, after evaluating their unique financial situation and the costs 
of homeownership, elected not to purchase a home;
    (iv) The number of individuals receiving default counseling that 
successfully avoided foreclosure;
    (v) The number of individuals seeking help in locating or securing 
residence in rental housing that found alternative rental housing.
    For applicants applying for the predatory lending supplemental 
funding, the number of clients affected by predatory lending counseled 
that were able to have their mortgage modified, refinanced, or 
otherwise assisted to avoid foreclosure. Compare these outcome goals 
with the applicant's actual performance outcomes for these categories, 
reported in the Form HUD-9902 submitted with this application, covering 
the grant period October 1, 2002, to September 30, 2003. Characterize 
the applicant's performance at meeting its goals regarding activities 
for that time period. Explain any differences between goals

[[Page 27182]]

and results. Describe relevant market conditions and other 
circumstances that affected reported outcome numbers.
    If the applicant did not establish outcome projections/goals for 
these specific categories prior to the grant period October 1, 2002, to 
September 30, 2003, indicate the specific quantitative goals that it 
did make, if any, and explain any difference between goals and results.

[Note: Starting with the FY2003 HUD Housing Counseling NOFA, 
applicants were asked to provide projections in Factor 5 for the 
specific categories listed above. Form HUD-9902 data submitted with 
the FY2005 NOFA will be compared to those projections. In other 
words, in that NOFA and in ensuing NOFAs, HUD will evaluate the 
degree to which actual performance on a grant, as reported through 
the Form HUD-9902, compares to the corresponding outcome projection 
made by applicants when applying for those funds.]

    (b) If the applicant received a FY2002 HUD housing counseling grant 
covering the period October 1, 2002-September 30, 2003, indicate the 
number of clients that it proposed to serve with its HUD grant in 
Factor 3 of the FY2002 Housing Counseling NOFA application (submitted 
May 17, 2002), and compare it with the number attributed to the HUD 
grant appearing on the Form HUD-9902 form submitted with this 
application, covering October 1, 2002-September 30, 2003, which 
corresponds to the FY2002 application and resulting award. Explain any 
differences between goals and results, including differences in 
proposed and actual grant amounts.
    Applicants that did not apply for or receive a FY2002 HUD housing 
counseling grant(s) should characterize their performance at meeting 
performance goals proposed in applying for and implementing other 
housing counseling funding sources.
    (c) Significant findings on biennial reviews conducted by HUD staff 
will be taken into consideration when scoring this Section. Explain how 
the applicant has taken steps to address and correct any significant 
findings, if applicable.
    (6) (4 points) Grant Requirements / Compliance. In scoring this 
Section, HUD will evaluate how well the applicant satisfied the 
requirements, including reporting and grant document execution, of its 
FY2002 HUD housing counseling grant, for the grant period October 1, 
2002, to September 30, 2003, and its ability to spend all grant funds 
allotted to them. If the applicant did not receive an FY2002 HUD grant, 
base the response on activities and requirements under other sources of 
funding, such as other federal, state, or local grant awards.
    (a) Characterize the applicant's performance with regards to the 
timeliness and completeness with which they satisfied grant document 
execution and reporting requirements, such as Form HUD-9902 submission, 
and quarterly (if applicable), mid-term and final reports.
    (b) Also, indicate whether or not the applicant fully expended 
grant awards during the grant period October 1, 2002, to September 30, 
2003. If not fully expended, indicate the percentage of funds that went 
unspent, and provide an explanation as to the reason why the funds were 
not fully expended and the steps the applicant has taken to ensure that 
future funding will be expended in a timely manner. To receive full 
credit, 100 percent of grant funds must have been expended in a timely 
manner.
    b. Rating Factor 2: Need/Extent of the Problem (10 Points). This 
factor addresses the extent to which there is a need for funding the 
proposed activities described in the applicant's response to Rating 
Factor 3, and the degree to which the applicant's work plan 
substantively addresses departmental policy priorities.
    (1) (5 points) Needs Data. Provide current or recent economic and 
demographic data, and any other evidence, that demonstrates housing 
counseling need relevant to the target area. All proposed activities 
must have corresponding need-related data. Sources for all data 
provided must be clearly cited. Do not submit copies of reports or 
tables.
    To the extent that the community the applicant serves has 
documented need in its Consolidated Plan, Analysis of Impediments to 
Fair Housing Choice (AI), or other planning documents, reference these 
in the response. Economic and demographic data must include persons 
with disabilities located in the target area. The U.S. Census Bureau, 
for example, maintains disability data by state, county, and 
metropolitan statistical area (MSA) at the following Web site address: 
http:www.census.gov/hhes/www/disability.html. Additionally, the HUD 
USER Research Information Service and Clearinghouse, available at 
http://www.huduser.org/, allows users to search over 800 HUD 
publications by subjects and keywords.
    Applicants applying for predatory lending supplemental funding must 
provide current or recent economic and demographic data, and any other 
evidence, that demonstrates the prevalence and impact of predatory 
lending within the target area.
    Applicants proposing counseling in conjunction with HUD's 
Homeownership Voucher Program must demonstrate that the local market 
will support affordable homeownership. For example, describe the income 
and wealth characteristics of Homeownership Voucher Program 
participants, such as average income as a percent of area median 
income, and average savings available for downpayment, and then 
demonstrate the availability in the local market of homes that are 
affordable to these participants. National and regional intermediaries 
and SHFAs must provide this information for each sub-grantee or branch 
included in their application that they propose to provide this 
activity.
    In scoring this Section, HUD will evaluate the degree to which the 
applicant is able to provide current or recent economic and demographic 
data, and any other evidence, that demonstrates housing counseling need 
relevant to the target area and the activities proposed in Rating 
Factor 3. Applicants that fail to identify current or recent objective 
data will receive no points for this factor.
    (2) (5 points) Departmental Policy Priorities. The Departmental 
policy priorities are described in detail in the General Section of the 
SuperNOFA. Of those listed, the following four apply to the Housing 
Counseling Program for the purpose of this NOFA. Indicate if and 
describe how the applicant's work plan substantively addresses each of 
these departmental policy priorities.
    In scoring this section, the applicant will receive one point for 
each of the departmental policy priorities (a)-(c) that its work plan 
substantively addresses. Up to 2 points are available for priority (d). 
See the General Section of the SuperNOFA for more information on each 
priority. If the activities are not part of the applicant's work plan 
in Factor 3 of this NOFA, the applicant will not get any points for the 
policy priority.
    (a) Providing Increased Homeownership and Rental Opportunities for 
Low- and Moderate-Income Persons, Persons with Disabilities, the 
Elderly, Minorities, and Families with Limited English Proficiency.
    (b) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation.
    (c) Participation of Minority-Serving Institutions in HUD Programs.
    (d) Removal of Regulatory Barriers to Affordable Housing. See the 
General Section of the SuperNOFA for more information on the criteria 
involved with this priority. All applicants must

[[Page 27183]]

submit Form HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers (see Appendix of General Section).
    c. Rating Factor 3: Soundness of Approach / Scope of Housing 
Counseling Services (40 Points). This factor addresses the quality and 
effectiveness of the applicant's proposed housing counseling 
activities. If the response to any of the sub-factors in Factor 3 is 
identical to the response in Factor 1 and will not change, for example 
for proposed activities, staff allocation, hours per client for each 
counseling, etc., it is sufficient to simply indicate this and not 
repeat the same language provided previously. Any changes should be 
highlighted without repeating text from Factor 1.
    (1) Applicants must provide the following information. Applicants 
may use the following outline as a convenient format.
    (a) The amount of funding being requested for Comprehensive 
Counseling, and for supplemental funding, if applicable.
    (i) To distinguish the Comprehensive Counseling portion of the 
award the applicant is requesting from requested supplemental funding, 
the amount must be labeled ``Comprehensive Counseling.''
    (ii) Also, indicate the separate amounts, if applicable, the 
applicant is requesting for supplemental funding. To distinguish 
between the types of supplemental funding, and the ``Comprehensive 
Counseling'' portion of the requested award, the amounts must be 
labeled ``Predatory Lending,'' ``Homeownership Voucher Counseling,'' 
and ``Colonias.'' The following sample is suggested as a convenient 
format. Amounts provided are simply examples:

------------------------------------------------------------------------
                         Funding type                            Amount
------------------------------------------------------------------------
Comprehensive Counseling......................................   $40,000
Predatory Lending.............................................   $20,000
Homeownership Voucher Counseling..............................       N/A
Colonias......................................................   $25,000
------------------------------------------------------------------------

    (b) Projected Clients Served. Provide the following figures. Do not 
provide ranges or percentages, but a specific numbers of clients. These 
amounts should represent individuals to be served entirely with HUD 
housing counseling funding. If, in reality, various funding sources 
will contribute to the services provided each individual, the applicant 
must prorate their response to reflect a figure representing services 
provided with only funding from the proposed grant.
    (i) The total number of clients the applicant projects it, and if 
applicable, sub-grantees, will serve under the total proposed HUD 
grant, including all requested supplemental funding.
    (ii) If requesting supplemental funding, indicate the specific 
number of clients the applicant projects it, or if applicable, sub-
grantees, will serve under the comprehensive counseling portion of the 
requested award.
    (iii) If requesting supplemental funding, separately indicate for 
each specific type of supplemental funding being requested, the number 
of clients the applicant projects it, or if applicable, sub-grantees, 
will serve under the proposed supplemental funding.
    (c) Average hours of housing counseling the applicant estimates per 
client, for each of the following activities the applicant proposes, 
including follow-up:
    (i) Pre-purchase Counseling;
    (ii) Homebuyer Education;
    (iii) Delinquency/Default Counseling;
    (iv) Non-Delinquency Post-Purchase Counseling;
    (v) Home Equity Conversion Mortgage (HECM) Counseling;
    (vi) Post-Purchase Education;
    (vii) Rental Counseling;
    (viii) Homeless/Displacement Counseling;
    (ix) Predatory Lending Counseling;
    (x) Homeownership Voucher Counseling and Education;
    (xi) Other (describe).
    (c) The total number of clients that will receive only Homebuyer 
Education Workshops or other types of classes offered as group sessions 
with the proposed award in general, and under each of the applicable 
supplemental funding types.
    (d) The number of clients that will participate in one-on-one 
counseling only, with the proposed award in general, and under each of 
the applicable supplemental funding types.
    (e) The number of clients that will participate in group sessions 
and also receive one-on-one counseling, with the proposed award in 
general, and under each of the applicable supplemental funding types.
    (f) The proposed average hourly labor-rate for housing counselors 
working for the applicant, affiliate, or branch network, if applicable, 
including benefits.
    (g) For national and regional intermediaries and SHFAs, the total 
number of sub-grantees and branches, and corresponding number of 
states, that the applicant estimates will receive funding through the 
proposed FY2004 HUD Housing Counseling Grant. If applying for 
supplemental funding, indicate the number of sub-grantees and branches 
the applicant estimates for comprehensive counseling, and for each type 
of supplemental funding requested.
    (h) For intermediaries and SHFAs, the total number of sub-grantees 
and branches that the applicant estimates will receive funding, 
specifically for housing counseling, from the applicant, both through 
the proposed FY2004 HUD Housing Counseling Grant, and other sources of 
funds, during the grant period October 1, 2004, to September 30, 2005.
    (2) (16 points) Work Plan/Quality and Complexity of Services. In 
scoring this Section, HUD will consider the types and variety of 
housing counseling and education services being offered, and other 
activities occurring in support of the applicant's housing counseling 
program.
    In scoring this section, HUD will also evaluate the quality of the 
applicant's proposed housing counseling services, and level of effort 
and time associated with providing the proposed counseling services to 
the number of clients it estimates it will serve. Scoring will be based 
on the degree to which the applicant demonstrates that, for each type 
of counseling service delivered, and compared to other applicants, 
sufficient time and resources will be devoted to ensure that clients 
receive quality counseling.
    Additionally, scorers will evaluate the extent to which, as 
compared to similar applicants, an applicant will encourage and provide 
one-on-one counseling, which HUD considers the most effective form of 
housing counseling, instead of over-relying on homebuyer education 
workshops and other forms of group sessions. HUD will also factor in 
other information that increases the likelihood that quality counseling 
will occur, such as the use of Client Management Systems.
    (a) Describe the various types of housing counseling and education 
services, and if applicable intermediary activities, including 
training, the applicant proposes to undertake, and identify the 
geographic area the services will cover. Also, describe planned follow-
up activities, if applicable. Applicants must also identify housing 
counselors in their agency, and if applicable proposed sub-grantees and 
branches, that are AARP tested and certified HECM Network Counselors.
    To receive full credit in this section, applicant work plans must 
include both pre-purchase counseling and post-purchase counseling, 
including default counseling, and a broad array of counseling services 
in general. Additionally, proposed housing counseling staff must 
include one or more, depending on the size of the

[[Page 27184]]

Applicant, AARP tested and certified HECM Network Counselors.
    Intermediaries and SHFAs must also:
    (i) Describe the housing counseling and education activities to be 
provided by proposed sub-grantees and branches, explicitly stating the 
types of services to be offered, preferably in a chart;
    (ii) Describe the applicant's legal relationship with sub-grantees 
(i.e. membership organization, field, or branch office, subsidiary 
organization, etc.);
    (iii) Explain the process that will be used to determine sub-
grantee funding levels and distribute funds. If applicable, indicate 
how sub-grantee funding levels are adjusted on an on-going basis based 
on performance.
    (b) Describe the level of effort and time the applicant anticipates 
is required to provide the proposed counseling services to, and meet 
the needs of, the number of clients it indicates in Section V.A.4.c.(1) 
that it will serve with the proposed grant. Explain and describe the 
activities corresponding to the average counseling time figures for 
each counseling type provided in Section V.A.4.c.(1).
    (c) Explain the figures provided in Section V.A.4.c.(1) regarding 
proposed group session participation and one-on-one counseling. 
Describe how clients are selected for one or the other, the 
relationship between the two, and the role that each will play in the 
overall service provision.
    (d) Indicate the names and titles of employees, including 
subcontractors and consultants, allocated to each proposed activity, as 
well as the corresponding staff hours for each task, and demonstrate 
that the applicant has the human resources to accomplish the proposed 
activities and serve the number of individuals the applicant proposes 
to serve.
    (e) Indicate whether the applicant, or if applicable, proposed sub-
grantees and branches, will utilize an on-line Client Management System 
in administering the proposed grant. If a system or systems will be 
used, identify which system(s).
    (3) (6 points) Coordination. In scoring this Section, HUD will 
consider the extent to which, as compared to similar applicants, the 
applicant can demonstrate it will coordinate proposed activities with 
other organizations, and if applicable with other services and products 
offered by the applicant's organization, in a manner that benefits 
their clients. Scoring will also be based on the degree to which the 
applicant takes steps to avoid conflicts of interest, and discloses to 
clients that they have a choice in matters such as the loan product 
they choose and the house that they purchase.
    (a) Describe partnerships and efforts to coordinate proposed 
activities with other organizations, including, but not limited to, 
emergency and social services providers, lending organizations, 
homeowner insurance providers, down payment and closing cost assistance 
programs, and nonprofit housing providers. For example, describe 
agreements with lenders regarding non-traditional lending standards. 
Any written agreements or memoranda of understanding in place should be 
described and copies provided.
    National and regional intermediaries, and LHCAs if applicable, 
should also highlight internal products and functions, such as loan 
products available to clients, downpayment and closing cost assistance 
programs, as well as internal affordable housing programs that can be a 
resource for clients.
    Applicants requesting supplemental funding should highlight the 
partnerships or internal products that are relevant to the proposed 
predatory lending, Homeownership voucher counseling, or Colonias 
activities. For example, applicants for supplemental funding for 
predatory lending should also describe relevant partnerships and 
relationships with other organizations, including state and local 
government regulatory agencies, Legal Aid groups, and other 
organizations with whom the applicant collaborates on predatory lending 
cases and issues, or to whom the applicant refers clients affected by 
predatory lending.
    (b) Describe plans to avoid conflicts of interest, such as methods 
for disclosing to participants that they are free to choose lenders, 
lending products, and homes, regardless of the recommendations made by 
counselors. To receive full credit in this Section, the applicant must 
provide copies of the disclosure forms and materials used by the 
applicant to communicate to clients that, while affordable homes, 
lending products and other forms of assistance might be available 
through the applicant, and partnerships in which the applicant has 
entered, the client is under no obligation to utilize these services.
    (4) (18 points) Impact/Efficient Use of Resources--Proposed HUD 
Grant. In scoring this Section, HUD will evaluate the number of clients 
that the applicant estimates will be served under the proposed HUD 
grant, by the applicant and sub-grantees, if applicable, for the grant 
period October 1, 2004, to September 30, 2005. Scoring will be based on 
the quantity of clients the applicant proposes to serve, compared to 
similar applicants providing similar services. Proposed clients served 
numbers will also be analyzed in the context of budget, costs, spending 
decisions, the types of services provided, level of effort expended, 
etc. HUD will also factor in other information that demonstrates that 
resources are being used efficiently; for example, the percentage of 
grant funds intermediaries and SHFAs pass through to sub-grantees. 
Additionally, HUD will evaluate the geographic coverage of the 
applicant's proposed activities.
    In the case of intermediaries and SHFAs, the number of proposed 
sub-grantees and branches, the overall size and scope of the counseling 
network will be a factor in the scoring.
    (a) Provide a context for, or qualify the number of clients the 
applicant projects to serve with the proposed HUD grant. Indicate how 
location, counseling and client types, and expenses may affect client 
volume, and whether the impact will be short-term or long-term. Justify 
proposed expenses and explain why they are reasonable, strategic, and 
appropriate for the counseling activities identified above.
    Explain and justify significant changes, relative to past 
performance and grant/budget size described in Rating Factor 1, in the 
number of clients the applicant proposes to serve. For example, 
describe changes in the types of counseling being delivered, costs, 
etc.
    (b) National and regional intermediaries and SHFAs must also 
indicate what percentage of their proposed award will be passed through 
directly to sub-grantees and branches, and explain how funds not passed 
through will be spent.
    LHCAs applying under Category 1 must indicate what percentage of 
their proposed award will be spent on the salaries and benefits of 
housing counselors and project directors. Explain in detail how other 
proposed funds will be spent.
    (c) LHCAs must list all branch offices, if applicable, and indicate 
if they will be funded through the proposed award. Also, describe the 
applicant's geographic coverage. For example, indicate the percentage 
of a metropolitan area covered by the grantee, and indicate if the 
applicant operates in more than one state.
    National and regional intermediaries and SHFAs must also identify 
the sub-grantees and branches, and corresponding states, the applicant 
proposes will receive funding through this grant award. In the event 
that different sub-grantees or branches will be selected for 
comprehensive

[[Page 27185]]

counseling and/or the three supplemental funding types, separately list 
proposed sub-grantees and branches for each. Applicants unable to 
precisely identify proposed sub-grantees and branches to receive 
funding through the proposed grant must identify the most likely sub-
grantees and branches, based on past experience, and explain what 
process will be used to select actual sub-grantees and branches. 
Pursuant to the applicable regulations at 24 CFR 84.82(d)(3)(iii) and 
85.30(d)(4), grantees must receive HUD's prior written approval for 
sub-grants.
    d. Rating Factor 4: Leveraging Resources (10 Points). HUD housing 
counseling funding is not intended to fully fund an applicant's housing 
counseling program, or that of its sub-grantees, if applicable. All 
organizations that use housing counseling grant funds are expected to 
seek other private and public sources of funding for housing counseling 
to supplement HUD funding. Any agency that does not have other 
resources available will receive no points for this factor.
    Applicants will be evaluated based on their ability to provide 
evidence that they have obtained additional resources for their housing 
counseling activities, including: Direct financial assistance; in-kind 
contributions, such as services, equipment, office space, labor; etc. 
Resources may be provided by governmental entities, public or private 
nonprofit organizations, for-profit private organizations, or other 
entities committed to providing assistance.
    (1) All applicants must provide a comprehensive list of all 
leveraged funds and in-kind contributions being claimed. Include the 
amount and the source. All contributions, including cash and third 
party in-kind, shall be accepted as part of the recipient's cost 
sharing or matching when such contributions meet all of the criteria 
set forth in 24 CFR 84.23.
    (2) Additionally, in order to obtain points under this factor, the 
applicant must demonstrate leveraging by providing letters and, if 
applicable, copies of relevant grant agreements from entities or 
individuals, or both, committing resources to the project that include:
    (a) The identity of the entity or individual committing resources 
to the project.
    (b) Dollar value of the resources to be committed. For in-kind 
resources with no clear total dollar value indicated, applicants should 
estimate their value and describe in detail how the estimate was 
determined. Values for recipient contributions of services and property 
shall be established in accordance with the applicable cost principles.
    (c) The type of resources to be committed.
    (d) An indication that the resources will be available during the 
grant period pertaining to this NOFA, October 1, 2004-September 30, 
2005.
    (e) An indication that the award, or a specific portion of it, is 
intended for housing counseling.
    (f) The signature of an official of the entity legally able to make 
commitments on behalf of the entity.
    (g) No conditions that would nullify the commitment. (It is, 
however, acceptable for the commitment to be conditional on HUD 
funding.)
    (3) Additionally, resources provided by the applicant, (recorded as 
``Applicant'' and ``Program Income'' on the Form SF-424) will count as 
leveraged resources.
    These are the only circumstances under which applicants are 
permitted to self-certify to leveraged resources. These amounts must 
only include funds that will directly result in the provision of 
housing counseling services, but not resources for activities such as 
down payment and closing cost assistance, IDA programs, and emergency 
services.
    (4) National and regional intermediaries and SHFAs should include 
evidence of leveraged resources for their entire counseling network and 
program, not simply anticipated sub-grantees to be funded through this 
application.
    (5) Points for this factor will be awarded based on the 
satisfactory provision of evidence of leveraging and financial 
sustainability, as described above, and the percentage of the 
applicant's total housing counseling budget that the requested HUD 
housing counseling funds would represent. Depending on organization 
type, the following scales will be used to determine scores for this 
factor:

                             LHCAs and SHFAs
------------------------------------------------------------------------
                           Percentage                             Points
------------------------------------------------------------------------
01-25..........................................................       10
26-40..........................................................        9
41-48..........................................................        8
49-55..........................................................        7
56-65..........................................................        6
66-75..........................................................        5
76-85..........................................................        4
86-91..........................................................        3
92-95..........................................................        2
96-99..........................................................        1
------------------------------------------------------------------------


                  National and Regional Intermediaries
------------------------------------------------------------------------
                           Percentage                             Points
------------------------------------------------------------------------
01-15..........................................................       10
16-23..........................................................        9
24-29..........................................................        8
30-35..........................................................        7
36-41..........................................................        6
42-47..........................................................        5
48-53..........................................................        4
54-59..........................................................        3
60-65..........................................................        2
66-99..........................................................        1
------------------------------------------------------------------------

    e. Rating Factor 5: Achieving Results and Program Evaluation (5 
Points). This factor emphasizes HUD's determination to ensure that 
applicants meet commitments made in their applications and grant 
agreements and assess their performance to realize performance goals, 
and reflects HUD's goal to embrace high standards of ethics, management 
and accountability.
    The purpose of this factor is for the applicant to identify program 
outputs and outcomes that will allow it and HUD to measure actual 
achievements against anticipated achievements. Outputs and outcomes 
must be objectively quantifiable.
    In scoring this section, HUD will consider the thoroughness of the 
response, as well as the appropriateness of the proposed outcomes given 
the proposed HUD award and past performance, as compared to similar 
applicants.
    (1) Submission Requirements for Factor 5. Applicants must submit an 
effective, quantifiable, outcome-oriented evaluation plan for measuring 
performance and determining that output and outcome goals have been 
met. Applicants must submit a program evaluation plan, consisting of a 
completed Form HUD-96010, Program Outcome Logic Model, and 
corresponding narrative, that identifies what will be measured, how it 
will be measured, and the steps the applicant has in place to make 
adjustments to the work plan if performance targets are not met within 
established timeframes. Specifically, the plan must identify:
    (a) Outputs. Outputs are the direct products of the applicant's 
activities that lead to the ultimate achievement of outcomes. Examples 
of outputs include, but are not limited to, the number of individual 
counseling sessions, the number of group sessions to be provided, the 
number of materials to be distributed, and outreach activities. 
Identify interim and full grant term outputs, and time frames for 
accomplishing these goals. The plan must show how the applicant will

[[Page 27186]]

measure actual accomplishments against anticipated achievements.
    (b) Work Plan Adjustments. Describe steps in place to make 
adjustments to the work plan if outputs are not met within established 
time frames or if the applicant begins to fall short of established 
outputs and time frames. National and regional intermediaries and SHFAs 
should indicate if and how the performance of sub-grantees and branch 
offices, affects current and future sub-grants and allocations.
    (c) Outcomes. Outcomes are benefits accruing to the families as a 
result of participation in the program. Outcomes are performance 
indicators the applicant expects to achieve or goals it hopes to meet 
over the term of the proposed grant. For the period October 1, 2004-
September 30, 2005, provide the following anticipated outcomes for 
clients as a result of the proposed grant. In other words, provide the 
figure that the applicant estimates for that outcome category under the 
HUD grant activities column on the Form HUD-9902.
     The number of individuals receiving pre-purchase 
counseling that will purchase a home;
     The number of individuals receiving pre-purchase 
counseling that are working toward becoming mortgage ready;
     The number of individuals receiving pre-purchase 
counseling that, after evaluating their unique financial situation and 
the costs of homeownership, will elect not to purchase a home;
     The number of individuals receiving default counseling 
that will successfully avoid foreclosure;
     The number of individuals seeking help in locating or 
securing residence in rental housing that found alternative rental 
housing;
     Applicants proposing to address predatory lending should 
indicate the number of clients affected by predatory lending counseled 
that will have their mortgage modified, refinanced, or otherwise 
assisted to avoid foreclosure.
    These specific outcomes correspond to the Form HUD-9902. The 
proposed outcomes the applicant provides will be compared with the 
results captured in the HUD-9902 the applicant submits in the FY2006 
Housing Counseling NOFA, if applicable, to evaluate the impact the 
applicant was able to achieve with this proposed award, if applicable, 
and the degree to which the applicant was able to meet or exceed 
proposed outcomes. Not all outcome categories will be relevant to every 
organization, depending upon the services provided.
    (d) Information Collection. Describe the applicant's strategy for 
following-up with clients and collecting outcome information.

B. Reviews and Selection Process

    Two types of reviews will be conducted.
1. Technical Review
    First, each application will be reviewed for technical sufficiency, 
in other words, whether the application meets the threshold 
requirements set out in this NOFA and the General Section of the 
SuperNOFA, and whether all required forms have been submitted. The 
General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.
2. General Review
    The second review considers the responses to the rating factors 
outlined above and other relevant information. Applications will be 
evaluated competitively, and ranked against all other applicants that 
applied in the same funding category.
3. Rating Panels
    Detailed information on the rating review panels appears in the 
General Section of the SuperNOFA.
4. Minimum Score for Fundable Applications
    The minimum score for fundable applications is 75 points.
5. Funding Methodology
    a. Comprehensive Counseling. The following funding formula will be 
used to calculate the comprehensive counseling portion of the awards 
under Categories 1-3. Only applicants who receive a score of 75 points 
or above will be considered eligible for funding. All eligible 
applicants will then be funded in proportion to the score they receive. 
Regarding the comprehensive counseling portion of an award, all 
grantees will receive the lower of either the comprehensive award 
amount determined with the formula, or the amount actually requested by 
the applicant, as indicated in the applicant's response to Section 
V.A.4.c.(1) of this NOFA. This amount must be labeled ``Comprehensive 
Counseling'' to distinguish it from requested supplemental funds, if 
applicable.
    The formula will work as follows for each category:
    (1) Funding Round 1. Every applicant that scores 75 points or above 
will receive a base award ($15,000 for LHCAs; $50,000 for SHFAs; and 
$200,000 for intermediaries). The total number of applicants receiving 
the base award will be multiplied by the relevant base amount, and that 
amount will be subtracted from the total amount available under the 
Category, or in the cases of Categories 1 and 3, available to the HOC.
    (2) Funding Round 2. Then, the remaining balance after funding the 
Round 1 base awards will be divided by the total number of points all 
applicants in that Category, and HOC in the cases of Categories 1 and 
3, score that are above the 75-point cutoff. The calculation will 
result in a dollar value for each point. The number of points that all 
applicants in a Category, and in a HOC in the cases of Categories 1 and 
3, score above the 75 point base will be multiplied by that dollar 
value. The result of that calculation will be added to the base award. 
Any remaining funds after this calculation will carry over into the 
next funding round.
    (3) This same methodology will be used for each subsequent round of 
funding until all available funds are awarded, or until all eligible 
applicants are funded to the maximum dollar amount allowed. Subsequent 
rounds of calculations, if needed, will distribute remaining funds to 
applicants that scored above 95 points, 91-95 points, 86-90 points, and 
80-85 points, respectively.
    b. Supplemental Funding. The same methodology described above in 
section a. will be used to distribute the available supplemental funds 
for Predatory Lending, Homeownership Voucher Counseling, and Colonias 
to eligible applicants.
    Regarding supplemental funding, all grantees will receive the lower 
of either the supplemental award amount determined with the formula, or 
the specific amount of supplemental funding actually requested by the 
applicant, as indicated in the applicant's response in Section 
V.A.4.c.(1).(b). of this NOFA.
    Each applicant will only submit one application and receive a score 
based on the application for the comprehensive counseling grant. 
Comprehensive counseling funds will be allocated based on this score. 
Subsequently, for each supplemental funding category requested, 
responses to each rating factor will be evaluated on a yes/no, 
adequate/inadequate basis. An adequate response will result in a score 
for the supplemental funding identical to the comprehensive score on 
each respective rating factor. An inadequate supplemental response will 
result in a 1-point deduction from the comprehensive score. After all 
five rating factors have been evaluated, the adjusted ratings will 
result in a distinct

[[Page 27187]]

score for the supplemental funds. This method will result in scores for 
supplemental funding that may be equal to the comprehensive score, or 
up to five points less than the comprehensive score. In no case can an 
applicant receive a higher score on an application for supplemental 
funding that it received on its comprehensive application. This process 
will be repeated for each supplemental funding allocation. An applicant 
will receive a separate score for its application for comprehensive 
counseling, and each supplemental funding category for which it 
applies.
    The base awards for all three supplemental funding categories will 
be $2,000 for LHCAs, $10,000 for SHFAs, and $40,000 for intermediaries. 
Only applicants scoring 75 points or above are eligible for 
supplemental funding. However, because of the limited amount of funds 
available, all applicants scoring 75 points or above are not guaranteed 
supplemental funding.
    (1) For National and regional intermediaries, up to the top 5 
scoring applicants (scoring 75 points or above) for supplemental 
funding for predatory lending and Homeownership Voucher Counseling that 
are eligible for supplemental funds, and have not already been fully 
funded in accordance with the funding methodology described in this 
section, will receive supplemental funding. For supplemental funding 
for Colonias, up to the top 3 scoring intermediary applicants (scoring 
75 points or above) that are eligible for supplemental funds, and have 
not already been fully funded in accordance with the funding 
methodology described in this section, will receive supplemental 
funding.
    (2) For SHFAs, up to the top 2 scoring applicants (scoring 75 
points or above) in each HOC for each supplemental category that are 
eligible for the supplemental funds, and have not already been fully 
funded, will receive supplemental funding.
    (3) For LHCAs, up to the top 10 scoring applicants (scoring 75 
points or above) in each HOC for each supplemental category that are 
eligible for the supplemental funds, and have not already been fully 
funded, will receive supplemental funding.
    6. Reallocation of Unspent Funds. If funds designated for a 
specific grant Category, HOC, or for supplemental funding remain 
unspent after the formulas have been run and award recommendations are 
determined, HUD may, at its discretion, reallocate those funds to any 
other funding Category or supplemental funding area under this NOFA. 
Additionally, HUD may reallocate unspent funds to any HOC jurisdiction 
or to HUD Headquarters for awards under this NOFA. HUD may also 
reallocate unspent funds for housing counseling support activities.

VI. Award Administration Information

A. Award Notices

    Following selection, applicants will receive from HUD notification 
regarding their application.
1. 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:
    a. Assistance subject to Section 102(a) of the HUD Reform Act; and/
or
    b. 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.
2. Debriefing
    Beginning 30 days after the awards for assistance are publicly 
announced and for at least 120 days after awards for assistance are 
announced publicly, HUD will provide a debriefing to any applicant 
requesting one. All debriefing requests must be made in writing or by 
e-mail by the authorized official whose signature appears on the SF-
424, or his or her successor in office, and submitted to the person or 
organization identified as the contact in Section VII.A. of this NOFA. 
Information provided during a 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.
    For more information on debriefings, consult the General Section of 
the SuperNOFA.

B. Administrative and National Policy Requirements

1. 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.
2. Other Matters
    a. Requirements for Funding Competitions. See General Section.
    b. Relocation. See General Section.
    c. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs. See General Section.
    d. Conflicts of Interest. See General Section.
    e. Prohibition Against Lobbying Activities. See General Section.
    f. Accessible Technology. See General Section.
    g. Procurement of Recovered Materials. See General Section.
    h. Participation in HUD Sponsored Program Evaluation. See General 
Section.
    i. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. See General 
Section.
    j. Executive Order 13166, Improving Access to Persons With Limited 
English Proficiency (LEP). See General Section.
    k. Executive Order 13279 Equal Protection of the Laws for Faith-
Based and Community Organizations. See General Section.
    l. Salary Limitation for Consultants. See General Section.
    m. Executive Order 13132, Federalism. See General Section.
    n. Sense of Congress. See General Section.

C. Reporting

    Grantees are required to complete and submit a Form HUD-9902, 
Fiscal Year Activity Report (APPENDIX A). The information compiled from 
this report provides HUD with its primary means of measuring program 
performance.

VII. Agency Contact(s)

A. For Technical Assistance

    LHCAs and SHFAs should contact the HOC serving their area, as 
indicated below. Hearing and speech challenged persons may access the 
telephone numbers listed below by calling the Federal Information Relay 
Service at 800-877-8339.

[[Page 27188]]



------------------------------------------------------------------------
        Homeownership center                        States
------------------------------------------------------------------------
Philadelphia Homeownership Center:   Connecticut, Delaware, District of
 Mr. Adam Deveney, Acting Director,   Columbia, Maine, Maryland,
 Program Support Division,            Massachusetts, Michigan, New
 Wannamaker Building, 100 Penn        Hampshire, New Jersey, New York,
 Square East, 12th Fl,                Ohio, Pennsylvania, Rhode Island,
 Philadelphia, PA 19107-3389. For     Vermont, Virginia, West Virginia.
 technical questions contact:
 Robert Wright (215) 656-0527 x3406.
Atlanta Homeownership Center: Ms.    Alabama, Puerto Rico, Florida,
 Gayle Knowlson, 40 Marietta          Georgia, Illinois, Indiana,
 Street, 8th Floor, Atlanta, GA       Kentucky, Mississippi, North
 30303-2806. For technical            Carolina, South Carolina,
 questions contact: E. Carolyn        Tennessee.
 Hogans (404) 331-5001, x2129.
Denver Homeownership Center: Ms.     Arkansas, Colorado, Iowa, Kansas,
 Irma Devich, Director, Program       Louisiana, Minnesota, Missouri,
 Support Division, 1670 Broadway,     Montana, Nebraska, New Mexico,
 Denver, CO 80202-4801. For           North Dakota, Oklahoma, South
 technical questions contact: 303-    Dakota, Texas, Utah, Wisconsin,
 672-5200 Vic Karels X1995, Jonna     Wyoming.
 Munson X1987.
Santa Ana Homeownership Center: Mr.  Alaska, Arizona, California,
 Jerrold Mayer, 1600 N. Broadway,     Hawaii, Oregon, Idaho, Nevada,
 Suite 100, Santa Ana, CA 92706-      Washington.
 3927. For technical questions
 contact: Rhonda J. Rivera, Chief,
 [email protected] 1-888-
 827-5605 x 3210.
------------------------------------------------------------------------

    National and regional intermediaries should contact HUD 
Headquarters, Program Support Division at (202) 708-0317 (this is not a 
toll-free number). Persons with hearing or speech impairments may 
access any of these numbers via TTY by calling the toll-free federal 
Information Relay Service at 800-877-8339.

VIII. Other Information

    A. Satellite Broadcast. HUD will hold an informational broadcast 
via satellite for potential applicants to learn more about the program 
and the application. For more information about the date and time of 
the broadcast, consult the HUD Web site at http://www.hud.gov/grants.
    B. Federal E-Grants Information. See the General Section of the 
SuperNOFA for more information on this topic.
    C. Public Access, Documentation, and Disclosure. See the General 
Section of the SuperNOFA for more information on this topic.

Appendix A--Form HUD-9902, Fiscal Year Activity Report

BILLING CODE 4210-32-P

[[Page 27189]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.112


[[Page 27190]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.113


[[Page 27191]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.114


[[Page 27192]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.115


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27193]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.116


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27195]]



Lead-Based Paint Hazard Control Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead-Based Paint Hazard Control Grant 
Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-05. The OMB approval number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.900 
Lead-Based Paint Hazard Control in Privately Owned Housing
    F. Dates: Application Deadline. The application due date is July 
13, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of the Program. The purpose of the Lead-Based Paint 
Hazard Control Grant Program is to assist states, Native American 
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 
nonprofit organizations including grassroots faith-based or other 
community-based organizations.
    2. Available Funds. Approximately $96 million in Fiscal Year 2004 
and approximately $710,000 in previous years recaptured funds.
    3. Eligible Applicants. To be eligible to apply for funding under 
this program, the applicant must be a state, city, county, or similar 
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 lead applicant that will be responsible for 
ensuring compliance with all requirements specified in this NOFA. If 
you are a state or Tribal applicant, you must have a Lead-Based Paint 
Contractor Certification and Accreditation Program authorized by the 
Environmental Protection Agency (EPA). Grantees funded under the Fiscal 
Year 2003 Lead-Based Paint Hazard Control NOFA published in the Federal 
Register April 25, 2003, are not eligible to apply.
    4. Match. A statutory minimum of 10 percent match in local funds.

Full Text of Announcement

I. Funding Opportunity Description

    A. Program Description. 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, Pub. L. 102-550). HUD's authority for making 
funding available under this NOFA is the Consolidated Appropriations 
Act for Fiscal Year 2004. The Lead-Based Paint Hazard Control Grant 
Program assists states, Native American Tribes, and local governments 
in undertaking programs for the identification and control of lead-
based paint hazards in eligible privately owned rental and owner-
occupied housing units. Refer to Section IV.E.3 of this NOFA for 
``Eligibility of HUD Assisted Housing'' that lists the HUD-associated 
housing programs that meet the definition of eligible housing under 
this program. HUD is interested in promoting lead hazard control 
approaches that result in the reduction of elevated blood lead levels 
in children for the maximum number of low-income families with children 
under six years of age, for the longest period of time, and that 
demonstrate techniques which are cost-effective, efficient, and 
replicable elsewhere. Copies of HUD's Lead-Safe Housing Regulation, and 
the companion publication ``Interpretive Guidance: The HUD Regulation 
on Controlling Lead-Based Paint Hazards in Housing Receiving Federal 
Assistance and Federally Owned Housing Being Sold,'' are available from 
the National Lead Information Clearinghouse at 800-424-LEAD (this is a 
toll-free number). If you are a hearing-or speech-impaired person, you 
may reach the telephone number via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. Copies are also available 
from the Office of Healthy Homes and Lead Hazard Control Web site at: 
http//www.hud. gov/offices/lead.
    1. Because lead-based paint is a national problem, these funds will 
be awarded to programs which:
    a. Maximize the combination 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 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 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 
grassroots faith-based or other 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, grassroots, 
faith-based, or other community-based organizations, 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 
that will continue after the grant period ends;
    e. Establishment of a public registry (listing) of lead-safe 
housing or inclusion of the lead-safe status of properties in another 
publicly accessible address-based property information system and 
affirmatively marketed to families with young children; 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 
minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR 
33881, June 30, 1994).
    3. Changes in FY2004 Competitive NOFA.
    a. The page limit for the narrative response to the rating factors 
has been reduced from 25 to 15 pages.
    b. Applicants are to complete and submit the Rating Factor Tables 
included in Section IV. of this NOFA.
    c. The minimum percentage of the federal funds requested identified 
for direct lead hazard control activities has been increased from 60 to 
65 percent with temporary relocation now included as a direct lead 
hazard control activity. Direct lead hazard control activities consist 
of dust testing, combined lead paint inspection and risk assessments,

[[Page 27196]]

interim controls, abatement of lead hazards, temporary relocation, and 
clearance examinations. Direct hazard control activities do not include 
blood lead testing of residents or workers, housing rehabilitation, 
training, community education and outreach, applied research, purchase 
of supplies or equipment, or administrative costs.

II. Award Information

    A. Funding Available. Approximately $95 million in Fiscal Year 2004 
and approximately $710,000 in previous years recaptured funds will be 
available for the Lead-Based Paint Hazard Control Grant Program. Grant 
award amounts shall be approximately $1-3 million per grant. 
Approximately 30 to 40 grants will be awarded. New applicants, grantees 
receiving a renewal grant under the Fiscal Year 2002 NOFA published in 
the Federal Register (FR) on March 26, 2002, or those previously funded 
lead-based paint hazard control grantee applicants whose period of 
performance ended prior to the application deadline date will be 
evaluated and scored as a separate group and will not be in direct 
competition with applications from current grantee applicants that are 
eligible for a Competitive Performance-Based Renewal to their existing 
grant. A maximum of 35 percent of the funds will be made available to 
applicants eligible for a Competitive Performance-Based Renewal grant. 
The project duration shall be 42 months for new grant recipients and 36 
months for Competitive Performance-Based Renewal grantees. HUD reserves 
the right to approve no-cost time extensions for a period not to exceed 
24 months. Current grantees with active grants at the application 
deadline date must meet specific performance criteria in their current 
grant to be eligible for a Competitive Performance-Based Renewal. 
Current grantees eligible for a Competitive Performance-Based Renewal 
must meet or exceed the specific work plan performance benchmark goals 
and objectives outlined in Section III.A.4. for the period ending March 
31, 2004, to be eligible to receive $1-3 million to continue grant 
program activities for an additional 36 months after their current 
period of performance ends. Current grantees that do not meet the 
performance criteria in Section III.A.2. are not eligible to submit an 
application under this NOFA.
    B. Contracts or other formal arrangements with nonprofit grassroots 
faith-based or other community-based organizations. If selected for 
funding, local, and state applicants are encouraged to enter into 
formal arrangements with grassroots, faith-based, or other community-
based organizations. These formal arrangements could be a contract, a 
Memorandum of Understanding (MOU), a Memorandum of Agreement (MOA), or 
a letter of commitment. Such relationships should be established prior 
to the actual execution of an award or within 120 days of the effective 
start date of the grant agreement. This requirement does not apply to 
Native American Tribes.

III. Eligibility Information

    See the General Section of the SuperNOFA for additional eligibility 
requirements applicable to HUD Programs.

A. Eligible Applicants

    1. To be eligible to apply for funding under this program, the 
applicant must be a state, city, county, or similar 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 lead applicant that will be responsible for ensuring 
compliance with all requirements specified in this NOFA. State 
government and Native American tribal applicants must have an EPA 
approved state program for certification of lead-based paint 
contractors, inspectors, and risk assessors in accordance with 40 CFR 
745. Current grantees (except for those grantees receiving a Renewal 
Grant under the FY2002 competition and those grantees that are not 
eligible to submit an application for a Competitive-Based Renewal 
grant) with active grants at the application deadline date and Grantees 
funded under the Fiscal Year 2003 Lead-Based Paint Hazard Control NOFA 
published in the Federal Register on April 25, 2003, are not eligible 
to apply.
    2. Eligible Applicants for Competitive Performance-Based Renewal 
Grants. Current grantees with active grants at the application deadline 
date must meet specific competitive performance criteria in their most 
recent grant to be eligible for a Performance-Based Renewal Grant. 
Current grantees that received a Renewal Grant under the FY2002 (Round 
10) Lead-Based Paint Hazard Control Program NOFA published in the 
Federal Register on March 26, 2002, are not eligible to receive a 
Competitive Performance-Based Renewal Grant under this competition, but 
are eligible to apply as a new or prior grantee under this NOFA. 
Current grantees that do not meet the performance criteria outlined 
below (Section III.A.4) for the period ending March 31, 2004, are not 
eligible for a Competitive Performance-Based Renewal grant.
    3. Eligible applicants may submit only one application. In the 
event that multiple applications are submitted, this will be considered 
a technical deficiency and the application review process delayed until 
you notify HUD in writing which application should be reviewed. Your 
other applications will be returned without being rated or ranked.
    4. Eligibility Criteria for Competitive Performance-Based Renewal 
Grants

                                              Eligibility Criteria
                                       [For period ending March 31, 2004]*
----------------------------------------------------------------------------------------------------------------
                                                                                                   % of Federal
                                                                                                       funds
                                                                                    % of units      reimbursed
                  FY                         Round        Calendar year quarter    completed and    through the
                                                            grant start date          cleared     Line of Credit
                                                                                                  Control System
                                                                                                      (LOCCS)
----------------------------------------------------------------------------------------------------------------
2000..................................               8  Jan-Mar 2001............              80              55
2000..................................               8  Apr-Sep 2001............              75              50
2001..................................               9  Oct-Dec 2001............              65              45
2001..................................               9  Jan-Mar 2002............              65              45
2001..................................               9  Apr-Jun 2002............              60              40
2001..................................               9  Jul-Dec 2002............              55              35
2002..................................              10  Jan-Mar 2003............              50              35

[[Page 27197]]

 
2002..................................              10  Apr-Jun 2003............              45             30
----------------------------------------------------------------------------------------------------------------
* Based on Quarterly Progress Reporting Data submitted to HUD for the period ending March 31, 2004.

    By achieving the above-referenced level of performance, current 
grantees have successfully competed for eligibility in receiving 
additional funds.
    Active grantees eligible to submit a Competitive Performance-Based 
Renewal grant application will be required to submit a Total Budget 
(Federal Share and Matching), a work plan strategy with specific, 
measurable, and realistic benchmark performance objectives and any 
supporting materials prescribed in the NOFA for the additional 36-month 
competitive performance-based renewal period. In addition, grantees 
awarded grant funds under this category will be required to meet the 
terms and conditions of their current grant agreement and any 
additional applicable requirements under this NOFA and subsequent grant 
agreement modification. HUD may terminate awards to grantees that fail 
to meet established milestones or benchmark performance standards 
established by this NOFA or the Award Agreement.

B. Cost Sharing or Matching

    You must provide a matching contribution of at least 10 percent of 
the requested grant sum. This may be in the form of cash, including 
private sector funding, or in-kind (non-cash) contributions or a 
combination of these sources. With the exception of Community 
Development Block Grant (CDBG) funds, Federal Revenue Sharing programs, 
or other programs which by statute allow their funds to be considered 
local funds and therefore eligible to be used as matching funds, 
federal funds may not be used to satisfy the statutorily required 10 
percent matching requirement. Federal funds may be used, however, for 
contributions above the statutory requirement. If an applicant does not 
include the minimum 10 percent match in the application, it will be 
considered a curable (correctable) deficiency. Refer to Section IV in 
the General Section of the SuperNOFA for the specific details on how to 
correct this deficiency. 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. The letter must describe the contributed 
resources that you will use in the program and their designated 
purpose. The signature of the authorized official on the Form SF-424 
commits matching or other contributed resources of the applicant 
organization. A separate letter from the applicant organization is not 
required.

C. Other

1. Eligible Activities
    All lead hazard control activities must be conducted in compliance 
with the applicable requirements of HUD's Lead-Safe Housing Regulation, 
24 CFR Part 35, and as clarified in HUD's Interpretive Guidance about 
the rule located at http://www.hud.gov/offices/lead/guidelines/leadsaferule/index.cfm. Activities must also comply with any additional 
requirements in effect under a state or Tribal Lead-Based Paint 
Training and Certification Program that has been authorized by the EPA 
pursuant to 40 CFR 745.320.
    a. Direct Lead Hazard Identification and Control Activities. The 
proposed budget must show a minimum of 65 percent of the total federal 
amount requested identified for direct lead hazard control activities. 
Direct lead hazard control activities consist of dust testing, combined 
lead paint inspection and risk assessments, interim controls, abatement 
of lead hazards, temporary relocation of occupants when lead hazard 
control intervention work is conducted in a unit, and clearance 
examinations. Direct hazard control activities do not include blood 
lead testing of residents or workers, housing rehabilitation, training, 
community education and outreach, applied research, purchase of 
supplies or equipment, or administrative costs. The remaining 35 
percent of the funds are to be used for other direct or indirect costs.
    b. Direct Project Elements that you may undertake directly or 
through subrecipients, include:
    (1) Performing dust testing, combined lead-based paint inspections 
and risk assessments, and engineering and architectural activities that 
are required for, and in direct support of, interim control and lead 
hazard abatement work, of eligible housing units constructed prior to 
1978 to determine the presence of lead-based paint and/or lead hazards 
from paint, dust, or soil through the use of acceptable testing 
procedures. The purchase or lease of a maximum of two X-ray 
fluorescence analyzers used by the grant program, if not already 
available, are eligible costs. All test results must be provided to the 
owner of the unit, together with a notice describing the owner's legal 
duty to disclose the results to tenants and buyers.
    (2) Conducting lead hazard control activities that may include any 
combination of the following:
    (a) Interim controls of lead-based paint hazards including lead-
contaminated soil in housing (that must include specialized cleaning 
techniques to address lead dust, according to the HUD Guidelines, 
located at: http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm).
    (b) Abatement. The complete abatement of all lead-based paint 
hazards in a unit or structure is acceptable if it is cost-effective. 
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 unit being treated, and children's play areas. All 
lead hazards identified in a housing unit enrolled in this grant 
program must be controlled or eliminated by any combination of these 
strategies.
    (3) 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. If families 
or individuals are temporarily relocated in a project

[[Page 27198]]

which utilizes Community Development Block Grant funds, the guidance 
and requirements of 24 CFR 570.606(b)(2)(i)D(1)-(3) must be met. HUD 
recommends you review these regulations when preparing your proposal.
    (4) 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. 
These grant funds may be used for lead hazard control work done in 
conjunction with other housing rehabilitation programs. HUD encourages 
integration of this grant program with housing rehabilitation, 
maintenance, weatherization, and other energy conservation activities.
    (5) Conducting clearance dust-wipe testing and laboratory analysis 
(the laboratory must be recognized by the National Lead Laboratory 
Accreditation Program (NLLAP) as being capable of performing lead 
analyses of samples of paint, dust-wipes, and/or soil).
    (6) Conducting targeted community awareness, affirmative marketing, 
education, or outreach programs on lead hazard control and lead 
poisoning prevention designed to increase the ability of the program to 
deliver lead hazard control services including educating owners of 
rental properties, tenants, and others on the Residential Lead-Based 
Paint Hazard Reduction Act, Lead-Safe Housing Regulation, and 
applicable provisions of the Fair Housing Act especially as it pertains 
to familial status (i.e., families with children) and disability 
discrimination, and offering educational materials in languages other 
than English that are common in the community, consistent with HUD's 
published LEP Recipient Guidance, 68 FR 70968 and providing 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, 
and large type).
    (7) Procuring liability insurance for lead-hazard control 
activities.
    (8) 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.
    (9) Purchasing or leasing equipment having a per-unit cost under 
$5,000.
    (10) Preparing a final report at the conclusion of grant 
activities.
    (11) Conducting required pre-hazard control blood lead testing of 
children under the age of six years of age residing in units undergoing 
lead paint inspection/risk assessment, or hazard control, unless 
reimbursable from Medicaid or another source.
    (12) Performing blood lead testing and air sampling to protect the 
health of the hazard control workers, supervisors, and contractors.
    (13) Providing resources to build capacity for lead-safe housing 
and lead hazard control, including free delivery of HUD-approved lead-
safe work practices training courses for housing rehabilitation 
contractors, rehabilitation workers, homeowners, renters, painters, 
remodelers, maintenance staff, and others conducting renovation, 
rehabilitation, maintenance or other work in private housing; free 
delivery of lead sampling technician training, lead-based paint worker 
or contractor certification training; and subsidies for licensing or 
certification fees to low-income persons seeking credentials as lead-
based paint workers or contractors or lead sampling technicians.
    (14) Providing instruction, training, and material supplies for 
dust control activities to grassroots faith-based or other community-
based organizations, parent organizations, homeowners, and renters in 
low-income private housing.
    (15) Conducting planning, coordination, and training activities to 
comply with HUD's Lead-Safe Housing Regulation (24 CFR Part 35) that 
became effective on September 15, 2000. These activities should support 
the expansion of a workforce properly trained in lead-safe work 
practices which is available to conduct interim controls on HUD 
assisted housing covered by these regulations. The regulation and 
interpretive guidance about the rule are available from the National 
Lead Information Center at 800-424-LEAD (this is a toll-free number). 
If you are a hearing- or speech-impaired person, you may reach the 
telephone number via TTY by calling the toll-free Federal Information 
Relay Service at 800-877-8339. Copies are also available from the HUD 
Web site at: http://www.hud.gov.
    (16) Participating in applied research, studies, or developing 
information systems to enhance the delivery, analysis, or conduct of 
lead hazard control activities, or to facilitate targeting and 
consolidating resources to further childhood lead poisoning prevention 
efforts.
    (17) Purchasing or leasing no more than two (2) X-ray fluorescence 
analyzers for use by the Lead-Based Paint Hazard Control Grant Program, 
if not already available.
    2. Threshold Requirements. As an eligible applicant, you must meet 
all of the threshold requirements in Section III. C of the General 
Section of the SuperNOFA as well as any specific threshold requirements 
listed in this subsection. Applications will not be funded if they do 
not meet the threshold requirements.
    a. Applicants must provide a minimum of 10 percent of the grant 
funds requested as a matching contribution.
    b. EPA Authorization. If you are a state government or Indian 
(Native American) Tribal government, you must have an EPA-authorized 
Lead-Based Paint Training and Certification Program in effect on the 
application deadline date to be eligible to apply for Lead Hazard 
Reduction Demonstration Grant funds. The approval date in the Federal 
Register notice published by the EPA will be used in determining the 
Training and Certification status of the applicant state or Indian 
(Native American) Tribal government. If you do not have an EPA 
authorized program, the application will not be rated and ranked.
    c. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement. You will need to obtain 
a DUNS number to receive an award from HUD.
3. Program Requirements
    a. Environmental Requirements.
    (1) Environmental Requirements. Recipients of lead-based paint 
hazard control grants must comply with 24 CFR Part 58--``Environmental 
Review Procedures for Entities Assuming HUD Environmental 
Responsibilities.'' Recipients and other participants in the project 
are prohibited from committing or expending HUD and non-HUD funds on 
the project until HUD approves the recipient's Request for the Release 
of Funds (form HUD 7015.15) or the recipient has determined that the 
activity is either Categorically Excluded, not subject to the related 
federal laws and authorities pursuant to 24 CFR 58.35(b) or Exempt 
pursuant to 24 CFR 58.34. For Part 58 procedures, see http://
www.hud.gov/offices/cpd/energyenviron/environment/index.cfm. For 
assistance, contact Karen Choi, the Office of Healthy Homes and Lead 
Hazard Control Environmental Officer at (213) 894-8000, extension 3015 
(this is not a toll-free number) or the HUD Environmental Review 
Officer in the HUD field office serving your area. If you are a 
hearing- or speech-impaired person, you may reach the telephone number 
via TTY by calling the toll-free

[[Page 27199]]

Federal Information Relay Service at 800-877-8339. Recipients of a 
grant under this funded program will be given additional guidance in 
these responsibilities.
    b. Administrative Requirements.
    (1) Lead-Based Paint Hazard Reduction Act (Title X of the Housing 
and Community Development Act of 1992). Section 1011 of Title X Section 
217 of Pub. L. 104-134 (the Omnibus Consolidated Rescissions and 
Appropriations Act of 1996, 110 Stat. 1321, approved April 26, 1996) 
amended Section 1011(a) of the Residential Lead-Based Paint Hazard 
Reduction Act of 1992 (Title X) to read as follows: Sec.1011. Grants 
for Lead-Based Paint Hazard Reduction in Target Housing.
    (a) General Authority. The Secretary is authorized to provide 
grants to eligible applicants to evaluate and reduce lead-based paint 
hazards in housing that is not federally assisted housing, federally 
owned housing, or public housing, in accordance with the provisions of 
this section. Grants shall only be made under this section to provide 
assistance for housing which meets the following criteria--
    (b) for grants made to assist rental housing, at least 50 percent 
of the units must be occupied by or made available to families with 
incomes at or below 50 percent of the area median income level and the 
remaining units shall be occupied or made available to families with 
incomes at or below 80 percent of the area median income level, and in 
all cases the landlord shall give priority in renting units assisted 
under this section, for not less than three years following the 
completion of lead abatement activities, to families with a child under 
the age of six years, except that buildings with five or more units may 
have 20 percent of the units occupied by families with incomes above 80 
percent of area median income level;
    (c) for grants made to assist housing owned by owner-occupants, all 
units assisted with grants under this section shall be the principal 
residence of families with income at or below 80 percent of the area 
median income level, and not less than 90 percent of the units assisted 
with grants under this section shall be occupied by a child under the 
age of six years or shall be units where a child under the age of six 
years spends a significant amount of time visiting.
    For the purposes of complying with Section 1011, a unit occupied by 
a pregnant woman meets the Congressional intent of promoting primary 
prevention and maybe assisted by this program.
    (2) Certified and Trained Performers. Funded activities must be 
conducted by persons qualified for the activities according to 24 CFR 
Part 35 (possessing certification as abatement contractors, risk 
assessors, inspectors, abatement workers, or sampling technicians, or 
others having been trained in a HUD-approved course in lead-safe work 
practices).
    (3) Consolidated Plans. (This requirement does not apply to Native 
American Tribes.) 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. If the 
Analysis of Impediments (AI) includes references to lead-based paint as 
an impediment to fair housing, this should be included in your 
application as well. 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) Lead Hazard Control work must be conducted in compliance with 
HUD's Lead-Safe Housing Regulation, 24 CFR Part 35.
    (5) Sixty-five percent of the total federal funds requested must be 
used for direct lead hazard control activities. The remaining 35 
percent of the funds can be used for other direct or indirect costs.
    (6) Prohibited Practices. You must not engage in the following 
prohibited practices:
    (a) Open flame burning or torching;
    (b) Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    (c) Uncontained hydro blasting or high-pressure wash;
    (d) Abrasive blasting or sandblasting without HEPA exhaust control;
    (e) Heat guns operating above 1,100 degrees Fahrenheit;
    (f) Chemical paint strippers containing methylene chloride or other 
volatile hazardous chemicals in a poorly ventilated space; and
    (g) Dry scraping or dry sanding, except scraping in conjunction 
with heat guns or around electrical outlets or when treating no more 
than two square feet in any one interior room or space, or totaling no 
more than 20 square feet on exterior surfaces.
    (7) Written Policies and Procedures. You must have clearly 
established, written policies and procedures for eligibility, program 
marketing, unit selection, expediting work on homes occupied by 
children with elevated blood lead levels, and all phases of lead hazard 
control, including risk assessment, inspection, development of 
specifications, pre-hazard control blood lead testing, financing, 
temporary relocation, and clearance testing. Grantees, subcontractors, 
sub-grantees, subrecipients, and their contractors must adhere to these 
policies and procedures.
    (8) 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 (Section 1011). You must 
maintain a publicly available registry (listing) of units in which lead 
hazards have been controlled and ensure that these units are 
affirmatively marketed to agencies and families as suitable housing for 
families with children under six years of age. The grantee must also 
notify the owner of the information that is collected so that the owner 
will comply with disclosure requirements under 24 CFR part 35, Subpart 
A.
    (9) Testing. In developing your application budget, include costs 
for lead paint inspection, risk assessment, and clearance testing for 
each dwelling that will receive lead hazard control, as follows:
    (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 whichever is 
more stringent. 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, located at: http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, and the 
EPA lead hazard standards rule at 40 CFR part 745. All test results 
must be provided to the owner in a timely fashion, together with a 
notice describing the owner's legal duty to disclose the results to 
tenants and buyers under 24 CFR part 35, Subpart A.
    (i) Lead-Based Paint and Lead-Based Paint Hazard Identification. A 
combined lead-based paint inspection and risk assessment is required. 
You should ensure that lead paint inspection and risk assessment 
reports are conducted in accordance with established protocols and 
sufficient to support hazard control decisions.
    (ii) Clearance Testing. Clearance testing shall be completed in 
accordance with Chapter 15 of the HUD Guidelines and the EPA lead 
hazards standards rule at 40 CFR part 745 for abatement

[[Page 27200]]

projects and the Lead-Safe Housing Regulation (24 CFR part 35) for lead 
hazard control activities or other abatement. The clearance standards 
shall be the more restrictive of those set by the local jurisdiction or 
by EPA or HUD.
    (iii) Blood lead testing. Before lead hazard control work begins, 
each occupant who is under six years of age should 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 (CDC) 
publications Preventing Lead Poisoning in Young Children (1991), and 
Screening Young Children for Lead Poisoning: Guidance for State and 
Local Public Health Officials (1997).
    (10) 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.
    (11) Data collection. You will be required to collect and maintain 
the data necessary to document the various lead hazard control methods 
used and the cost of these methods.
    (12) Section 3 Employment Opportunities. Please refer to Section 
III.C.4.c. of the General Section of the SuperNOFA. The requirements of 
Section 3 of the Housing and Urban Development Act of 1968 are 
applicable to this program.
    (13) Replacing Existing Resources. Funds received under this grant 
program shall not be used to replace existing community resources 
dedicated to any ongoing project.
    (14) Certifications and Assurances. You must include the 
certifications and assurances listed in the General Section of the 
SuperNOFA with your application.
    (15) Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. Refer to the General Section of the SuperNOFA for 
information about conducting business in accordance with HUD's core 
values and ethical standards.
    (16) Lead-Safe Work Practice Training Activities. Applicants are 
encouraged to provide resources to promote the expansion of a workforce 
properly trained in lead-safe work practices and which is available to 
conduct interim controls and/or lead hazard abatement as well as follow 
lead-safe work practices while performing work on HUD assisted housing 
units per the provisions of the HUD Lead-Safe Housing Regulation 24 CFR 
Part 35(1330 (a) (4) (iii)(v), and to safely repair, rehabilitate, and 
maintain other privately-owned residential property.
    (17) By September 30, 2005, applicants eligible for a Competitive 
Performance-Based Renewal grant are to participate in an established 
statewide or jurisdiction-wide strategic plan to eliminate childhood 
lead poisoning as a major public health problem by 2010 or are to 
assist in the development of such a plan (further guidance will be 
provided to grantees on developing the elimination plan). Prior grantee 
and new applicants are encouraged to include an outline of the steps 
that they will take to participate in or develop a statewide or 
jurisdiction-wide strategic plan. Applicants are encouraged to 
collaborate with Centers for Disease Control and Prevention (CDC) 
Childhood Lead Poisoning Prevention grantees, which are now required to 
develop such plans. At a minimum, the plan must include the following 
elements:
    (a) Mission Statement;
    (b) Purpose and Background on Lead Poisoning Prevalence;
    (c) Goals, Objectives, and Activities; and
    (d) Evaluation Plan.
    (18) Work Plan. The work plan shall consist of the goals and 
specific time-phased objectives established for each of the major 
activities and tasks required to implement the program. These major 
activities and tasks are outlined in the Quarterly Progress Reporting 
System (Form HUD-96006) and include: Program Management and Capacity 
Building including data collection and program evaluation; Community 
Education, Outreach and Training; and Lead Hazard Activities including 
testing, interventions conducted, and temporary relocation.
    (a) The work plan narrative shall include:
    (i) The management plan that describes how the project will be 
managed, and the timeline for staffing the program, establishing a 
lead-based paint contractor pool, and obtaining HUD approval for the 
Release of Funds Request (HUD Form 7015.15);
    (ii) A detailed description of how assistance and funding will flow 
from the grantee to the actual performers of the hazard reduction work;
    (iii) The selection process for sub-grantees, sub-contractors and/
or subrecipients;
    (iv) The identification, selection, and prioritization process for 
the particular properties where lead hazard control interventions are 
to be conducted;
    (v) A description of the financing mechanism used to support lead 
hazard control work in units (name of administering agency, eligibility 
requirements, type of financing (grant, forgivable or deferred loans, 
private sector financing, etc.), any owner contribution requirement, 
and the terms, conditions and amounts of assistance available (include 
affordability terms and forgiveness and recapture of funds provisions);
    (vi) The inspection/risk assessment testing procedures using EPA 
standards to identify lead hazards and to conduct clearance testing. 
(Dust wipe samples, 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 (NLAPP));
    (vii) The process for developing work specifications and bids on 
properties selected for lead hazard control;
    (viii) The levels of intervention and clearance testing procedures 
to be conducted for units enrolled;
    (ix) The number of rental-occupied, vacant, and owner-occupied 
units proposed for each intervention level;
    (x) The relocation plan that will be carried out for residents 
required to be out of their homes during hazard control activities;
    (xi) The education, outreach, and training activities to be 
undertaken by the program;
    (xii) The blood lead testing and other health measures to be 
undertaken to protect children and other occupants of units undergoing 
lead hazard control work; and
    (xiii) The evaluation process used to measure program performance.
    (b) Objectives and Milestones. Measurable quarterly performance 
objectives include:
    (i) The overall objectives for lead hazard control activities 
including the total number of lead hazard evaluations, units projected 
to be completed and cleared, and the expenditure of federal grant funds 
(HUD Agreement HUD-1044). Quarterly performance milestones are to be 
developed to achieve the overall objectives for these activities;

[[Page 27201]]

    (ii) The overall objectives for community education, outreach, and 
training activities. Quarterly performance milestones are to be 
developed to achieve the overall objectives for these activities;
    (iii) Quarterly performance benchmarks for 36-, and 42-month grants 
have been developed. These benchmarks included in this NOFA can also be 
found on the HUD Web site at: http://www.hud.gov/offices/lead/grantfrm/hudgrantee.cfm.
    Development of your work plan should include and reflect these 
benchmark standards.
    (19) If your program includes conducting research involving human 
subjects in a manner which requires Institutional Review Board (IRB) 
approval and periodic monitoring, address how you will obtain such 
approval and your monitoring plan (before you can receive funds from 
HUD for activities that require IRB approval, you must provide an 
assurance that your study has been reviewed and approved by an IRB and 
evidence of your organization's institutional assurance). Describe how 
you will provide informed consent (e.g., from the subjects, their 
parents, or their guardians, as applicable) to help ensure their 
understanding of, and consent to, the elements of informed consent, 
such as the purposes, benefits, and risks of the research. Describe how 
this information will be provided and how the consent will be 
collected. For example, describe your use of ``plain language'' forms, 
flyers, and verbal scripts, and how you plan to work with families with 
limited English proficiency or primary languages other than English, 
and with families which include persons with disabilities.

IV. Application and Submission Procedures

A. Address To Request Application Package

    See the General Section of the SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail overnight delivery). Be advised that there 
is no Application Kit for this Lead Hazard Control Grant Program. All 
the information required to submit an application is contained in this 
Notice of Funding Availability (NOFA).
    1. Guidebook and Further Information. You may request general 
information, copies of the General Section and Program Sections of the 
SuperNOFA from the SuperNOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) between the hours of 9 a.m. and 8 p.m. (eastern time) 
Monday through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. 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 copies of the SuperNOFA or this 
NOFA can be made immediately following publication of the SuperNOFA. 
The SuperNOFA Information Center opens for business simultaneously with 
the publication of the SuperNOFA. You can also obtain information on 
this SuperNOFA and download application information for this SuperNOFA 
through the Web site, http://www.grants.gov.

B. Content and Form of Application Submission

1. Application Submission Requirements for New and Prior Grantee 
Applicants (Including Grantees Receiving a Renewal Grant Under the 
FY2002 Competition)
    Applicants under this category of the NOFA are to follow the 
submission requirements described in Section IV.B.1.a. below.
    Grantee applicants eligible to submit a Performance-Based Renewal 
application are to follow the submission requirements described in 
Section IV. B.2. below.
    a. Applicant Information.
    (1) Application Format. The application narrative response from new 
and eligible prior grantees to the Rating Factors is limited to a 
maximum of 15 pages (excluding appendices and worksheets). Your 
response must be typewritten on one side only on 8\1/2\ by 11 inch 
paper using a 12-point standard font with not less than `` inch margins 
on all sides. Appendices should be referenced and discussed in the 
narrative response. Materials provided in the appendices should 
directly apply to the specific rating factor narrative. Information 
that is not referenced or does not directly apply to a specific 
narrative response may not be rated or ranked by reviewers.
    (2) Application Checklist (Voluntary). Your application must 
contain all of the required information noted in this Program Section 
and the General Section of this SuperNOFA. These items include the 
standard forms, certifications, and assurances listed in the General 
Section of this SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in the General Section of this SuperNOFA. The 
``Checklist and Submission Table of Contents'' below includes a listing 
of the required items needed for submitting a complete application and 
receiving consideration for funding. You are to assemble the 
application in the order shown in the Checklist and Submission Table of 
Contents and note the corresponding page number where the response is 
located. Inclusion of this Checklist and Submission Table of Contents 
with your proposal is recommended but not required.
BILLING CODE 4210-32-P

[[Page 27202]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.117

BILLING CODE 4210-32-C

[[Page 27203]]

    (3) The following are the items to be included in an application:
    (a) Transmittal Letter. The applicant (or applicants) submitting 
the application, the dollar amount requested, the number of units to 
receive lead hazard control work, what the program funds are requested 
for, the nature of involvement with grassroots faith-based and other 
community-based organizations, and the name, mailing address, telephone 
number, and principal contact person of ``the applicant.''
    (b) Checklist and Submission Table of Contents (Voluntary)
    (c) Abstract Summary. An abstract summary describing the goals and 
objectives of your proposed program (two-page maximum). The abstract 
should briefly highlight the major goals and objectives established for 
the program.
    (d) Forms. All forms as required by Section IV.(B) of the General 
Section of the SuperNOFA.
    (e) Budget. A detailed budget (total budget is the federal share 
and matching contribution (Form HUD-424-CBW) with supporting narrative 
and 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 Section IV. of this NOFA. The budget shall include not more than 10 
percent for administrative costs and not less than 90 percent for 
direct project elements. A minimum of 65 percent of the total federal 
amount requested must be dedicated to direct lead hazard control 
activities (Applicants are to identify the direct lead hazard control 
costs that meet this requirement). In the event of a discrepancy 
between grant amounts requested in various sections of the application, 
the amount you indicate on the Form SF-424 will govern as the correct 
value.
    (f) Matching Contribution. An itemized breakout of your required 
matching contribution, including:
    (i) Values placed on donated in-kind services;
    (ii) Letters or other evidence of commitment from donors; and
    (iii) The amounts and sources of contributed resources.
    (g) Application Forms. Standard Forms SF-LLL and Forms HUD-27300, 
2880, 2990, 2991, 2993, and 2994.
    (h) Grant Partners. Contracts, Memoranda of Understanding or 
Agreement, letters of commitment or other documentation describing the 
proposed roles of agencies, local broad-based task forces, 
participating grassroots faith-based and other community or 
neighborhood-based groups or organizations, local businesses, and 
others working with the program.
    (i) Consolidated Plan Element. A copy of the lead hazard control 
element included in your current program year's Consolidated Plan. 
(This does not apply to Native American Tribes) 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.
    (j) Rating Factor Response. Narrative responses to the five rating 
factors. b. Proposed Activities. Unless otherwise noted in this NOFA, 
all applicants 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). Please refer to the General Section for 
additional requirements and submittal procedures.

2. Application Submission Requirements for Competitive Performance-
Based Renewal Applicants

    a. General Instructions and Guidelines. Current lead hazard control 
grantees that meet the eligibility requirements described in Section 
III A.2. and 4. are eligible to submit an application for a Competitive 
Performance-Based Renewal grant. If a current lead hazard control 
grantee does not meet these threshold requirements, they are not 
eligible to submit a Competitive Performance-Based Renewal application.
    b. Preparing Your Application.
    (1) Application Checklist (Voluntary). Your application must 
contain all of the required information noted in this Program Section 
and the General Section of this SuperNOFA. These items include the 
standard forms, certifications, and assurances listed in the General 
Section of this SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in the General Section of this SuperNOFA. The 
``Checklist and Submission Table of Contents'' below includes a listing 
of the required items needed for submitting a complete application and 
receiving consideration for funding. You are to assemble the 
application in the order shown in the Checklist and Submission Table of 
Contents and note the corresponding page number where the response is 
located. Inclusion of this Checklist and Submission Table of Contents 
with your proposal is recommended but not required.
BILLING CODE 4210-32-P

[[Page 27204]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.118


[[Page 27205]]


    (2) Transmittal Letter. Prepare a brief letter applying for the 
Performance-Based Renewal and signed by the Chief Executive or other 
authorized official. The transmittal letter should indicate the 
applicant agency, the amount of the grant requested for a Performance-
Based Renewal, the amount of cash or in-kind matching contributions and 
the number of housing units in which lead hazard control will be 
conducted. Also include the name, telephone number, facsimile number, 
and e-mail address of the individual to contact for further information 
pertaining to the application.
    (3) Abstract Summary. Prepare a brief (two-page maximum) abstract 
summary describing your jurisdiction, and the proposed lead-based paint 
hazard control project. Include the following items (be specific and 
concise):
     The total amount of the federal request and the amount of 
the matching contribution for the entire period of performance 
(including your current grant period and up to 36 months additional 
period);
     the number of units in which lead hazard control 
activities will be conducted (include your current grant agreement and 
those to be treated during the 36 month modification period);
     the organization(s) that will participate in the program, 
either conducting lead hazard control activities or in other roles;
     demographic, socio-economic and housing characteristics of 
neighborhood(s) selected for hazard control activities;
     your prior activities, experience and achievements in 
residential lead-based paint hazard control work or related work, 
including testing and treatment methods, and collaboration with other 
agencies;
     the scope and magnitude of the proposed lead hazard 
control project that details the area selected, number of housing 
units, intended beneficiaries, and the projected impact on the 
neighborhood/jurisdiction; how the work will be accomplished;
     Any changes proposed in your work plan strategy for the 
36-month proposed extension period.
    (4) Work Plan. Applicants should develop a work plan that includes 
specific, measurable and time-phased objectives for each major program 
activity. The applicant's work plan should reflect the benchmark 
standards for production, expenditures and other activities that have 
been developed by the Office of Healthy Homes and Lead Hazard Control. 
These benchmark standards, as well as policy guidance on developing 
work plans, have been included in this Section of the NOFA and are 
available at the HUD Web site at: http://www.hud.gov/offices/lead/lhc/
pgi/index.cfm. Applicants should describe the proposed activities and 
provide HUD with measurable outcome results to be achieved with the 
requested funds. Measurable outcome results should be stated in terms 
relevant to the purpose of the program funds as a direct result of the 
work performed within the performance period of the grant (e.g., 
estimated number of units to be made lead-safe, estimated number of 
children living in units made lead-safe, estimated number of persons to 
be trained to perform lead hazard control activities, estimated number 
of educational programs to be presented and/or the number of persons to 
be served by such programs, and the basis for these estimates). Each 
proposed activity must be eligible as described in the NOFA and meet 
statutory requirements for assistance to low- and very low-income 
persons. Applicants are to complete the Factor 3 Table-Soundness of 
Approach to support the work plan narrative.
3. Forms, Certifications, Assurances, and Other Related Grant 
Application Information.
    The forms, certifications, assurances and other related grant 
application resource information that will assist you in preparing your 
application in response to this NOFA can be found in the General 
Section of the SuperNOFA and in this NOFA. These forms are also 
available for this SuperNOFA through the HUD Web site at: http://www.hud.gov.
    In addition, applicants submitting FY2004 grant applications under 
any other Office of Healthy Homes and Lead Hazard Control (OHHLHC) 
program NOFAs must provide assurances that all funded applications will 
be managed and implemented concurrently. In addition, the applicant 
must describe how program costs will be allocated among the different 
grant programs for which the applicant is seeking funding.
    a. Standard Forms. Refer to the General Section of the SuperNOFA 
for the standard forms to be included in the application including the 
use of the SF-424 and Form HUD-424. Refer to the Checklist and 
Submission Table of Contents for the complete list of forms applicable 
to eligible new, prior grantee or renewal applicants for this NOFA.
    b. Forms for Rating Factor Responses. The following forms are to be 
completed and included in the application.
    (1) Rating Factor 1 Table-Capacity of the Applicant and Relevant 
Organizational Experience (For Lead Hazard Control (LHC) and 
Competitive Performance Based Renewal (CPBR) Applicants).
    (2) Rating Factor 2 Table-Need/Extent of the Problem (For LHC 
Program only).
    (3) Rating Factor 3 Table-Soundness of Approach (LHC and CPBR 
Program applicants); and Work Plan Development Worksheet with Minimum 
Benchmark Standards for 42 Months--Form HUD-96009 (LHC) or for 36 
Months--Form HUD-96008 (CPBR applicants).
    (4) Rating Factor 4 Table-Leveraging Resources (LHC Program only).
    (5) Rating Factor 5-Form HUD-96010 Logic Model--Achieving Results 
and Program Evaluation (LHC Program only).
BILLING CODE 4120-32-P

[[Page 27206]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.119


[[Page 27207]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.120


[[Page 27208]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.121


[[Page 27209]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.122


[[Page 27210]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.123


[[Page 27211]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.124


[[Page 27212]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.125


[[Page 27213]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.126

BILLING CODE 4120-32-P

[[Page 27214]]

    C. Submission Dates and Times
    1. Application Due Dates: The application is due July 13, 2004. 
Refer to the General Section of the SuperNOFA for additional submission 
requirements including acceptable submission methods, acceptable proof 
of delivery and other information to assist the applicant.
    D. Intergovernmental Review: Not required
    E. Funding Restrictions
    1. Ineligible Activities. You may not use grant funds for:
    a. Purchase of real property.
    b. Purchase or lease of equipment having a per unit cost in excess 
of $5,000, except for the purchase of X-ray fluorescence analyzers.
    c. 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.
    d. Lead hazard control activities in publicly owned housing, or 
project-based Section 8 housing (This housing stock is not eligible 
under Section 1011 of the Lead-Based Paint Hazard Reduction Act).
    2. Administrative Costs. There is a 10 percent maximum for 
administrative costs as specified in Section 1011(j) of the Residential 
Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing 
and Community Development Act of 1992, Pub. L. 102-550). Additional 
information about allowable administrative costs is provided below.
    a. Purpose. The intent of this HUD grant program is to allow the 
Grantee to be reimbursed for the reasonable direct and indirect costs, 
for the overall management of the grant. In most instances the grantee, 
whether a state or a local government, principally serves as a conduit 
to pass funding to sub-grantees, which are to be responsible for 
conducting lead-hazard reduction work. Program planning and management 
costs of sub-grantees and other subrecipients are not included in the 
10 percent maximum for grantee administrative costs. Congress set a 
maximum of 10 percent of the total grant sum for the grantee to perform 
the function of overall management of the grant program, including 
passing on funding to sub-grantees. The cost of that function, for the 
purpose of this grant, is defined as the ``administrative cost'' of the 
grant, and is limited to 10 percent of the total grant amount. The 
balance of 90 percent or more of the total grant sum is reserved for 
sub-grantees or other direct-performers of lead hazard identification 
and reduction work including relocation. For purposes of the Lead-Based 
Paint Hazard Control Grant Program, lead hazard identification and 
reduction includes lead paint inspection/risk assessments, interim 
controls, abatement of lead hazards, clearance testing, and relocation.
    b. Administrative Costs: What They Are Not. For the purposes of 
this HUD grant program for states and local governments to provide 
support for the evaluation and reduction of lead hazards in low- and 
moderate-income, private target housing, the term ``administrative 
costs'' should not be confused with the terms ``general and 
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden 
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair 
share of an organization's costs that cannot be attributed to a 
particular project or department (such as the chief executive's salary 
or the costs of the organization's headquarters building) to all 
projects and operating departments (such as the Fire Department, the 
Police Department, the Community Development Department, the Health 
Department or this program). Such allocated costs are added to those 
projects' or departments' direct costs to determine their total costs 
to the organization.
    c. Administrative Costs: What They Are: For the purposes of this 
HUD grant program, ``Administrative Costs'' are the grantee's allowable 
direct costs for the overall management of the grant program plus the 
allocable indirect costs. The allowable limit of such costs that can be 
reimbursed under this program is 10 percent of the total grant sum. 
Should the grantee's actual costs for overall management of the grant 
program exceed 10 percent of the total grant sum, those excess costs 
shall be paid for by the grantee. However, excess costs paid for by the 
grantee may be shown as part of the requirement for cost-sharing funds 
to support the grant.
    d. Administrative Costs Definition:
    (1) General: Administrative costs are the allowable, reasonable, 
and allocable direct and indirect costs related to the overall 
management of the HUD grant for lead-hazard reduction activities. Those 
costs shall be segregated in a separate cost center within the 
grantee's accounting system, and they are eligible costs for 
reimbursement as part of the grant, subject to the 10 percent limit. 
Such administrative costs do not include any of the staff and overhead 
costs directly arising from specific sub-grantee program activities 
eligible under this NOFA, because those costs are eligible for 
reimbursement under a separate cost center as a direct part of project 
activities.
    The grantee may elect to serve solely as a conduit to sub-grantees, 
who will in turn perform the direct program activities eligible under 
this NOFA, or the grantee may elect to perform all or a part of the 
direct program activities in other parts of its own organization, which 
shall have their own segregated, cost centers for those direct program 
activities. In either case, not more than 10 percent of the total HUD 
grant sum may be devoted to administrative costs, and not less than 90 
percent of the total grant sum shall be devoted to direct program 
activities. The grantee shall take care not to mix or attribute 
administrative costs to the direct project cost centers.
    (2) Specific. Reasonable costs for the grantee's overall grant 
management, coordination, monitoring, and evaluation are eligible 
administrative costs. Subject to the 10 percent limit, such costs 
include, but are not limited to, necessary expenditures for the 
following goods, activities and services:
    (a) Salaries, wages, and related costs of the grantee's staff, the 
staff of affiliated public agencies, or other staff engaged in 
grantee's overall grant management activities. In charging costs to 
this category the recipient may either include the entire salary, 
wages, and related costs allocable to the program for each person whose 
primary responsibilities (more than 65 percent of their time) with 
regard to the grant program involve direct overall grant management 
assignments, or the pro rata share of the salary, wages, and related 
costs of each person whose job includes any overall grant management 
assignments. The grantee may use only one of these two methods during 
this program. Overall grant management includes the following types of 
activities:
    (i) Preparing grantee program budgets and schedules, and amendments 
thereto;
    (ii) Developing systems for the selection and award of funding to 
sub-grantees and other sub-recipients;
    (iii) Developing suitable agreements for use with sub-grantees and 
other sub-recipients to carry out grant activities;
    (iv) Developing systems for assuring compliance with program 
requirements;
    (v) Monitoring sub-grantee and sub-recipient activities for 
progress and compliance with program requirements;
    (vi) Preparing presentations, reports, and other documents related 
to the program for submission to HUD;
    (vii) Evaluating program results against stated objectives;

[[Page 27215]]

    (viii) Providing local officials and citizens with information 
about the overall grant program; however, a more general education 
program, helping the public understand the nature of lead hazards, lead 
hazard reduction, blood-lead screening, and the health consequences of 
lead poisoning is a direct project support activity);
    (ix) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (x) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (b) Travel costs incurred for official business in carrying out the 
overall grant management;
    (c) Administrative services performed under third party contracts 
or agreements, for services directly allocable to grant management such 
as: legal services, accounting services, and audit services;
    (d) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and including 
such goods and services as telephone, postage, rental of equipment, 
renter's insurance for the program management space, utilities, office 
supplies, and rental and maintenance (but not purchase) of office space 
for the program.
    (e) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related costs 
for local officials (e.g., mayor and city council members, etc.), and 
expenses for a city's legal or accounting department which are not 
charged back to particular projects or other operating departments. If 
a grantee has an established burden rate, it should be used; if not, 
the grantee shall be assigned a negotiated provisional burden rate, 
subject to final audit.
    3. Eligibility of HUD-Assisted Housing. The chart ``Eligibility of 
HUD-Assisted Housing'' lists the housing units that may participate 
under the Lead Hazard Control Grant Program. Only those HUD-assisted 
units on the list are eligible to participate and receive Lead Hazard 
Control Grant funds.
BILLING CODE 4210-32-P

[[Page 27216]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.127

BILLING CODE 4210-32-C

[[Page 27217]]

    F. Other Submission Requirements: Refer to the General Section of 
the SuperNOFA for other application submission requirements.
    1. Addresses and Number of Copies. The applicant, must submit an 
original and 3 copies of a complete application to: Department of 
Housing and Urban Development, Office of Healthy Homes and Lead Hazard 
Control, ATTN: Lead Hazard Control Grant Program, 451 Seventh Street, 
SW., Room P3206, Washington, DC 20410.

V. Application Review Information

A. Criteria

1. New and Prior Grantee Applicants (including eligible FY2002 (Round 
10) Renewal Grantees)
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 points Maximum). 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 grassroots faith-
based and other community-based organizations, sub-contractors, 
consultants, subrecipients, and members of consortia that are firmly 
committed to your project. In rating this factor, HUD will consider:
    (1) The applicant's recent, relevant and successful demonstrated 
experience (including working with governmental, parent groups, and 
grassroots faith-based or other community-based partners) to undertake 
eligible program activities. Applicants are to identify the 
organizations or entities that will assist the applicant in 
implementing the program. The applicant must describe the knowledge and 
experience of the current or 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. The applicant 
must demonstrate that it has sufficient personnel or will be able to 
retain qualified experts or professionals, and be prepared to perform 
lead hazard evaluation, lead hazard control intervention work, and 
other proposed activities within 120 days of the effective date of the 
grant award. HUD reserves the right to terminate the grant if 
sufficient personnel or qualified experts are not retained within these 
120 days. In the narrative response for this factor, you should include 
information on your program staff, their experience, their commitment 
to the program, salary information, and position titles. Resumes (for 
up to three key personnel) or position descriptions for those key 
personnel to be hired, and a clearly identified organizational chart 
for the lead hazard control grant program effort (and for the overall 
organization) must be included in an appendix. Indicate the percentage 
of time that key personnel will devote to all lead hazard control 
projects (see Factor 1 Table--Key Personnel and Partners). The 
applicant's day-to-day program manager must be experienced in the 
management of housing rehabilitation or lead hazard control, childhood 
lead poisoning prevention, or similar work involving project 
management, and must be dedicated to the proposed program for a minimum 
of 75 percent of the time. Ideally, the program manager should be 
available at the inception of the program in order to implement this 
comprehensive program within the 120-day period after the effective 
date of the grant award. The applicant should provide a description of 
any previous experience in enrolling units and in completing lead 
hazard control work, housing rehabilitation or other work in a timely 
and effective manner. Describe how any other principal components of 
your agency, other public entities, or other organizations will 
participate in implementing or otherwise supporting or participating in 
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 the applicant received previous HUD Lead-Based Paint Hazard 
Control Grant funding, this past experience will be evaluated in terms 
of cumulative progress and achievements under the previous grant(s). If 
the applicant has received multiple HUD Lead Hazard Control Grants, 
performance under the most recent grant award will be primarily 
evaluated. The applicant must provide a description of its progress and 
performance implementing the most recent grant award including the 
total number of housing units enrolled, assessed, and completed and 
cleared as a result of program efforts. The applicant must also 
describe outcomes, capacity building efforts and impediments 
experienced during a previous Lead Hazard Control Grant program. Other 
work plan activities and tasks associated with implementing HUD's Lead-
Safe Housing Regulation, integrating lead-safe work practices into the 
private market, and promoting effective education, outreach, and other 
training activities should be described. The applicant should also 
describe specific instances where the program has contributed positive 
impacts in the community, and indicate what activities were undertaken 
to develop, enhance or expand the local infrastructure through 
collaboration.
    HUD's evaluation process will consider an applicant's past 
performance record as reported to HUD in effectively organizing and 
managing their grant operations, in meeting performance and work plan 
benchmarks and goals, and in managing funds, including their ability to 
account for funds appropriately, the timely use of funds received 
either from HUD or other federal, state, or local programs, and meeting 
performance milestones. HUD may also use other information relating to 
these items from sources at hand, including public sources such as 
newspapers, Inspector General or Government Accounting Office Reports 
or Findings, hotline complaints, or other sources of information that 
have been proven to have merit.
    (3) Applicants are to complete the Factor 1 Table to support the 
narrative information submitted.
    b. Rating Factor 2: Needs/Extent of the Problem (20 points 
maximum). This factor addresses the extent to which there is a need for 
the proposed program to address a documented problem related to lead-
based paint and lead-based paint hazards in your identified target 
area(s). An applicant will be scored in this rating factor based on 
their documented need as evidenced by thorough, credible, and 
appropriate data and information. The evaluation will be based only on 
the applicant's documentation of the data submitted. The data submitted 
in response to this rating factor will be verified using data available 
from the Census, HUDuser, other data available to HUD and/or in 
cooperation with the Centers for Disease Control and Prevention. The 
applicant is to complete the Factor 2 Table--Need/Extent of the Problem 
in Section IV. of this NOFA.
    A maximum of 20 Points will be awarded in this rating factor based 
on the information documenting the number of children with an elevated 
blood lead level, the number of pre-1978 housing units, and the number 
and percentage of families with incomes at or below 80 percent of the 
Area Median Income (AMI) as determined by HUD

[[Page 27218]]

within your jurisdiction and/or target areas.
    (1) Documented Number of Children with an Elevated Blood Lead 
Levels (EBLL) (10 Points Maximum).
    Provide the actual number of children documented as having an 
elevated blood lead level (EBLL) residing within the applicant's 
jurisdiction for the most recent complete calendar year and identify 
the source of the data. Data prior to calendar year 2001 will not be 
accepted. States must report the number in the city, county, or other 
area where funds will actually be used. Consortia of local governments 
must report the number in the cities or counties making up the 
consortium. For the purposes of this application, the ``documented 
number of children'' with an EBLL is based on the Centers for Disease 
Control and Prevention (CDC) level of concern. A child under six years 
of age with a blood lead level test result equal to or greater than 10 
micrograms of lead per deciliter of blood, which was performed by a 
medical health care provider is considered to have an EBLL. The actual 
number of children with an EBLL (not an estimate) must be reported to 
HUD in order to receive points for this subfactor. Do not send the 
children's names or addresses or other identifiers. Failure to provide 
this number in the application means that no points will be awarded for 
this subfactor. For you to receive maximum points for this rating 
factor there must be a direct relationship between your proposed lead 
hazard control activities and the documented community needs. Since an 
objective of the program is to prevent at-risk children from being 
poisoned, specific attention must be paid to documenting the identified 
need as it applies to any selected targeted area(s). Applicants are to 
use the Factor 2 Table to document the target area(s) need:
    Points based on the documented number of children with an EBLL will 
be awarded based on the chart below.

------------------------------------------------------------------------
                                     Number of documented children with
          Points awarded                    EBLL  (>=10[mu]g/dL)
------------------------------------------------------------------------
2.................................  <100
4.................................  100-250
6.................................  251-500
8.................................  501-799
10................................  >=800
------------------------------------------------------------------------

    (2) Housing market data relevant to the specified target area(s) 
Housing Age for the following sub-categories: Pre-1940, 1940-1949, 
1950-1959, 1960-1969, 1970-1979 and 1980 or newer (Census information 
includes 1970-1979 category). (5 Points Maximum);

------------------------------------------------------------------------
                                            Pre-1980 owner-occupied and
              Points awarded                   renter occupied units
------------------------------------------------------------------------
1........................................  <=3500
2........................................  >3500-10,000
3........................................  >10,000-20,000
4........................................  >20,000-35,000
5........................................  >35,000
------------------------------------------------------------------------

    (3) 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 (www.huduser.org), with 
adjustments for smaller and larger families (Very-Low and Low-Income 
Population) (5 Points Maximum); Points will be awarded for the 
percentage of the population at or below (80%) of the Area Median 
Income for the jurisdiction.

------------------------------------------------------------------------
                                              Very low and low-income
              Points awarded                percentages of families <80%
                                                  in jurisdiction
------------------------------------------------------------------------
1........................................  <=15%
2........................................  >15-20%
3........................................  >20-25%
4........................................  >25-30%
5........................................  >30%
------------------------------------------------------------------------

    c. Rating Factor 3: Soundness of Approach (40 points). This factor 
addresses the quality and cost-effectiveness of your proposed work 
plan. Applicants should develop a work plan that includes specific, 
measurable and time-phased objectives for each major program activity. 
The applicant's work plan should reflect benchmark standards for 
production, expenditures and other activities that have been developed 
by the Office of Healthy Homes and Lead Hazard Control. These benchmark 
standards, as well as policy guidance on developing work plans have 
been included in this NOFA and are available at the HUD Web site at: 
www.hud.gov/offices/lead/lhc/pgi/index.cfm. This policy guidance 
provides a sample format and outline for developing the Lead Hazard 
Control Grant Program Work Plan.
    Applicants should describe the proposed activities and provide HUD 
with measurable outcome results to be achieved with the requested 
funds. Measurable outcome results should be stated in terms relevant to 
the purpose of the program funds as a direct result of the work 
performed within the performance period of the grant (e.g., estimated 
number of units to be made lead-safe, estimated number of children 
living in units made lead-safe, estimated number of persons to be 
trained to perform lead hazard control activities, estimated number of 
educational programs to be presented and/or the number of persons to be 
served by such programs, and the basis for these estimates). Each 
proposed activity must be eligible as described in the NOFA and meet 
statutory requirements for assistance to low- and very low-income 
persons.
    Your response to this factor must include the elements described 
below:
    Lead Hazard Control Work Plan Strategy (32 points). Describe your 
work plan goals and specific time-phased strategy to complete work 
under the grant within the 42-month or less period of performance for 
your lead hazard control grant program. You should provide the 
information described in paragraphs (a) through (c) of this factor.
    (1) Implementing a Lead Hazard Control Program (13 of 32 points). 
Describe how you will implement the strategy for your proposed lead 
hazard control program. The description must include information on:
    (a) How the project will be organized, managed, and staffed. You 
must also identify the specific steps that will be taken to train and 
ensure the availability of enough lead-based paint contractors and 
workers to conduct lead hazard control interventions, and to perform 
other program activities. In addition, you must provide a detailed 
description of the selection process for sub-grantees, subcontractors 
or subrecipients, and how assistance and funding will flow from the 
grantee to those who will actually perform the work under the grant.
    (b) The overall number of eligible privately owned housing units 
scheduled for lead hazard control intervention work and the strategy 
for their identification, selection, prioritization, and enrollment in 
the selected target area(s). Discuss the eligibility criteria for unit 
selection and how the program will identify units that meet these 
criteria. Explain how you would target resources to maximize the return 
on investment from grant funding. As funding is a constraint for this 
program, it is imperative to maximize the impact of grant dollars. 
Include in this discussion your proposed technical approach and how 
this choice addresses local conditions and needs as well as attempting 
to maximize the number of children protected from lead hazards. As 
there are a variety of reduction techniques that grantees can apply to 
lead hazards, it is important that HUD be able to assess the 
effectiveness of a grantee's choice of a technical strategy. Explain 
how referrals of eligible units will be obtained from childhood lead 
poisoning

[[Page 27219]]

prevention programs, other health care or housing agencies or health 
providers that serve children. Also discuss how referrals from the 
Section 8/Housing Choice Voucher programs and other agencies that 
provide housing assistance to low-income households with children 
including CDBG, HOME Investment Partnerships Program-funded housing 
programs or other sources. (Include as attachments any referral 
agreements, commitment letters or other documents from other entities 
that describe their participation recruiting eligible units in the lead 
hazard control grant program; see Rating Factor 4 Leveraging Resources 
for additional information regarding referral agreements. Applicants 
are to complete the Factor 3 Table).
    (c) The degree to which the work plan focuses on eligible privately 
owned housing units occupied or to be occupied by low-income families 
with children under six years of age. Describe your planned approaches 
to control lead hazards in vacant and/or occupied units before children 
are poisoned and your plans to ensure that the program will continue to 
affirmatively market and match these units made lead-safe with low-
income families with children under six years of age in the future. 
Discuss strategies to control lead hazards in units where children have 
already been identified with an elevated blood lead level (EBL), 
including your process for referring and tracking children with EBLs 
for medical case management, and your capacity to rapidly complete lead 
hazard control work in their units. Provide estimates of the number of 
low-income children you will assist through this program. You should 
describe how the program will respond to the needs of children with 
elevated blood lead levels (EBLs) located outside the target area(s).
    (d) Discuss the lead hazard control financing strategy, including 
eligibility requirements, terms, conditions, dollar limits, and amounts 
available for lead hazard control work. Applicants must also describe 
how grant funds will be recaptured by the program in the event that a 
recipient of grant funds fails to comply with any terms and conditions 
of the financing arrangement (e.g., affordability, sale of property, 
etc.). You must discuss the way assistance from the grant funds will be 
administered to or on behalf of property owners (e.g., use of grants, 
deferred loans and/or forgivable loans, and the basis and schedule for 
forgiveness), and the role of other resources, such as private sector 
financing. You should identify the entity that will administer the 
financing process and describe how coordination and payment between the 
program and contractors performing the work will be accomplished. 
Describe matching requirements, if any, proposed for assistance to 
rental property owners.
    (e) Statewide or jurisdiction-wide strategic plan to eliminate 
childhood lead poisoning as a major public health problem by 2010. 
Prior grantee and new applicants are encouraged to include an outline 
of the steps that they will take to participate in or develop a 
statewide or jurisdiction-wide strategic plan. Applicants are 
encouraged to collaborate with Centers for Disease Control and 
Prevention (CDC) Childhood Lead Poisoning Prevention grantees, who are 
now required to develop such plans. At a minimum, the plan must include 
the following elements:
    (i) Mission Statement;
    (ii) Purpose and Background on Lead Poisoning Prevention 
Prevalence;
    (iii) Goals, Objectives, and Activities; and
    (iv) Evaluation Plan.
    (f) Consolidated Plan and Analysis of Impediments to Fair Housing 
Choice. You also must provide documentation of the priority that the 
community's Consolidated Plan and Analysis of Impediments to Fair 
Housing Choice has placed on addressing the needs you described. (This 
section does not apply to Native American Tribes. However, a Native 
American Tribe applicant may use the Indian Housing Plan to document 
how the Indian Housing Plan addresses the need for lead hazard control 
grant activities.) You should describe how your proposed program will 
satisfy the stated needs in the Consolidated Plan or Indian Housing 
Plan, and eliminate impediments identified in the Analysis of 
Impediments (AI). Also describe how your proposed program will further 
and support the policy priorities of the Department: including 
promoting healthy homes and the quality of housing. The applicant 
should describe its activities that remove barriers to affordable 
housing within their communities or support such efforts at the state 
and local level. This priority relates to HUD's Strategic Goal for 
Increasing Homeownership Opportunities and Promoting Decent Affordable 
Housing. In addition, applicants should describe how your strategy will 
provide long-term benefits to families with children under six years of 
age, and whether any of the proposed activities will occur in an 
Enterprise Zones/Enterprise Community/Renewal Communities (EZ/EC/RC) 
and how they will benefit the residents of those zones or communities. 
A list of EZ/EC/RC communities is available at: http://www.hud.gov.
    If your application addresses needs that are in the Consolidated 
Plan, Analysis of Impediments to Fair Housing Choice, or the result of 
court orders or consent decrees, settlements, conciliation agreements, 
voluntary compliance agreements, Childhood Lead Poisoning Prevention 
Programs or other relevant local initiatives you will receive a higher 
score in this rating factor than applicants that do not relate their 
program to identified needs.
    (2) Technical Approach/Performance (15 of 32 points). New and prior 
grantee and FY2002 (Round 10) renewal grantee applicants are to respond 
to the items below (see Factor 3 Table of this NOFA).
    (a) Describe your process for the conduct of a combined paint 
inspection and risk assessment lead hazard evaluation in units of 
eligible privately owned housing to confirm that there are lead-based 
paint hazards in the housing units where lead hazard control is 
undertaken.
    (b) Describe your testing methods, schedule, and costs for 
performing blood lead testing, combined paint inspections and risk 
assessments and clearance examinations to be used. If you propose to 
use a more restrictive standard than the HUD/EPA thresholds (e.g., less 
than 0.5 percent or 1.0 mg/ square centimeter for lead in paint, or 
less than 40, 250, 400 [mu]g/square foot for lead in dust on floors, 
sills and troughs, respectively; or 400 ppm in bare soil in children's 
play areas and 1200 ppm for bare soil in the rest of the yard), 
identify the standard(s) that will be used. All testing shall be 
performed in accordance with applicable regulations.
    (c) Describe the lead hazard control methods and strategies you 
will undertake and the number of units you will treat for each method 
selected (interim controls or hazard abatement). Complete abatement of 
all lead painted surfaces in all units is generally not acceptable as a 
strategy. In cases where only a few surfaces have lead hazards in a 
specific unit and abatement is cost-effective, the applicant must 
provide a detailed rationale for selecting complete abatement as a 
strategy. Provide an estimate of the per unit costs (and a basis for 
those estimates) for each lead hazard control method proposed and a 
schedule for initiating and completing lead hazard control work in the 
selected units. Discuss efforts to incorporate cost-effective lead 
hazard control methods. Explain your cost estimates, providing detail 
on how the estimates were developed, with particular references to cost 
effectiveness.

[[Page 27220]]

    (d) Schedule. Provide a realistic schedule for completing key 
activities, by quarter, so that all activities can be completed before 
or within the period of performance of the grant. Key production 
activities include enrollment of units, paint inspections/risk 
assessments, and completion/clearance of units. When developing the 
schedule, the applicant shall take into consideration their previous 
experience and performance in administering similar lead hazard control 
or rehabilitation programs.
    (e) Time frames. Describe the estimated elapsed timeframe for 
treating a typical unit that will receive lead hazard control, 
including referral/intake, enrollment (qualification of the unit as 
eligible), combined paint inspection/risk assessments, preparation of 
specifications or work write-up, selection of the contractor, lead 
hazard control intervention work activities, quality control and 
monitoring of work activities, and clearance. The time frame should 
include an estimate of the staff and contractor time required to treat 
a typical unit that will receive lead hazard control. Describe the 
schedule for emergency referrals (e.g., unit occupied by a child under 
six years of age with an elevated blood lead level). List the type of 
unit (e.g., owner-occupied, rental, or vacant) and the number of units 
projected in each of the following categories: lead-based paint 
inspections/risk assessments; interim controls; hazard abatement and 
clearance inspections.
    (f) Workflow and Production Control. Provide guidelines and/or 
flowcharts showing agency/partner responsibilities for each step in the 
process (from intake to clearance) and describe/show how coordination 
and hand-offs will be handled. Discuss how the actual production status 
of units, from intake to final clearance, will be monitored, and how 
and when production bottlenecks will be identified, remedied and 
monitored.
    (g) Describe how you will integrate proposed lead hazard control 
activities with rehabilitation activities, including providing the 
training needed to create a workforce properly trained in lead-safe 
work practices for units assisted or rehabilitated under other HUD 
programs, and any collaboration with local housing or health 
departments, rehabilitation programs or community development 
corporations to stage lead hazard control and rehabilitation in the 
same units.
    (h) Describe your contracting process, including development of 
specifications or adoption of existing 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, and requirements for coordination among lead hazard control, 
rehabilitation, weatherization, and other contractors.
    (i) Describe your plan for occupant protection or the temporary 
relocation of the occupants of units selected and undergoing lead 
hazard control work. Describe any plan to avoid overnight relocation in 
small scale projects consistent with 24 CFR 35.1345(a)(2) and HUD's 
Interpretive Guidance of 24 CFR part 35, including J24, R18, and R19. 
Your work plan should address the use of safe houses and other 
temporary housing arrangements, storage of household goods, stipends, 
incentives, etc.
    (3) Economic Opportunity (4 points).
    (a) Describe the ways you will train individuals and contractors in 
housing related trades, such as painters, remodelers, renovators, 
maintenance personnel, rehabilitation specialists, and others in lead-
safe work practices.
    (b) Describe how you will help to integrate lead-safety into other 
housing activities, such as meeting the requirements of the HUD Lead-
Safe Housing Regulation in housing units rehabilitated or assisted with 
federal funds.
    (c) Describe the methods to be used to provide economic 
opportunities for residents and businesses throughout the community 
within the target area. 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. 
Grantees must comply with Section 3 of the Housing and Urban 
Development Act of 1968 (12 U.S.C. 1701u) and HUD's implementing rules 
at 24 CFR Part 135. Describe how you will accomplish the requirement by 
(1) providing training and employment opportunities for low- and very 
low-income persons living within the grantee's jurisdiction, and by (2) 
providing business opportunities to businesses owned by low and very 
low-income persons living within the grantees jurisdiction. Applicants 
that provide training, employment or business opportunities for low- 
and very low-income persons will receive one point in this sub factor.
    (4) Lead Hazard Control Outreach and Community Private Sector 
Involvement (6 points). Applicants are encouraged to solicit 
participation of grassroots faith-based and other community-based and 
private sector organizations to accomplish outreach and community 
involvement activities and to build long-term capacity to sustain 
accomplishments in the target area. Applicants that partner, fund, or 
subcontract with grassroots faith-based and other community-based 
organizations will receive one point in this-sub factor. Your 
application must describe:
    (a) 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.
    (b) Strategy for involving neighborhood or grassroots faith-based 
and other community based organizations in your proposed activities. 
Your activities may include training (including training residents to 
screen houses through visual assessment and sampling), outreach, 
community education, marketing, inspection (including dust lead 
testing), and the conduct of lead hazard control activities. HUD will 
evaluate the proposed level of substantive involvement of such 
organizations during the review process.
    (c) Strategies and methodologies that affirmatively further fair 
housing and increase access to lead-safe housing for all segments of 
the population: homeowners, owners of rental properties, and tenants. 
This outreach should address ways to avoid housing discrimination 
against families with young children, and ways to ensure that all 
families will have adequate, lead-safe housing choices in the future. 
These strategies could include your plans to develop and implement a 
registry (listing) of lead-safe housing that is available to the 
public, or to incorporate the inclusion of the lead-safe status of 
properties in another publicly accessible address-based property 
information system. The strategy could also include affirmatively 
marketing your services to those populations least likely to apply and 
who may not be served by any of the partner organizations working with 
you.
    (5) Data Collection and other Program Support Activities (2 
points).

[[Page 27221]]

    (a) Identify and discuss the specific methods you will use (in 
addition to HUD reporting requirements) to document activities, 
progress, program effectiveness, and how changes necessary to improve 
performance will be implemented. Describe how you will obtain, 
document, and report on information collected.
    (b) Provide a detailed description of any proposed participation in 
research activities, studies, or development of information systems 
designed to enhance the delivery, analysis, or conduct of lead hazard 
control activities, or that will facilitate the targeting and pooling 
of resources to further childhood lead poisoning prevention efforts.
    If you are proposing to participate in research activities, 
describe the objectives, methodology and impact at the local level of 
the proposed research activities.
    d. Rating Factor 4: Leveraging Resources (10 points). This factor 
addresses your ability to obtain other community and private sector 
resources that can be combined with HUD's program resources to achieve 
program objectives. 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 of services, equipment, or supplies 
allocated to the proposed program. Resources may be provided by 
governmental entities, public or private organizations, and other 
entities partnering with you. Leveraging arrangements with rental 
property owners may have the benefits of increasing the efficiency of 
public lead hazard identification and control expenditures and creating 
a financial stake for rental property owners in the quality of lead 
hazard control work. Contractual or other formal relationships with 
grassroots faith-based and other community-based organizations are a 
requirement for state and local government applicants. Documentation of 
relationships with grassroots faith-based and community-based 
organizations must be provided in this application either in the form 
of signed agreements or commitment letters. This requirement does not 
apply to Native American Tribe applicants. You also may partner with 
other program funding recipients to coordinate the use of resources in 
your target area(s).
    (1) You should detail any activities to increase the understanding 
of lead poisoning prevention in your community. This could include 
partnerships with childhood lead screening programs, collaboration with 
ongoing health, housing, or environmental research efforts which could 
result in a greater availability of resources, and efforts to build 
capacity for lead-safe housing.
    (2) Matching funds must be shown to be specifically dedicated to 
and integrated into supporting the lead-based paint hazard control 
program. Refer to Section III. B. Cost Sharing or Matching Requirements 
for additional information. You may not include funding from any 
federally funded program (except the CDBG program) as part of your 
required 10 percent match. Other resources from the private sector or 
other sources committed to the program that exceed the required 10 
percent match will provide points for this rating factor. Contributions 
above the first 10 percent may include funds from other federally 
funded programs, and/or state, local, charity, nonprofit or for-profit 
entities. 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. The letter must describe the contributed resources that you 
will use in the program and their designated purpose. The signature of 
the authorized official on the Form SF-424 commits matching or other 
contributed resources of the applicant organization. A separate letter 
from the applicant organization is not required. Staff in-kind 
contributions should be given a monetary value based on the local 
market value of the staff skills. If you do not provide letters from 
contributors specifying details and the amount of the actual 
contributions, those contributions will not be counted. Contributions 
required of rental property owners may be included as part of your 
match. You should document and estimate the amount of the match from 
each resource.
    Applicants will not receive full points under this rating factor if 
they do not submit evidence of a firm commitment and the appropriate 
use of leveraged resources under the grant program. Such evidence must 
be provided in the form of letters of firm commitment, memoranda of 
understanding, or other signed 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 the 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 grassroots faith-based and other 
community-based organizations in specific program activities, such as: 
hazard evaluation and control; monitoring; and awareness, education, 
and outreach within the community. Describe how you will ensure that 
commitments to sub-grantees specified in your proposal will be honored 
and executed, contingent upon an award from HUD.
    e. Rating Factor 5: Achieving Results and Program Evaluation. (10 
Points). This factor emphasizes HUD's commitment to ensuring that 
applicants achieve the goals outlined in their work plan and other 
benchmark standards and assess their performance to ensure performance 
goals are met. Achieving results means you, the applicant, have clearly 
identified the benefits, or outcomes of your program. Outcomes are 
ultimate goals. Benchmarks or outputs are interim activities or 
products that lead to the ultimate achievement of your goals.
    Program evaluation requires that you, the applicant, identify 
program outcomes, interim products or benchmarks, and performance 
indicators that will allow you to measure your performance. Performance 
indicators should be objectively quantifiable and measure actual 
achievements against anticipated achievements. Your Evaluation Plan 
should identify what you are going to measure, how you are going 
measure it and the steps you have in place to make adjustments to your 
work plan if performance targets are not met within established 
timeframes. The degree to which benefits are maximized relative to cost 
is important. In particular, different technical approaches vary widely 
in cost, but also produce different levels of benefits. Evaluation 
should explore how well the technical strategy meets the conditions and 
needs found in the grantee's jurisdiction.
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. Applicants are required to 
complete the HUD 96010 Logic Form included in the General Section of 
this SuperNOFA.
    (1) An applicant is to identify and describe specific methods, 
measures, and tools that 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

[[Page 27222]]

obtain, document and report the information. In evaluating this factor, 
HUD will consider how you have described outcome measures and benefits 
of your program including:
    (a) 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) Plans to develop public/private lending partnerships to finance 
lead hazard control as part of acquisition and rehabilitation financing 
such as the use of Community Reinvestment Act ``credits'' by lending 
institutions or other financing strategies.
    (c) Results of any specific plans and objectives established to 
implement and/or maintain a registry (listing) of lead-safe housing 
that is available to the public, or to incorporate the inclusion of the 
lead-safe status of properties in another publicly accessible address-
based property information system. Results could include how the 
information would be managed and affirmatively marketed to the public 
so that families (particularly low-income families with children under 
six years of age) can make informed decisions regarding their housing 
options. Prior grantee applicants must address any registry (listing) 
of lead-safe housing developed during the prior grant period by 
specifically discussing the availability, amount of information 
contained, and its maintenance.
    (d) The extent to which affirmatively furthering fair housing for 
all segments of the population is advanced by the proposed activities. 
(This section does not apply to Native American Tribes.) Detail how 
your proposed work plan will support the community's efforts to 
affirmatively further affordable housing and discuss the impact of 
prior activities that have contributed to enhanced lead-safe housing 
opportunities.
    (e) The resulting impact of plans to adopt or amend statutes, 
regulations, or policies that will more fully integrate lead hazard 
control into community policies and priorities.
    (f) Results of activities to coordinate and cooperate with other 
organizations that will lead to a reduction in lead risks to community 
residents. This could include documenting 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.
    (g) How your program will be held accountable for meeting program 
goals, objectives, and the actions undertaken in implementing the grant 
program. Applicants should provide a description of the mechanism to 
assess progress and track performance in meeting the goals and 
objectives outlined in the work plan. Applicants should provide 
assurances that work plans and performance measures developed for the 
program will assist intended beneficiaries, and that work will be 
conducted in a timely and cost-effective manner.
    f. Bonus Points (2 Points). Applicants may also meet the 
requirements listed in the General Section of this SuperNOFA for a 
possible award of two bonus points.
    g. Competitive Performance-Based Renewal applications will be rated 
and ranked based on the criteria below:
    (1) The maximum number of points to be awarded will be 40.
    (a) Production (10 points). The number of units completed and 
cleared. Grantees whose percentage of units completed and cleared in 
their current agreement meets or exceeds the performance criteria below 
will be awarded points based on the chart below.

------------------------------------------------------------------------
                                                                  Round
        % Units completed and cleared          Round 8  Round 9   10 FY
                                               FY 2000  FY 2001    2002
------------------------------------------------------------------------
>45-55.......................................  .......  .......        3
>55-60.......................................  .......  .......        4
>60-65.......................................  .......  .......        5
>65-70.......................................  .......        6        6
>70-80.......................................  .......        7        7
>80-85.......................................        8        8        8
>85-90.......................................        9        9        9
>90-100......................................       10       10       10
------------------------------------------------------------------------

    (b) Cumulative LOCCS Drawdowns (10 Points). The cumulative 
drawdowns from LOCCS as a percentage of the federal funds awarded in 
their current agreement. Grantees whose percentage of cumulative LOCCS 
drawdowns in their current agreement meet or exceed the performance 
criteria below will be awarded points based on the chart below.

------------------------------------------------------------------------
                                                                  Round
     % Cumulative LOCCS drawdowns to date      Round 8  Round 9   10 FY
                                               FY 2000  FY 2001    2002
------------------------------------------------------------------------
>30-40.......................................  .......  .......        3
>40-45.......................................  .......  .......        4
>45-50.......................................  .......        5        5
>50-55.......................................  .......        6        6
>55-60.......................................        7        7        7
>60-70.......................................        8        8        8
>70-75.......................................        9        9        9
>75-100......................................       10       10       10
------------------------------------------------------------------------

    (c) Other Work Plan Achievements. (5 Points). A grantee will be 
awarded points for meeting or exceeding their community education, 
outreach, and training objectives that were outlined in their most 
recent approved work plan and reported to HUD.
    (d) Work Plan and Budget. (15 Points) The work plan and budget 
submitted by a grantee will be evaluated to ensure that there are 
specific and measurable performance objectives with benchmark 
milestones developed for the 36-month additional period of performance.

B. Reviews and Selection Process

    1. Rating and Ranking. Please refer to the General Section of the 
SuperNOFA. Only those applications that meet the threshold review 
requirements will be rated and ranked. With the exception of applicants 
eligible for a Competitive Performance-Based Renewal grant, HUD intends 
to fund the highest ranked applications receiving a minimum score of 75 
within the limits of funding.
    A current grantee eligible to receive a Competitive Performance-
Based Renewal Grant will be rated and ranked based on its demonstrated 
performance in terms of the number of housing units completed and 
cleared (as a percentage of units in current grant agreement), the 
cumulative Line of Credit Control System (LOCCS) drawdowns to date, and 
other work plan benchmarks or milestones achieved. Performance will be 
evaluated based upon the quarterly progress data submitted to HUD for 
the period ending March 31, 2004, and other data available to HUD.
    In addition, the work plan and budget (including budget narrative) 
submitted in response to this NOFA will be evaluated as part of the 
rating and ranking process. Current grantees that are eligible to 
submit a Performance-Based Renewal application and are successful 
applicants, will have their current grant agreement modified to allow 
for an additional 36-months grant. Eligible current grantee applicants 
are not to respond to the Factors for Award in this NOFA, but must 
submit the required budget forms included in this NOFA and develop a 
work plan strategy with benchmark standards for conducting lead hazard 
control program activities. A work plan and budget

[[Page 27223]]

should be developed for the 36-month period. The submission 
requirements for the Performance-Based Renewal grant can be found in 
Section IV of this Program Section of the NOFA.
    a. Remaining Funds. Refer to the General Section of this SuperNOFA 
for HUD's procedures if funds remain after all selections have been 
made within a category of the Lead Hazard Control Grant Program.
    2. Factors for Award Used To Rate and Rank Applications.
    a. Implementing HUD's Strategic Framework and Demonstrating 
Results. HUD is committed to ensuring that programs result in the 
achievement of HUD's strategic mission. To support this effort, grant 
applications submitted for HUD programs will be rated on how well they 
tie proposed outcomes to HUD's policy priorities and Annual Goals and 
Objectives, and the quality of proposed Evaluation and Monitoring 
Plans.
    HUD is encouraging applicants to undertake specific activities that 
will assist the Department in implementing its policy priorities. HUD's 
Strategic Goals and Policy Priorities are outlined in the General 
Section of this SuperNOFA. For Lead Hazard Control Grant Program 
applicants, activities that promote economic opportunities for low-
income persons support HUD's policy priority for Improving the Quality 
of Life in Our Nation's Communities. A new applicant will be awarded 
one point under Rating Factor 3: Economic Opportunities for activities 
that are undertaken to specifically address this policy priority. 
Activities that promote the participation of grassroots faith-based or 
community and parent organizations support HUD's policy priority for: 
Providing Full and Equal Access to Grassroots Faith-Based and Other 
Community-Based Organizations. An applicant will be awarded one point 
under Rating Factor 3: Lead Hazard Control Outreach and Community 
Private Sector Involvement for activities undertaken that specifically 
addresses this policy priority. For initiatives that break down 
regulatory barriers that impede the production of affordable housing, 
an applicant will be awarded up to two (2) points under Rating Factor 1 
for activities that remove barriers to affordable housing within their 
communities or support such efforts at the state and local level. This 
priority relates to HUD's Strategic Goal for Increasing Homeownership 
Opportunities and Promoting Decent Affordable Housing. Refer to the 
General Section of the SuperNOFA for additional details pertaining to 
this policy priority. Applicants addressing this policy priority are to 
complete Form HUD-27300--Questionnaire for HUD's Initiative on Removal 
of Regulatory Barriers.
    b. The maximum number of points to be awarded is 102. This maximum 
includes two bonus points as described in the General Section of this 
SuperNOFA. With the exception of applicants eligible for a Competitive 
Performance-Based Renewal grant, a minimum score of 75 is required for 
fundable applications.
    c. The factors for rating and ranking eligible new applicants and 
prior grantees, and the maximum points for each factor are stated 
below:

------------------------------------------------------------------------
                                                                Maximum
                        Rating factor                            points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational              20
 Experience..................................................
2. Needs/Extent of the Problem...............................         20
3. Soundness of Approach.....................................         40
4. Leveraging Resources......................................         10
5. Achieving Results and Program Evaluation..................         10
Empowerment Zone and Enterprise Community Bonus Points.......          2
                                                              ----------
    Total....................................................        102
------------------------------------------------------------------------

    d. The factors for rating and ranking Competitive Performance-Based 
Renewal applications are stated below:

------------------------------------------------------------------------
                                                                Maximum
                        Rating factor                            points
------------------------------------------------------------------------
1. Production................................................         10
2. Cumulative LOCCS Drawdowns................................         10
3. Other Work Plan Achievements..............................          5
4. Work Plan and Budget......................................         15
                                                              ----------
    Total....................................................         40
------------------------------------------------------------------------

VI. Award Administration Information

    Refer to the General Section for additional details on award 
administration

A. Award Notices

    1. Successful applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer indicating that 
they have been selected for an award. This letter will provide 
additional details regarding the effective start date of the grant and 
any additional data and information to be submitted to execute a grant 
agreement. This letter is not an authorization to begin work or incur 
costs under the grant. A fully executed grant agreement is the 
authorizing document. Unsuccessful applicants will also be notified 
that their application was not selected for an award and will be 
afforded an opportunity to request a debriefing on the unsuccessful 
application according to the procedures outlined in the SuperNOFA.
    2. Negotiation. Refer to the General Section of the SuperNOFA for 
additional details.
    3. Adjustments to Funding. Refer to the General Section of the 
SuperNOFA for additional details.
    4. Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance and compliance actions of 
funding recipients in accordance with the applicable standards and 
sanctions of their respective programs.

B. Administrative and National Policy Requirements

    Refer to the General Section of the SuperNOFA for additional 
details regarding the Administrative and National Policy Requirements 
applicable to HUD Programs.
    1. Coastal Barrier Resources Act. Pursuant to the Coastal Barrier 
Resources Act (16 U.S.C. 3501), you may not use these grant funds for 
properties located in the Coastal Barrier Resources System.
    2. Flood Disaster Protection Act. Under the Flood Disaster 
Protection Act of 1973 (42 U.S.C. 4001-4128), you may not use these 
grant funds for lead-based paint hazard control of a building or 
manufactured home that is 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 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
    b. 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.
    3. 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

[[Page 27224]]

Historic Preservation Officers in carrying out activities under this 
program. The Model Agreement may be obtained from the HUD Web site at: 
http://www.hud.gov/utilities/intercept.cfm?/offices/lead/grantfrm/pgi/
95--06.pdf.
    4. 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 State or local law or the HUD Guidelines 
for the Evaluation and Control of Lead-Based Hazards in Housing (HUD 
Guidelines). The Guidelines are available from the HUD Web site at: 
http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.
    5. 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.
    6. 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.
    C. Reporting. Successful applicants will be required to submit 
quarterly, annual, and final program and financial reports according 
the requirements of the Office of Healthy Homes and Lead Hazard 
Control. Specific guidance and additional details will be provided to 
successful applicants. For each reporting period, as part of the 
required report to HUD, a grant recipient must include a completed 
Logic Model (form HUD 96010), which identifies output and outcome 
achievements.

VII. Agency Contact(s)

    For Further Information and Technical Assistance: You may contact 
Linda J. Ciancio, Acting Director; Program Management and Assurance 
Division; Office of Healthy Homes and Lead Hazard Control; 451 7th 
Street, SW., Washington, DC 20410, or by telephone, FAX, or e-mail: 
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 number via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. Fax: (202) 755-1000; or E-
mail: [email protected] (use underscores)

VIII. Other Information

    Refer to the General Section of the SuperNOFA for details regarding 
other information on submitting a complete application that meets HUD 
requirements.
    A. Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2539-0015. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 80 hours per application and 16 
hours per grant award. This includes the time for collecting, 
reviewing, and reporting the data. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
    B. Other Office of Healthy Homes and Lead Hazard Control 
Information: For additional general, technical, and grant program 
information pertaining to the Office of Healthy Homes and Lead Hazard 
Control at: http://www.hud.gov/offices/lead.

BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27225]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.128


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices 
?>  

[[Page 27227]]



Healthy Homes Technical Studies Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Healthy Homes Technical Studies 
Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
4900-N-06. The OMB Paperwork Approval number is: 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.906, 
Healthy Homes Technical Studies Grant Program.
    F. Dates: An original and three copies of your application must be 
submitted on or before July 13, 2004. See the General Section of the 
SuperNOFA Section IV, Application and Submission Information, regarding 
application submission procedures and timely filing requirements.

G. Additional Overview Content Information

    a. To fund technical studies to improve methods for detecting and 
controlling housing-related health and safety hazards. The purpose of 
the Healthy Homes Technical Studies program is to improve our knowledge 
of housing-related health hazards, and to improve or develop new hazard 
assessment and control methods.
    b. The total amount to be awarded is approximately $2.0 million.
    c. The anticipated amounts and/or numbers of individual awards will 
be approximately 3-6 awards, ranging from approximately $200,000 to 
approximately $1 million.
    d. The type of award instruments that will be used are grants or 
cooperative agreements, with substantial involvement of the government 
in the case of cooperative agreements.
    e. Academic, not-for-profit and for-profit institutions located in 
the U.S., state, and local governments, and federally recognized Native 
American tribes are eligible to apply. For-profit institutions are not 
allowed to earn a profit.
    f. Cost sharing is not required, but is encouraged.
    g. There are no limitations on the number of applications that each 
applicant may submit.
    h. You can obtain application materials from the sources described 
below.

I. Funding Opportunity Description

A. Purpose of the Program

    The overall goal of the Healthy Homes Technical Studies program is 
to gain knowledge to improve the efficacy and cost-effectiveness of 
methods for evaluation and control of housing-related health and safety 
hazards.

B. Program Description

    HUD is funding studies to improve our knowledge of housing-related 
health hazards, and to improve or develop new hazard assessment and 
control methods, with a focus on the key hazards. Key hazards are 
described in Appendix A of this NOFA. HUD encourages you to consider 
using the ``community based participatory research'' approach, where 
applicable, in the design and implementation of your healthy homes 
technical studies application (see e.g., http://www.niehs.nih.gov/
translat/cbpr/cbpr.htm).
    A description of current and recently completed Healthy Homes 
Technical Studies projects and grantee contact information can be found 
on the HUD Web site at: http://www.hud.gov/offices/lead/hhi/
hhigranteeinfo.cfm.
    The Healthy Homes Initiative (HHI), which includes the Healthy 
Homes Technical Studies Program and the Healthy Homes Demonstration 
Grant Program (see the separate funding announcement for this program), 
departs from the more traditional approach of attempting to correct one 
hazard at a time. In April 1999, HUD submitted to Congress a 
preliminary plan containing a full description of the HHI. The 
preliminary plan (Summary and Full Report) and a description of the HHI 
are available on the HUD Web site at: http://www.hud.gov/offices/lead/
hhi/index.cfm.
    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., asthma triggers). 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 of this NOFA briefly describes 
the housing-associated health and injury hazards HUD considers key 
targets for intervention. Appendix B of this NOFA lists the references 
that serve as the basis for the information provided in this NOFA. HUD 
has also developed resource papers on a number of topic areas of 
importance under the Healthy Homes Initiative, including mold, 
environmental aspects of asthma, carbon monoxide, and unintentional 
injuries. These papers can be downloaded from the HUD website at: 
http://www.hud.gov/offices/lead/hhi.
    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. Goals of the Healthy Homes Initiative
    a. Mobilize public and private resources, involving cooperation 
among all levels of government, the private sector, grassroots 
organizations, particularly including faith-based, and other community-
based, non-profit organizations to develop the most promising, cost-
effective methods for identifying and controlling housing-based 
hazards; and
    b. 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.
2. Objectives of the Healthy Homes Technical Studies Program
    With this NOFA, HUD hopes to advance the recognition and control of 
residential health and safety hazards and more closely examine the link 
between housing and health. The overall objectives of Healthy Homes 
Technical studies projects to be funded through this NOFA include, but 
are not limited to:
    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; and
    e. Investigation of the health effects on children living in 
deteriorated housing and the impact on their development and 
productivity.
    f. Evaluation of residential health and safety hazard assessment 
and control

[[Page 27228]]

methodologies and approaches (including both existing methods and the 
evaluation of improved or novel approaches). Areas of particular 
interest to HUD include:
    (1) Improving indoor air quality, such as through cost-effective 
approaches to upgrading residential ventilation or improving control/
management of combustion appliances. Applicants should discuss how 
proposed approaches might affect residential energy costs (e.g., 
increasing air exchange rates resulting in an increase in heating 
costs);
    (2) Improving or assessing the efficacy of current methods for 
residential Integrated Pest Management (IPM). IPM approaches focus on 
the use of economical means for managing pests, which incorporate 
information on the life cycles of pests and their interaction with the 
environment, while minimizing hazards to people, property, and the 
environment. HUD is particularly interested in IPM methods for reducing 
cockroach and/or rodent populations in multifamily housing;
    (3) Controlling excess moisture by reducing migration through the 
building envelope and condensation of water vapor on interior surfaces, 
with an emphasis on low cost interventions for low-income housing;
    (4) Dust control measures (e.g., preventing track-in of exterior 
dust and soil, improved methods for interior dust cleaning) have been 
identified as key areas in the HHI Preliminary Plan;
    (5) Evaluating the effectiveness of education and outreach methods 
designed to provide at-risk families with the knowledge to adopt self-
protective behaviors with respect to housing-related health hazards; 
and
    (6) Additional ideas will be considered with an open mind toward 
novel techniques and applications.
    g. Analysis of existing data or generation of new data to improve 
knowledge regarding the prevalence and severity of specific hazards in 
various classes of housing, with a focus on low-income housing. 
Specific examples include:
    (1) The prevalence of carbon monoxide and other indoor air quality 
hazards;
    (2) The prevalence and patterns of moisture problems and biological 
contaminants associated with excess moisture (e.g., fungi, bacteria, 
dust mites);
    (3) The prevalence of specific childhood injury hazards in housing; 
and
    (4) Improved understanding of the relationship between a 
residential exposure and childhood illness or injury.
    h. Low-cost analytical techniques for the rapid, on- and off-site 
determination of environmental contaminants of concern (e.g., 
bioaerosols, pesticides, allergens). HUD's primary interest is in the 
improvement of existing instruments or methods, and not in the 
development of new technologies or instruments.
    (1) Establish and validate any necessary procedures (e.g., such as 
extraction and/or digestion) that would work well with the field 
device/procedure;
    (2) Improve old technology (e.g., colorimetric tests, titrimetric 
procedures) as well as examine and improve newer techniques; and
    (3) Consider the safety, environmental impacts, and cost of the 
procedure, particularly as used in the field.
    i. In proposing to conduct a study on a particular topic, 
applicants should consider:
    (1) The ``fit'' of the proposed hazard assessment and/or control 
methods within the overall goal of addressing ``priority'' health and 
safety hazards in a cost-effective manner;
    (2) The efficacy of the proposed methods for hazard control and 
risk reduction (e.g., how long is effective hazard reduction 
maintained?);
    (3) Consider where and how these methods would be applied and 
tested, and/or perform demonstration activities; and
    (4) The degree to which your study will help develop practical, 
widely applicable methods and protocols or improve our understanding of 
a residential health hazard.
    Although HUD is soliciting proposals for technical studies on these 
broad topics, HUD will also consider funding applications for technical 
studies on topics that are relevant under the overall goals and 
objectives of this program, as described above. In such instances, the 
applicant should describe how the proposed project 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's Healthy 
Homes Demonstration and Lead Hazard Control grants, which are widely 
distributed throughout the U.S. Information on current grantees is 
available at: http://www.hud.gov/offices/lead.
    You may address one or more of the technical studies topic areas 
within your proposal, or submit separate applications for different 
topic areas.

C. Authority

    These grants are authorized under sections 501 and 502 of the 
Housing and Urban Development Act of 1970 (12 U.S.C. 1701z-1 and 1701z-
2); and the Consolidated Appropriations Resolution of 2004, Pub. L. 
108-199.

II. Award Information

A. Funding Available

    Approximately $2 million in Fiscal Year 2004 will be available for 
the Healthy Homes Technical Studies Program. Awards will be made on a 
competitive basis following evaluation of all proposals according to 
the rating factors described in Section V. of this NOFA. HUD 
anticipates awarding three to six grants or cooperative agreements 
ranging from approximately $200,000 to approximately $1 million each.
    Applications for supplementation of existing projects are eligible 
to compete with applications for new awards (i.e., for work outside of 
the scope of the original agreement).

B. Anticipated Start Date and Period of Performance for New Grants

    The start date for new awards is expected to be October 1, 2004. 
The period of performance cannot exceed 36 months from the time of 
award. Applicants are encouraged to plan studies with shorter 
performance periods, however when developing your schedule you should 
also consider the possibility that issues may arise that would delay 
project completion. For example, it is the Department's experience that 
projects requiring Institutional Review Board (IRB) approval and 
oversight (i.e., in conformance with HUD's regulation (24 CFR 60), 
which incorporates the Department of Health and Human Services' 
regulation of studies involving human subjects), or which involve the 
development of new instrumentation, are prone to delays. HUD reserves 
the right to approve no cost time extensions for any award under this 
program for a total period not to exceed 12 months.

C. Type of Award Instrument

    All awards in response to this solicitation will be made as grants 
or cooperative agreements. Anticipated substantial involvement by HUD 
on cooperative agreements may include, but will not be limited to, 
review and comment on the study design, including:
    1. Study objectives;
    2. Data collection;
    3. Sample and data analysis;
    4. Review and provide technical recommendations in response to

[[Page 27229]]

quarterly progress reports (e.g., possible amendments to study design 
based on preliminary results);
    5. Review and provide technical recommendations on the final study 
report.

III. Eligibility Information

A. Eligible Applicants

    Eligible Applicants. Academic and not-for-profit institutions 
located in the U.S., state and local governments, and federally 
recognized Native American 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 from the 
project). Applications for supplementation of existing projects are 
eligible to compete with applications for new awards. Federal agencies 
and federal employees are not eligible to submit applications. The 
General Section of this SuperNOFA provides additional eligibility 
requirements.

B. Cost Sharing or Matching

    Cost sharing or matching is not required. In rating your 
application, however, you will receive a higher score under Rating 
Factor 5 if you provide evidence of significant cost sharing.

C. Other

1. Threshold Requirements Applicable to All Applicants Under the 
SuperNOFA
    As an applicant, you must meet all of the threshold requirements 
described in the General Section of the SuperNOFA. Threshold 
requirements include Eligibility, Compliance with Fair Housing and 
Civil Rights Laws, Conducting Business in Accordance with Core Values 
and Ethical Standards, Delinquent Federal Debts and Pre-Award 
Accounting System Surveys. Information about threshold requirements is 
provided in the General Section of the SuperNOFA. Applicants that meet 
all of the threshold requirements will be eligible to receive funds 
from HUD.
2. Program Requirements
    a. You must comply with all relevant state and federal regulations 
regarding exposure to and proper disposal of hazardous materials; and
    b. Agree that 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 program section of 
the NOFA).
    c. HUD Healthy Homes Technical Studies grant funds will not replace 
existing resources dedicated to any ongoing project;
    d. Laboratory analysis covered by the National Lead Laboratory 
Accreditation Program (NLLAP) will be conducted by a laboratory 
recognized under the program;
    e. Standardized Dust Sampling Protocol and Quality Control 
Requirements. Grantees collecting samples of settled dust from 
participant homes for environmental allergen analyses (e.g., cockroach, 
dust mite) will be required to use a standard dust sampling protocol, 
unless there is a strong justification to use an alternate protocol. 
The HUD protocol will be posted on the OHHLHC Web site at: http://www.hud.gov/offices/lead/hhi/hhiresources.cfm. Grantees conducting 
these analyses will also be required to include quality control dust 
samples, provided by OHHLHC at no cost to the grantee, with the samples 
that are submitted for laboratory analyses. For the purpose of 
budgeting laboratory costs, you should assume that five percent of your 
total allergen dust samples will consist of QC samples.
    f. 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; and
    g. 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;
    h. If an individual researcher or a research team submits the 
application, the institution administering the grant will meet the 
civil rights threshold in the General Section of this NOFA.
3. DUNS Requirement
    Refer to the General Section of the SuperNOFA for information 
regarding the DUNS requirement. A DUNS number must be provided for the 
institution that is submitting an application.

IV. Application and Submission Information

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

A. Addresses to Request Application Package

    There is no Application Kit. All the information required to submit 
an application is contained in this program NOFA and the General 
Section of the SuperNOFA. Forms can be downloaded from the Web at: 
http://www.grants.gov.

B. Content and Form of Application Submission

    1. Applicant Data. 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 the 
General Section of the SuperNOFA. The required items are:
    a. A transmittal letter, signed by the chief executive or other 
authorized official, that identifies what the technical study program 
funds are requested for, the dollar amount requested, and the 
applicant(s) submitting the application. 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. If two or more organizations are working 
together on the project, a primary applicant must be designated.
    b. Application Abstract Summary. An abstract describing the project 
title, the names and affiliations of all investigators, and a summary 
of the objectives, expected results, and study design (two-page 
maximum) must be included in the proposal.
    c. Checklist and Submission Table of Contents (see Appendix C of 
this program NOFA; inclusion of this checklist is voluntary).
    d. All forms as required by the General Section of this SuperNOFA 
(necessary forms are also identified in the Checklist Submission Table 
of Contents in Appendix C). A Certification of Consistency with the 
Consolidated Plan is not required for this application. Form HUD-27061 
(Race and Ethnicity Data) is not required with the application, 
however, if race and ethnicity data are collected and reported, you 
must follow the instructions in this form.
    e. A project description/narrative statement addressing the rating 
factors for award of funding under this program

[[Page 27230]]

section of the NOFA. The narrative statement must be numbered in 
accordance with each factor for award (Rating Factors 1 through 5). The 
project description can either be included in the responses to the 
rating factors or provided separately. The response to the rating 
factors should not exceed a total of 25 pages (10-12-point font with at 
least \3/4\ inch margins on 8\1/2\ by 11 inch pages). Any pages in 
excess of this limit will not be read.
    f. 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 project efforts. Each 
letter of commitment, memorandum of understanding, or agreement to 
participate must 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.
    g. In conformance with the Common Rule (Federal Policy for the 
Protection of Human Subjects, (required by HUD at 24 CFR Part 60), if 
your research involves human subjects, your organization must provide 
an assurance (e.g., a letter signed by an appropriate official) that 
the research has been reviewed and approved by an IRB before you can 
initiate activities that require IRB approval. Before receiving such 
funds, you must also provide the number for your organization's 
assurance (i.e., an ``institutional assurance'') that has been approved 
by the Department of Health and Human Service's Office of Human 
Research Protections (OHRP). For additional information on what 
constitutes human subject research or how to obtain an institutional 
assurance, see the OHRP Web site at: http://ohrp.osophs.dhhs.gov/.
    h. Within Appendix 1of your application, include materials that are 
required in support of your application (e.g., resumes of the principal 
investigator and other key personnel, letters of commitment). 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 technical studies. This information will not 
be counted towards the page limit. Also include Form HUD-96010 Logic 
Model in Appendix 1.
    i. Within Appendix 2 of your application, include any optional 
materials (e.g., figures, data, letters of support) to support your 
application. These additional optional materials must not exceed 20 
pages for the entire application. Any pages in excess of this limit 
will not be read.
    j. Within Appendix 3 of your application, include the required 
forms and 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.(A), Rating Factor 3(4), below. In 
completing the budget forms and justification, you should address the 
following elements:
    (1) Direct Labor costs should include all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on FTE (full time equivalent) or hours per 
year (hours/year) (i.e., one FTE equals 2,080 hours/year);
    (2) You should budget for three trips to HUD Headquarters in 
Washington, DC, planning each trip for two people, with the first trip 
occurring shortly after award, for a stay of two or three days, 
depending on your location, and the remaining trips having a stay of 
one or two days, depending on your location;
    (3) A separate budget proposal should be provided for any 
subrecipients receiving more than 10 percent of the total federal 
budget request;
    (4) You should be prepared to provide supporting documentation for 
salaries and prices of materials and equipment upon request;
    (5) Organizations that have a federally negotiated indirect rate 
should use that rate and the appropriate base. Other organizations, not 
having a federally negotiated rate schedule, must obtain a rate from 
their cognizant federal agency, otherwise the organization will be 
required to obtain a negotiated rate through HUD; and
    (6) You should submit the negotiated rate agreements for fringe 
benefits and indirect costs, if applicable, as an attachment to the 
budget sheets.

C. Submission Dates and Times

    You must submit an original and three copies of your application on 
or before July 13, 2004. Refer to the General Section of the SuperNOFA 
for additional submission requirements including acceptable submission 
methods, acceptable proof of delivery and other information regarding 
application submission.

D. Intergovernmental Review

    Funding received through this NOFA is not subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix D of this NOFA.
    2. Purchase of Real Property.
    3. Purchase or lease of equipment having a per unit cost in excess 
of $5,000, unless prior written approval is obtained from HUD.
    4. Medical treatment costs.

F. Other Submission Requirements

    1. Address for Submitting Applications. Submit an original and 
three copies of your completed application to:
    U.S. Department of Housing and Urban Development; Office of Healthy 
Homes and Lead Hazard Control; ATTN: Healthy Homes Technical Studies 
Program; 451 Seventh Street, SW., Room P3206; Washington, DC 20410-
3000.
    2. Application Submission. See the General Section of this 
SuperNOFA for specific procedures concerning the form of application 
submission (e.g., mailed applications, express mail, or overnight 
delivery).

V. Application Review Information

A. Criteria

    1. Threshold Requirements. 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 in Section V.4. of this NOFA. Your application must receive a 
total score of at least 75 points to remain in consideration for 
funding.
    2. Rating and Ranking. Applications will be reviewed by an 
Application Review Panel (ARP) which will assign each application a 
score based on the rating factors presented below. The ARP chairperson 
selects and provides at least one application to panel members to score 
during a calibration round to ensure that all panel members are 
consistent in their application of the rating factors. When the 
calibration round is completed, each application is reviewed and scored 
by at least two panel members. If significant scoring discrepancies are 
identified among the reviewers of an application, the reviewers discuss 
their differences and are then given an opportunity to rescore the 
application among themselves and, if needed, with the full ARP. An 
average score is then computed for each

[[Page 27231]]

application. The ARP chair may call upon an advisor (generally a 
scientist with another federal agency) to the ARP to review and comment 
on a proposal; however, the advisor does not score the application. At 
a final meeting, the ARP identifies the top-ranking applications to be 
recommended for funding.
    The factors for rating and ranking applicants, and maximum points 
for each factor, are provided below. Each factor is weighted as 
indicated by the number of points that are attainable for it. The 
maximum score that can be assigned to an application is 102 points. 
Applicants should be certain that these factors are adequately 
addressed in the project description and accompanying materials. The 
five rating factors are listed below:
    Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (22 points);
    Rating Factor 2: Need/Extent of the Problem (15 points);
    Rating Factor 3: Soundness of Approach (45 points);
    Rating Factor 4: Leveraging Resources (8 points);
    Rating Factor 5: Achieving Results and Program Evaluation (10 
points); RC/EZ/EC Bonus Points (2 points);
    Total: 102 points
    Applicants are eligible to receive two bonus points for projects 
located within federally designated Renewable Communities (RC)/
Employment Zones (EZ)/Enterprise Communities (EC) (RC/EZ/ECs) and which 
will serve the residents of these communities (see the General Section 
of the SuperNOFA).
    You will receive one point under Rating Factor 3.c(2) for each of 
the applicable FY2004 policy priorities that are adequately addressed 
in your application with the exception of ``Removal of Barriers to 
Affordable Housing,'' for which you can receive up to two points (see 
the General Section of the SuperNOFA). Policy priorities that are 
applicable to the Healthy Homes Technical Studies NOFA are: (1) 
Improving our Nation's Communities (focus on distressed communities); 
(2) Providing Full and Equal Access to Grass-Roots Faith-based and 
other Community-based Organizations in HUD Program Implementation; (3) 
Participation of Minority-Serving Institutions in HUD Programs, and (4) 
Removal of Barriers to Affordable Housing.
    3. Rating Factors.
    a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (22 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, subrecipients, 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 (14 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 technical study that is 
proposed under this program NOFA; and
    (2) Past performance of the study team in managing similar projects 
(8 points). Demonstrated ability to successfully manage various aspects 
of a complex technical study in such areas as logistics, study 
personnel management, data management, quality control, community study 
involvement (if applicable), and report writing, as well as overall 
success in project completion (i.e., projects 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.
    If applicable, describe the past performance of your organization 
in implementing a previously awarded Healthy Homes or Lead Hazard 
Control (OHHLHC) grant, or grants that your organization received from 
other sources to support research on relevant, related topics. Provide 
details about the nature of the project, the funding agency, and your 
performance (e.g., timely completion, achievement of desired outcomes). 
If your organization has an active OHHLHC grant or cooperative 
agreement, provide a description of the progress and outcomes achieved 
under that grant.
    b. Rating Factor 2: Need/Extent of the Problem (15 Points). This 
factor addresses the extent to which there is a need for your proposed 
technical study. In responding to this factor, you should document in 
detail how your project would make a significant contribution towards 
achieving some or all of HUD's stated goals and objectives for the 
Healthy Homes Technical Studies Program. You should demonstrate how 
your proposed study addresses a need associated with an important 
housing-related health hazard, with an emphasis on children's health. 
Specific topics to be addressed for this factor include:
    (1) Provide a concise review of the health hazard that is addressed 
in your study and why you consider it a ``high priority'' hazard. If 
available, include documented rates of illness or injury associated 
with the hazard, including local, regional, and national data;
    (2) Discuss how your proposed project would significantly advance 
the current state of knowledge for your focus area, especially with 
respect to the development of practical solutions; and,
    (3) Discuss how you anticipate your study findings will be used to 
improve current methods for assessing or mitigating the hazard that 
your study addresses. Indicate why the method/protocol that would be 
improved through your study would be widely adopted (e.g., low cost, 
easily replicated, lack of other options).
    c. Rating Factor 3: Soundness of Approach (45 Points). This factor 
addresses the quality of your proposed technical study plan. Specific 
components include:
    (1) Soundness of the study design (20 points). The project 
description/study design must be thorough and feasible, and reflect 
your knowledge of the relevant scientific literature. You should 
clearly describe how your study builds upon the current state of 
knowledge for your focus area. If possible, your study should be 
designed to address testable hypotheses, which are clearly stated. Your 
study design should be statistically based, with adequate power to test 
your stated hypotheses. The study design should be presented as a 
logical sequence of steps or phases, with individual tasks described 
for each phase. You should identify any important ``decision points'' 
in your study plan and you should discuss plans for data management, 
analysis, and archiving.
    (2) Policy Priorities (5 points). Indicate if your proposed study 
will address any of the FY2004 policy priorities that are applicable to 
this program that were described previously in Section V.A.2 of this 
program NOFA (see the General Section of the SuperNOFA for additional 
details regarding these policy priorities). You will receive one point 
for each of the applicable policy priorities that are addressed in your 
application, with the exception of ``Removal Of Barriers to Affordable 
Housing,'' for which you can receive a maximum of 2 points.
    (3) Quality assurance mechanisms (8 points). You must describe the 
quality

[[Page 27232]]

assurance mechanisms that will be integrated into your project design 
to ensure the accuracy and reliability of the results.
    (a) 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) that provide the 
basis for your quality assurance mechanisms should be cited.
    (b) For the collection of data using instruments such as surveys 
and visual assessment tools, describe the procedures that you will 
follow to ensure accurate data capture and transfer. Also, indicate 
whether research was done (or is planned) to validate the instrument.
    (c) If your project involves human subjects in a manner which 
requires Institutional Review Board (IRB) approval and periodic 
monitoring, address how you will obtain such approval and your 
monitoring plan (before you can initiate activities that require IRB 
approval, you must provide an assurance that your study has been 
reviewed and approved by an IRB and evidence of your organization's 
``institutional assurance;'' see Section IV.B.1.f. Describe how you 
will provide informed consent (e.g., from the subjects, their parents 
or their guardians, as applicable) to help ensure their understanding 
of, and consent to, the elements of informed consent, such as the 
purposes, benefits and risks of the research. Describe how this 
information will be provided and how the consent will be collected. For 
example, describe your use of `plain language' forms, flyers and verbal 
scripts, and how you plan to work with families with limited English 
proficiency or primary languages other than English, and with families 
including persons with disabilities.
    (4) Project management plan (8 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 appropriate resources (e.g., personnel, financial) to successfully 
meet the proposed schedule. The management plan should clearly identify 
the specific responsibilities for each member of the project team. You 
should include preparation of one or more articles for peer-reviewed 
academic journals and submission of the draft(s) to the journal(s) 
after HUD acceptance during the period of performance of your grant or 
cooperative agreement.
    (5) Budget Proposal (4 points).
    (a) Your budget proposal should thoroughly estimate all applicable 
direct and indirect costs, and be presented in a clear and coherent 
format in accordance with the requirements listed in the General 
Section of this NOFA. HUD is not required to approve or fund all 
proposed activities. Your detailed budget should be submitted using 
Form HUD-424-CBW. You must thoroughly document and justify all budget 
categories and costs (see Form HUD-424-CB for the major budget 
categories) and all major tasks, for yourself, subrecipients, partners, 
major subcontractors, joint venture participants, or others 
contributing resources to the project. A separate detailed budget 
(i.e., Form HUD-424-CBW) is required for subrecipients who will receive 
more than 10 percent of the federal budget request. Your budget 
proposal should be activity- and task-related.
    (b) Your narrative justification associated with these budgeted 
costs should be included as an attachment to the Total Budget (Federal 
Share and Matching), but does not count in the 25-page limit for this 
submission.
    (c) The application will not be rated on the proposed cost; 
however, cost will be considered in addition to the rated factors to 
determine the proposal most advantageous to the federal government. 
Cost will be the deciding factor when proposals ranked under the listed 
factors are considered acceptable and are substantially equal.
    d. Rating Factor 4: Leveraging Resources (8 Points).
    Your proposal should demonstrate that the effectiveness of HUD's 
Healthy Homes Technical Studies award is being increased by securing 
other public and/or private resources or by structuring the project in 
a cost-effective manner, such as integrating the project into an 
existing study. Resources may include funding or in-kind contributions 
(such as services, facilities or equipment) allocated to the purpose(s) 
of your project. 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 project efforts. Each letter of 
commitment, memorandum of understanding, or agreement to participate 
must 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.
    e. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points).
    This factor emphasizes HUD's commitment to ensuring that applicants 
keep promises made in their applications and assess their performance 
to ensure performance goals are met. Achieving results means you, the 
applicant, have clearly identified the benefits or outcomes of your 
program. Outcomes are ultimate goals. Benchmarks or outputs are interim 
activities or products that lead to the ultimate achievement of your 
goals.
    Program evaluation requires that you, the applicant, identify 
program outcomes, interim products or benchmarks, and performance 
indicators that will allow you to measure your performance. Performance 
indicators should be objectively quantifiable and measure actual 
achievements against anticipated achievements. Your evaluation plan 
should identify what you are going to measure, how you are going to 
measure it, and the steps you have in place to make adjustments to your 
work plan if performance targets are not met within established 
timeframes.
    In your response to this Rating Factor you are to discuss the 
performance goals for your project and identify specific outcome 
measures. You are also to describe how the outcome information will be 
obtained, documented, and reported. You must complete and return the 
Logic Model Form included in the General Section of the SuperNOFA 
showing your proposed project long-term, mid-term, short-term, and 
final results, and how they support HUD's departmental goals and 
objectives. Information about developing a Logic Model is available at: 
http://www.hud.gov.
    Also, in responding to this factor, you should:
    (1) Identify benchmarks that you will use to track the progress of 
your study;
    (2) Identify milestones that are critical for achieving study 
objectives (e.g., recruitment of study participants, developing a new 
analytical protocol), potential obstacles in meeting these objectives, 
and how you would respond to these obstacles. These milestones should 
be clearly indicated in your study timeline.
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability.

[[Page 27233]]

B. Review and Selection Process

    1. Corrections To Deficient Applications. The General Section of 
this SuperNOFA provides the procedures for corrections to deficient 
applications.
    2. Partial Funding. In the selection process, HUD reserves the 
right to offer partial funding to any or all applicants. If you are 
offered a reduced award amount, you will have a maximum of 14 calendar 
days to accept such a reduced award. If you fail to respond within the 
14-day limit, you shall be considered to have declined the award.
    3. Remaining Funds. See the General Section of this NOFA for HUD's 
procedures if funds remain after all selections have been made within 
the Healthy Homes Technical Studies Program.

C. Anticipated Announcement and Award Dates

    The anticipated date for the announcement of awards under the Lead 
Technical Studies Program is September 30, 2004.

VI. Award Administration Information

A. Award Notices

    1. Notice of Award. Applicants who have been selected for award 
will be notified by letter from the Grant Officer. The letter will 
state the program for which the application has been selected, the 
amount the grantee is eligible to receive, and the name of the 
Government Technical Representative (GTR). This letter is not an 
authorization to begin work or incur costs under the grant. An executed 
grant agreement is the authorizing document.
    HUD may require that all the selected applicants participate in 
negotiations to determine the specific terms of the grant 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, and proceed with negotiations 
with the next highest-ranking applicant. If you accept the terms and 
conditions of the award, you must return your signed grant agreement by 
the date specified during negotiation.
    After receiving the letter, additional instructions on how to have 
the grant account entered into HUD's Line of Credit Control System 
(LOCCS) payment system will be provided. Other forms and program 
requirements will also be provided.
    In accordance with OMB Circular A-133 (Audits of States, Local 
Governments and Non-Profit Organizations), grantees will have to submit 
their completed audit-reporting package along with the Data Collection 
Form (SF-SAC) to the Single Audit Clearinghouse. The address can be 
obtained from their Web site. The SF-SAC can be downloaded at: http://harvester.census.gov/sac/.
    2. Debriefing. The General Section of the SuperNOFA provides the 
procedures for requesting a debriefing.

B. Administrative and National Policy Requirements

    1. Program Performance. Awardees shall take all reasonable steps to 
accomplish all HUD-funded activities within the approved period of 
performance. HUD reserves the right to terminate the grant or 
cooperative agreement prior to the expiration of the period of 
performance if the awardee fails to make reasonable progress in 
implementing the approved program of activities.
    2. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. If awarded assistance under this NOFA, prior to 
entering into a grant agreement with HUD, you will be required to 
submit a copy of your code of conduct and describe the methods you will 
use to ensure that all officers, employees, and agents of your 
organization are aware of your code of conduct. See the General Section 
of the SuperNOFA for information about conducting business in 
accordance with HUD's core values and ethical standards.
    3. Participation in HUD-Sponsored Program Evaluation. As a 
condition of the receipt of financial assistance under this NOFA, you 
will be required to cooperate with all HUD staff or contractors 
performing HUD-funded research and evaluation studies pertaining to the 
subject of the grant or cooperative agreement.
    4. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(1) and (b)(5), 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.

C. Reporting

    1. Post Award Reporting Requirements. Final budget and work plans 
are due 60 days after the start date.
    2. Quality Assurance Plan (QAP). Successful applicants will be 
required to submit a Quality Assurance Plan to HUD prior to initiating 
work under the award. This is a streamlined version of the format used 
by some other federal agencies, and is intended to help ensure the 
accuracy and validity of the data that you will collect under the 
agreement. You should plan for this and include it in your study work 
plan. (See the QAP template for this program at: http://www.hud.gov.)
    3. Progress reporting. Progress reporting is done on a quarterly 
basis. For specific reporting requirements, see policy guidance: http://www.hud.gov/offices/lead.
    4. Final report. The award agreement will specify the requirements 
for final reporting (e.g., scientific manuscript, report).
    5. Racial and Ethnic Beneficiary Data. HUD does not require 
grantees to collect racial and ethnic beneficiary data for this 
program. If, however, racial and ethnic data are collected and reported 
as part of a study funded under this program NOFA, you must use the 
Office of Management and Budget's Standards for the Collection of 
Racial and Ethnic Data as presented on Form HUD-27061, Racial and 
Ethnic Data Reporting Form (and instructions for its use), found at: 
http://www.grants.gov.

VII. Agency Contact(s)

    For technical or programmatic questions, you may contact Dr. Peter 
Ashley, Office of Healthy Homes and Lead Hazard Control, at the address 
above; telephone (202) 755-1785, extension 115 (this is not a toll-free 
number) or via e-mail at [email protected]. For administrative 
questions on grants or cooperative agreements, you may contact Ms. 
Curtissa L. Coleman, Office of Healthy Homes and Lead Hazard Control, 
at the address above; telephone (202) 755-1785, extension 119 (this is 
not a toll-free number) or via e-mail at [email protected]. 
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 800-877-8339.

VIII. Other Information

A. HUD Reform Act of 1989

    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA.

B. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction

[[Page 27234]]

Act of 1995 (44 U.S.C. 3501-3520) and assigned OMB control number 2539-
0015. In accordance with the Paperwork Reduction Act, HUD may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless the collection displays a currently 
valid OMB control number. Public reporting burden for the collection of 
information is estimated to average 80 hours per application and 16 
hours per grant award. This includes the time for collecting, 
reviewing, and reporting the data. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.

Appendix A--Key Residential Health and Injury Hazards

    The following briefly describes the residential 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 absences, 
emergency room visits, and hospitalizations. 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 percent of inner-city housing and affect 5-15 
percent of the population, whereas dust mites appear to be the dominant 
allergen in other environments.
    Interventions known to have beneficial effects include the 
installation of impervious mattress and pillow covers, which can reduce 
allergen exposure by 90 percent. Other dust mite control measures 
include dehumidification, laundering bedding, and removal of carpets 
and other materials that accumulate dust and are difficult to clean 
(e.g., 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 (ACMs) 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 the 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 ACMs 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 pipes, 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 that 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 percent. Among low-income children living in older 
housing where lead-based paint is most prevalent, the

[[Page 27235]]

rate climbs to 16 percent; and for African-American children living in 
such housing, it reaches 21 percent.
    HUD estimates that 38 million dwellings have some lead-based paint, 
and that 26 million have significant lead-based paint hazards. Of 
those, about 5.7 million have young children and of those, about 1.6 
million have household incomes under $30,000 per year. Lead hazard 
control (LHC) 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 percent of airways disease, and 60 percent 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 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., IPM, 
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 LHC 
simultaneously through its lead and 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 that 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 of age, almost half stored at least one 
pesticide product within the reach of children. Exposure to 
chlorpyriphos (CP), a commonly used organophosphate insecticide, in the 
prenatal and early postnatal period may impair neurological 
development. 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, the 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-$2,500. 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 clothes 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 U.S. were 
disabled for at least one 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 75 percent of deaths: fires/ burns; drowning; and mechanical 
suffocation. Falls and poisoning are the next most common causes of 
death.
    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 (e.g., smoke alarms, electrical socket covers, 
etc.).

Appendix B--Relevant Publications and Guidelines

    To secure any of the documents listed, call the telephone number 
provided. If you are a hearing- or speech-impaired person, you may 
reach the telephone numbers through TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339. A number of these

[[Page 27236]]

references are provided on HUD's CD, ``Residential Lead Desktop 
Reference, 3rd Edition.'' This CD can be obtained at no charge by 
calling the National Lead Information Clearinghouse's (NLIC's) toll 
free number, 800-424-LEAD. Several of these references can be 
downloaded from the Internet without charge from the HUD Office of 
Healthy Homes and Lead Hazard Control's Internet site at: http://www.hud.gov/offices/lead.

Regulations

    1. Worker Protection: Occupational and Safety Administration 
(OSHA) publications listed below can be purchased by calling either 
OSHA Regulations at 202-693-1888 (OSHA Regulations) (this is not a 
toll free number) or the Government Printing Office (GPO) at 202-
512-1800 (this is not a toll-free number). If you are a hearing- or 
speech-impaired person, you may reach these telephone numbers 
through TTY by calling the toll-free Federal Information Relay 
Service at 800-877-8339. OSHA standards and other publications can 
be downloaded or purchased (as applicable) from OSHA's publication 
Web page, http://www.osha.gov/pls/publications/pubindex.list. A 
broad range of information on construction and other worker 
protection requirements and guidelines is available from OSHA's home 
page at: http://www.osha.gov/.
    2. Waste Disposal. A copy of the EPA regulations at 40 CFR parts 
260-268 can be purchased by calling 800-424-9346, or, from the 
Washington, DC, metropolitan area, 703-412-9810 (this is not a toll-
free number). If you are a hearing- or speech-impaired person, you 
may reach this telephone number via TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339. The regulations 
can also be downloaded without charge from the EPA Web site at: 
http://www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/htm.
    3. Lead.
    (a) 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) can be purchased by calling the Toxic 
Substances Control Act (TSCA) Hotline at 202-554-1404 (this is not a 
toll-free number). If you are a hearing- or speech-impaired person, 
you may reach this telephone number through TTY by calling the toll-
free Federal Information Relay Service at 800-877-8339. The rule and 
guidance can be downloaded from the Internet without charge at: 
http://www.epa.gov/lead/.
    (b) 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 B through R, published September 15, 1999 (64 FR 50201) 
(HUD) can be purchased by calling NLIC's toll-free number (800-424-
LEAD) or downloaded without charge from the HUD Web site at: http://www.hud.gov/offices/lead.
    (c) Requirements for Disclosure of Information Concerning Lead-
Based Paint in Housing, 24 CFR Part 35, Subpart A (HUD, Lead-Based 
Paint Disclosure Rule) by calling the NLIC's toll free number (800-
424-LEAD). If you are a hearing- or speech-impaired person, you may 
reach this telephone number through TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339. The rule, 
guidance, pamphlet and disclosure formats can be downloaded from the 
HUD Web site at: http://www.hud.gov/offices/lead.
    (d) U.S. Environmental Protection Agency. Lead; Identification 
of Dangerous Levels of Lead; Final Rule at 66 FR 1205-1240 (January 
5, 2001). This rule and guidance can be obtained without charge by 
calling the NLIC's toll free number (800-424-LEAD) or by calling the 
TSCA at: 202-554-1404 (this is not a toll-free number). The rule and 
guidance can be downloaded from the EPA Web site at: http://
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. 
These guidelines can be purchased by calling 800-245-2691 toll-free. 
If you are a hearing- or speech-impaired person, you may reach this 
telephone number via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. The Guidelines can be 
downloaded from the HUD Web site without charge at http://www.hud.gov/offices/lead.

Reports and Articles

    1. The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, July 1995. A copy of this summary and report can 
be downloaded from the HUD Web site without charge at: http://www.hud.gov/offices/lead.
    2. Institute of Medicine. Indoor Allergens. Assessing and 
Controlling Adverse Health Effects. National Academy Press. 
Washington, DC 1993.
    3. Mott L., Our Children at Risk. Natural Resources Defense 
Council. Washington, DC 1997. Can be ordered from the Internet from 
at: http://www.nrdc.org.
    4. Rom W.N., Ed. Environmental and Occupational Medicine. 
Little, Brown and Co., Boston. 1992.
    5. President's Task Force on Environmental Health Risks and 
Safety Risks to Children. Asthma and The Environment: An Action Plan 
to Protect Children. Washington, DC 1999.
    6. Eliminating Childhood Lead Poisoning: A Federal Strategy 
Targeting Lead Paint Hazards. Washington, DC 2000. Can be downloaded 
from the Internet without charge from www.epa.gov/children.
    7. Jacobs, D.E., R.P. Clickner, J.Y. Zhou, et al., 2002. 
Prevalence of Lead-Based Paint in U.S. Housing. Env. Health Persp. 
110(10): A599-A606.
    8. Galke, W., S. Clark, J. Wilson, et al., 2001. Evaluation of 
the HUD lead hazard control grant program: Early overall findings. 
Env. Res. 86, 149-156.
BILLING CODE 4210-32-P

[[Page 27237]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.129

BILLING CODE 4210-32-C

[[Page 27238]]

Appendix D--Administrative Costs

I. Purpose

    The intent of this HUD grant program is to allow the Grantee to be 
reimbursed for the reasonable direct and indirect costs, subject to a 
top limit, for overall management of the grant. In most instances the 
grantee, whether a state or a local government, principally serves as a 
conduit to pass funding to sub-grantees, which are to be responsible 
for the conducting lead-hazard reduction work. Congress set a top limit 
of ten percent of the total grant sum for the grantee to perform the 
function of overall management of the grant program, including passing 
on funding to sub-grantees. The cost of that function, for the purpose 
of this grant, is defined as the ``administrative cost'' of the grant, 
and is limited to ten percent of the total grant amount. The balance of 
ninety percent or more of the total grant sum is reserved for project 
implementation activities.

II. Administrative Costs: What They Are Not

    For the purposes of this HUD grant program, ``administrative 
costs'' should not be confused with the terms ``general and 
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden 
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair 
share of an organization's costs that cannot be attributed to a 
particular project or department (such as the chief executive's salary 
or the costs of the organization's headquarters building) to all 
projects and operating departments (such as the Fire Department, the 
Police Department, the Community Development Department, the Health 
Department or this program). Such allocated costs are added to those 
projects' or departments' direct costs to determine their total costs 
to the organization.

III. Administrative Costs: What They Are

    For the purposes of this HUD grant program, ``Administrative 
Costs'' are the grantee's allowable direct costs for the overall 
management of the grant program plus the allocable indirect costs. The 
allowable limit of such costs that can be reimbursed under this program 
is 10 percent of the total grant sum. Should the grantee's actual costs 
for overall management of the grant program exceed 10 percent of the 
total grant sum, those excess costs shall be paid for by the grantee. 
However, excess costs paid for by the grantee may be shown as part of 
the requirement for cost-sharing funds to support the grant.

IV. Administrative Costs: Definition

A. General

    Administrative costs are the allowable, reasonable, and allocable 
direct and indirect costs related to the overall management of the 
project activities that are supported by the HUD grant. Those costs 
shall be segregated in a separate cost center within the grantee's 
accounting system, and they are eligible costs for reimbursement as 
part of the grant, subject to the 10 percent limit. Such administrative 
costs do not include any of the staff and overhead costs directly 
arising from specific sub-grantee program activities eligible under 
this NOFA, because those costs are eligible for reimbursement under a 
separate cost center as a direct part of project activities.
    The grantee may elect to serve solely as a conduit to sub-grantees, 
who will in turn perform the direct program activities eligible under 
this NOFA, or the grantee may elect to perform all or a part of the 
direct program activities in other parts of its own organization, which 
shall have their own segregated, cost centers for those direct program 
activities. In either case, not more than 10 percent of the total HUD 
grant sum may be devoted to administrative costs, and not less than 90 
percent of the total grant sum shall be devoted to direct program 
activities. The grantee shall take care not to mix or attribute 
administrative costs to the direct project cost centers.

B. Specific

    Reasonable costs for the grantee's overall grant management, 
coordination, monitoring, and evaluation are eligible administrative 
costs. Subject to the 10 percent limit, such costs include, but are not 
limited to, necessary expenditures for the following goods, activities 
and services:
    (1) Salaries, wages, and related costs of the grantee's staff, the 
staff of affiliated public agencies, or other staff engaged in 
grantee's overall grant management activities. In charging costs to 
this category the recipient may either include the entire salary, 
wages, and related costs allocable to the program for each person whose 
primary responsibilities (more than 65 percent of their time) with 
regard to the grant program involve direct overall grant management 
assignments, or the pro rata share of the salary, wages, and related 
costs of each person whose job includes any overall grant management 
assignments. The grantee may use only one of these two methods during 
this program. Overall grant management includes the following types of 
activities:
    (a) Preparing grantee program budgets and schedules, and amendments 
thereto;
    (b) Developing systems for the selection and award of funding to 
sub-grantees and other sub-recipients;
    (c) Developing suitable agreements for use with sub-grantees and 
other subrecipients to carry out grant activities;
    (d) Developing systems for assuring compliance with program 
requirements;
    (e) Monitoring sub-grantee and subrecipient activities for progress 
and compliance with program requirements;
    (f) Preparing presentations, reports, and other documents related 
to the program for submission to HUD;
    (g) Evaluating program results against stated objectives;
    (h) Providing local officials and citizens with information about 
the overall grant program; however, a more general education program, 
helping the public understand the nature of lead hazards, lead hazard 
reduction, blood-lead screening, and the health consequences of lead 
poisoning is a direct project support activity;
    (i) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (j) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (2) Travel costs incurred for official business in carrying out the 
overall grant management;
    (3) Administrative services performed under third party contracts 
or agreements, for services directly allocable to grant management such 
as: legal services, accounting services, and audit services;
    (4) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and including 
such goods and services as telephone, postage, rental of equipment, 
renter's insurance for the program management space, utilities, office 
supplies, and rental and maintenance (but not purchase) of office space 
for the program.
    (5) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related costs 
for local officials (e.g., mayor and city council members, etc.), and 
expenses for a city's legal or accounting department which are not

[[Page 27239]]

charged back to particular projects or other operating departments. If 
a grantee has an established burden rate, it should be used; if not, 
the grantee shall be assigned a negotiated provisional burden rate, 
subject to final audit.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27241]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.130


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27243]]



Lead Technical Studies Program Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead Technical Studies Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
4900-N-10. The OMB Paperwork Approval number is: 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.902, 
Lead Technical Studies Grant Program.
    F. Dates: An original and three copies of your application must be 
submitted on or before July 13, 2004. See the General Section of the 
SuperNOFA Section IV, Application and Submission Information, regarding 
application submission procedures and timely filing requirements.
    G. Additional Overview Content Information:
    1. The funding opportunity is for technical studies to improve 
methods for detecting and controlling residential lead-based paint 
health and safety hazards.
    2. The total amount to be awarded is approximately $3 million, of 
which $1 million is a set-aside for Historically Black Colleges and 
Universities (HBCUs).
    3. The anticipated amounts and/or numbers of individual awards will 
be approximately six to ten awards, ranging from approximately $200,000 
to approximately $750,000.
    4. The types of instruments awarded will be grants or cooperative 
agreements, with substantial involvement of the government for 
cooperative agreements.
    5. Academic, not-for-profit and for-profit institutions located in 
the U.S., state and local governments, and federally recognized Native 
American tribes are eligible to apply. For-profit institutions are not 
allowed to earn a fee. HBCUs are also eligible to apply under the set-
aside.
    6. Cost sharing is not required, but is encouraged.
    7. There are no limitations on the numbers of applications that 
each applicant may submit, and,
    8. One can get application materials from the sources described 
below.

Full Text of Announcement

I. Funding Opportunity Description

    Purpose of the Program. The purpose of the Lead Technical Studies 
program is to improve methods for detecting and controlling residential 
lead-based paint hazards.

A. Program Description

    1. General Goals and Objectives. The overall goal of the Lead 
Technical Studies grant program is to gain knowledge to improve the 
efficacy and cost-effectiveness of methods for evaluation and control 
of residential lead-based paint hazards.
    Through the Lead Technical Studies Program, HUD is helping 
``develop the capacity of eligible applicants * * * to carry out 
activities under'' lead hazard control grant programs, by advancing the 
technology and increasing the effectiveness of workers on lead hazard 
control (LHC) projects, in fulfillment of the requirements of section 
1011(g)(1) of Title X of the Residential Lead-Based Paint Hazard 
Reduction Act of 1992 (42 U.S.C. 4852(g)(1)) and is ``conduct[ing] 
research to develop improved methods for evaluating [and] reducing 
lead-based paint hazards in housing,'' and related topics, in 
fulfillment of the requirements of sections 1051 and 1052 of Title X.
    HUD encourages applicants to consider using the ``community based 
participatory research'' approach, where applicable, in the design and 
implementation of lead technical studies (see e.g., http://
www.niehs.nih.gov/translat/cbpr/cbpr.htm).
    Brief descriptions of active and previously funded lead technical 
studies projects can be found on HUD's Web site at: http://www.hud.gov/
offices/lead/techstudies/index.cfm. Where it is appropriate, as an 
applicant, you are strongly encouraged to ensure that your proposed 
study builds upon HUD-sponsored work that has been completed 
previously, in addition to other relevant research (i.e., that 
contained in government reports and in the published literature).
    2. Background. HUD has been actively engaged in a number of 
activities relating to lead-based paint hazard control as a result of 
the Lead-Based Paint Poisoning Prevention Act of 1971, as amended, 42 
U.S.C. 4801-4856. Sections 1051 and 1052 of the Residential Lead-Based 
Paint Hazard Reduction Act of 1992 (Title X) (42 U.S.C. 4854 and 4854a) 
state that the Secretary of HUD, in cooperation with other federal 
agencies, shall conduct technical studies on specific topics related to 
the evaluation and mitigation of residential lead hazards. Section 1053 
of Title X authorized HUD to spend funds to conduct these studies, 
under the Lead Hazard Control Grant Program's funding authorization in 
section 1011(o). The HUD-sponsored technical studies program also 
responds to recommendations by the Task Force on Lead-Based Paint 
Hazard Reduction and Financing, which was established pursuant to 
section 1015 of Title X. (42 U.S.C. 4852a). The Task Force presented 
its final report to HUD and the Environmental Protection Agency (EPA) 
in July 1995. The Task Force Report, entitled ``Putting the Pieces 
Together: Controlling Lead Hazards in the Nation's Housing'' (see 
Appendix A of this program section of this NOFA), recommended that 
research be conducted on a number of key topics to address significant 
gaps in our knowledge of lead exposure and hazard control.
    The findings of technical studies will be used in part to update 
HUD's Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing (Guidelines), which were published in June 1995 and 
partly amended in September 1997 (Chapter 7, Lead-Based Paint 
Inspection). For availability of the Guidelines, see Appendix A.

B. Eligible Activities

    HUD is especially interested in the following lead technical 
studies topics:
    1. Use of novel or dry cleaning techniques. Current methods for 
cleaning lead-contaminated dust from hard surfaces consist of a 
combination of HEPA vacuuming and wet cleaning. Research sponsored by 
both the U.S. Environmental Protection Agency and HUD has shown that 
trisodium phosphate (TSP) is not more effective than other detergents 
in cleaning lead contaminated dust (USEPA 1998, Rich et al. 2002). 
Additional HUD-sponsored research showed that use of household vacuums 
without HEPA filtration for cleaning as an interim control method 
(i.e., not following lead abatement or other interim control 
activities) did not produce detectable airborne lead emissions (Public 
Health Institute/California Dept. of Health Services, unpublished 
data). The same study also found that wet washing was considerably more 
effective than vacuuming in removing dust-lead from smooth floors.
    There are other cleaning techniques that might be effective in 
cleaning hard surfaces, but which have not been studied. The other 
cleaning techniques include the use of disposable cloths or towelettes 
(either used directly or at the end of a wand) or dry cleaning methods 
using disposable wipes that collect dust electrostatically. Important 
considerations include both efficacy in

[[Page 27244]]

the removal of lead-contaminated dust and cost.
    The use of a disposable wet cleaning medium, a technique that can 
be referred to as ``wet wipe and toss'' consists of the use of a 
disposable rag or non-woven cellulosic material that can be dipped in 
cleaning solution, used once to clean a surface, and then discarded. 
Conceptually, this may benefit cleaning since a fresh wipe material is 
always used and there is no return to the rinse solution (i.e., as with 
a mopping technique), a practice that may contaminate the cleaning 
water (a disadvantage is the potential for creating a large amount of 
solid waste). This technique may be most appropriate for cleaning small 
surfaces, such as windowsills or troughs, but could also be used for 
floors if the wipe medium is secured on a holder at the end of a 
handle. Commercially available products include pre-moistened cleaning 
pads (resembling large size baby wipes) and integrated spray and wipe 
assemblies with disposable cleaning pads.
    Disposable dry cleaning media for dust control was introduced into 
the commercial market relatively recently. This cleaning technique 
makes use of a disposable dust collector, made of cloth or paper with 
an electrostatic charge. Some unpublished reports indicate that they 
can be effective in dust removal, including cleanup of lead-
contaminated dust. Without focusing on any specific commercial product, 
it would be of interest to establish the usefulness of some of these 
products to clean a variety of surfaces prior to clearance, or to 
remove lead-contaminated dust on specific surface types as an interim 
control procedure.
    Additional ideas would be welcome, along with novel approaches to 
evaluate the effectiveness of the cleaning techniques.
    2. Reducing exterior soil and dust-lead hazards. Studies have shown 
that lead in exterior dust and soil can be an important source of lead 
exposure to young children, both through direct contact and indirectly 
when tracked or blown into the home. HUD has funded several studies 
that have assessed approaches to reducing the risk posed by this large 
environmental lead reservoir. Examples of these studies have focused on 
the following topics: reducing the bioavailability (as determined using 
in vitro testing) of lead in soil through the addition of composted 
biosolids; reducing soil hazards in urban yards through targeted 
landscaping (e.g., raised beds, improving ground cover); reducing 
exterior dust-lead levels through exterior building treatments and 
street and sidewalk cleaning; and, reducing surface soil-lead hazards 
by overlaying clean soil with grass cover.
    Additional study is needed to assess the long-term effectiveness of 
interim controls to reduce soil and exterior dust-lead hazards. 
Research is also needed to develop interim controls and strategies for 
exterior dust and soil that are reasonable in cost, feasible to 
implement, and which do not require frequent maintenance to maintain 
their effectiveness.
    3. Potential exposure and contamination from floor sanding of lead-
containing floor varnish. A HUD-funded pilot study by the Wisconsin 
Division of Public Health, ``Potential Lead Exposures from Sanding 
Floors Containing Leaded Varnish,'' found that although no floor 
varnish was identified as lead-based paint using X-ray fluorescence 
(XRF), 52% of varnish samples exceeded the definition of lead-based 
paint based on laboratory analysis. Also, more than 70% of the settled 
dust samples (not dust wipe samples) exceeded the floor dust clearance 
level of 40 [mu]g/ft 2 after floor sanding. Use of low-cost 
dust controls significantly reduced the amount of lead-contaminated 
dust on the floors. Hand-scraping of varnished stairs was also shown to 
be a high risk operation for occupational (personal) lead exposure.
    HUD is interested in expanding this study to include a larger 
number of homes and floor refinishing contractors, and to include 
additional regions of the country. HUD is also interested in the ease 
of achieving clearance (using dust wipes) after floor sanding of 
varnishes that contain lead followed by cleaning, and in the 
development of procedures for minimizing the spread of lead-
contaminated dust during sanding (i.e., considering the large amount of 
dust produced during sanding).
    4. Approaches to streamlining performance of interim controls, 
abatement, and clearance in multi-family housing where repeat 
operations occur. The performance of abatement or interim control of 
lead-based paint hazards in multi-family housing may result in 
repetitive operations (for example in common areas such as hallways and 
stairwells) that hinder the movement, access, and exit of residents. 
For some of these areas, such as a hallway on each floor, or a 
stairwell or entranceways to buildings, repetitive operations such as 
interim controls may require relocation of residents until work can be 
completed, clean-up accomplished, and clearance attained.
    There may be ways to show, with statistical significance, and 
through the use of existing, previous, or historical data that repeat 
operations may be defined with sufficient specificity to allow 
accelerated clean-up and clearance. HUD is interested in studies to 
determine whether repeat operations in multi-family housing can be 
sufficiently safe to allow return of residents to their units based on 
considered professional judgment and data collected from similar 
operations. This approach may be analogous to the approach taken to 
prove a negative exposure assessment for OSHA exposure determinations.
    5. Effectiveness of Ongoing Maintenance Program Activities in 
Controlling Lead-Based Paint Hazards. While a variety of lead abatement 
and interim control techniques have been evaluated for their 
effectiveness in controlling lead-based paint hazards, there are few 
studies directly assessing the effectiveness of ongoing lead-based 
paint maintenance programs. HUD is interested in evaluating the 
effectiveness and feasibility of ongoing lead-based paint maintenance 
programs, identifying program components for which particular 
implementation difficulties exist, and evaluating proposed measures for 
overcoming those difficulties. Such an evaluation of program components 
could address whether and how technically-acceptable and cost-effective 
work practices are selected and implemented, how effectively 
supervisors monitor work activities to ensure that lead-based paint 
hazards are controlled and that dust and debris are contained and 
cleaned up during and after work, and how well clearance procedures 
(including necessary re-cleaning) are integrated into the maintenance 
program, among other factors.
    6. Use of Available Databases to Improve the Efficacy of Lead 
Hazard Control Activities. Public databases can be used to help target 
and assess the effectiveness of lead hazard control activities. 
Examples of this include the use of census data to identify 
neighborhoods that are at high risk for lead poisoning (e.g., age and 
value of housing used in combination with indicators of socioeconomic 
status); the use of blood-lead screening data to target dwellings that 
have been associated with repeated identification of resident children 
with elevated blood-lead levels. At a broader level, serial blood-lead 
screening data could be used to assess the effectiveness of lead hazard 
control activities or laws that require lead hazard control treatments 
in high risk housing (e.g., by

[[Page 27245]]

comparing community screening levels before and laws were enacted while 
accounting for the overall downward trend in blood lead levels). HUD is 
interested in studies that assess novel uses of public databases to 
improve the efficacy of lead hazard control programs (e.g., targeting 
neighborhoods), assess the effectiveness of enforcement and lead hazard 
control activities and regulations, and other, novel uses of these 
data.
    7. Other Focus Areas that are Consistent with the Overall Goals of 
HUD's Lead Technical Studies Program. Additional ideas will be 
considered with an open mind if proposed with novel techniques and 
applications. HUD will also consider funding applications for technical 
studies on topics which are relevant under the overall goals and 
objectives of the lead technical studies program, as described above. 
In such instances, the applicant should describe how the proposed 
activity addresses these overall goals and objectives.

C. Ineligible Activities

    1. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000, unless prior written approval is obtained from HUD.
    2. Medical treatment costs.

D. Authority

    These grants are authorized under sections 1011(g)(1), 1011(o), 
1051-1053 of the Residential Lead Based Paint Hazard Reduction Act of 
1992 (Title X of the Housing and Community Development Act of 1992, 42 
U.S.C. 4851 et seq.); and the Consolidated Appropriations Resolution of 
2004, Pub. L. 108-199.

II. Award Information

A. Funding Available

    Approximately $3 million in Fiscal Year 2004 for Lead Technical 
Studies. Of this amount, $1 million is set-aside for Historically Black 
Colleges and Universities (HBCUs). Cooperative agreements will be 
awarded on a competitive basis following evaluation of all proposals 
according to the rating factors described in this program NOFA. HUD 
anticipates that approximately six to ten grants will be awarded, 
ranging from approximately $200,000 to approximately $750,000 each. In 
FY2003, HUD awarded six grants averaging $272,000.
    Applications for supplementation of existing projects are eligible 
to compete with applications for new awards (i.e., for work outside of 
the scope of the original agreement).

B. Anticipated Start Date and Period of Performance for New Grants

    The start date for new awards is expected to be October 1, 2004. 
The period of performance cannot exceed 36 months from the time of 
award. Applicants are encouraged to plan studies with shorter 
performance periods, however when developing your schedule you should 
also consider the possibility that issues may arise that would delay 
project completion. For example, it is HUD's experience that projects 
requiring Institutional Review Board approval and oversight (i.e., in 
conformance with HUD's regulation (24 CFR 60) incorporating the 
Department of Health and Human Services' regulation of studies 
involving human subjects) or which involve the development of new 
instrumentation, are prone to delays. HUD reserves the right to approve 
no cost time extensions for a total period not to exceed 12 months.

C. Type of Award Instrument

    Awards in response to this solicitation will be made as grants or 
cooperative agreements. Anticipated substantial involvement for 
cooperative agreements may include, but will not be limited to:
    1. Review and possibly suggest amendments to the study design, 
including: study objectives; field sampling plan; sample handling and 
preparation; and sample and data analysis.
    2. Review and provide technical recommendations in response to 
quarterly progress reports (e.g., amendments to study design based on 
preliminary results).
    3. Review and provide technical recommendations on the final study 
report.

III. Eligibility Information

A. Eligible Applicants

    Academic and not-for-profit institutions located in the U.S., state 
and local governments, and federally recognized Native American 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 from the project). HBCUs, that is, educational 
institutions that satisfy the requirements of 34 CFR 608.2, are also 
eligible to apply under the set-aside. Applications for supplementation 
of existing projects are eligible to compete with applications for new 
awards. Federal agencies and federal employees are not eligible to 
submit applications. The General Section of the SuperNOFA provides 
additional eligibility requirements.

B. Cost Sharing or Matching

    Cost sharing or matching is not required. In rating your 
application, however, you will receive a higher score under Rating 
Factor 4 if you provide evidence of significant cost sharing.

C. Other

    1. Threshold Requirements Applicable to All Applicants Under the 
SuperNOFA. As an applicant, you must meet all of the threshold 
requirements described in the General Section of the SuperNOFA. 
Threshold requirements include Eligibility, Compliance with Fair 
Housing and Civil Rights Laws, Conducting Business in Accordance with 
Core Values and Ethical Standards, Delinquent Federal Debts and Pre-
Award Accounting System Surveys. Information about threshold 
requirements is provided in the General Section of the SuperNOFA. 
Applicants that meet all of the threshold requirements will be eligible 
to receive funds from HUD.
    2. Program Requirements.
    a. Program Performance. Grantees shall take all reasonable steps to 
accomplish all grant-funded activities within the approved period of 
performance. HUD reserves the right to terminate the grant prior to the 
expiration of the period of performance if the grantee fails to make 
reasonable progress in implementing the approved program of activities.
    b. Compliance with all relevant state and federal regulations 
regarding exposure to and proper disposal of hazardous materials;
    c. Any blood lead testing, blood lead level test results, and 
medical referral and follow-up for children under six years of age will 
be conducted according to the recommendations of the Centers for 
Disease Control and Prevention (CDC), Preventing Lead Poisoning in 
Young Children (see Appendix A of this program section of the NOFA);
    d. HUD technical studies grant funds will not replace existing 
resources dedicated to any ongoing project;
    e. Laboratory analysis covered by the National Lead Laboratory 
Accreditation Program (NLLAP) will be conducted by a laboratory 
recognized under the program;
    f. Human research subjects will be protected from research risks in 
conformance with Federal Policy for the Protection of Human Subjects, 
required by HUD at 24 CFR part 60;
    g. The requirements of the Occupational Safety and Health 
Administration (OSHA) (e.g., 29 CFR

[[Page 27246]]

part 1910 and/or 1926, as applicable) or the state or local 
occupational safety and health regulations, whichever are most 
stringent, will be met;
    h. If an individual researcher or a research team submits the 
application, the institution administering the grant will meet the 
civil rights threshold in the General Section of this NOFA.
    3. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement. A DUNS number must be 
provided for the institution that is submitting an application.

IV. Application and Submission Information

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

A. Addresses to Request Application Package

    There is no Application Kit. All the information required to submit 
an application is contained in the program section of this NOFA and the 
General Section of the SuperNOFA. Forms can be downloaded from the web 
at: http://www.grants.gov.

B. Content and Form of Application Submission

    1. Applicant Data. 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 the 
General Section of the SuperNOFA. The remaining application item that 
is recommended for inclusion with your application is a non-standard 
form (i.e., excluding such items as narratives) that can be found as 
Appendix B to this program NOFA. The required items are:
    a. A transmittal letter, signed by the chief executive or other 
authorized official, that provides the title of your proposed project, 
the dollar amount requested, and identifies the applicant(s) submitting 
the application. If you are applying under the HBCU set-aside, indicate 
this in the letter. Include the name, mailing address, telephone 
number, and principal contact person of the prime applicant. If two or 
more organizations are working together on the project, a primary 
applicant must be designated.
    b. Application Abstract Summary. An abstract with the project 
title, the names and affiliations of all investigators, and a summary 
of the objectives, expected results, and study design (two-page 
maximum) must be included in the proposal.
    c. Checklist and Submission Table of Contents (see Appendix B of 
this program NOFA; inclusion of this checklist is voluntary).
    d. All forms as required by the General Section of this SuperNOFA. 
A Certification of Consistency with the Consolidated Plan is not 
required for this application.
    e. A project description/narrative statement addressing the rating 
factors for award of funding under this program section of the NOFA. 
The narrative statement must be numbered in accordance with each factor 
for award (Rating Factors 1 through 5). The project description can 
either be included in the responses to the rating factors or provided 
separately. The response to the rating factors should not exceed a 
total of 25 pages (10- to 12-point font with at least \3/4\ inch 
margins on 8\1/2\ by 11 inch pages) for each technical study topic 
area. Any pages in excess of this limit will not be read.
    f. In conformance with the Common Rule (Federal Policy for the 
Protection of Human Subjects, codified by HUD at 24 CFR part 60), if 
your research involves human subjects, your organization must provide 
an assurance (e.g., a letter signed by an appropriate official) that 
the research has been reviewed and approved by an Institutional Review 
Board (IRB) before you can initiate activities that require IRB 
approval. Before initiating such activities you must also provide the 
number for your organization's assurance (i.e., an ``institutional 
assurance'') that has been approved by the Department of Health and 
Human Service's Office of Human Research Protections (OHRP). For 
additional information on what constitutes human subject research or 
how to obtain an institutional assurance see the OHRP web site at: 
http://ohrp.osophs.dhhs.gov/.
    g. Within Appendix 1 of your application, include the resumes of 
the principal investigator and other key personnel and other materials 
that are needed in your response to the rating factors (e.g., 
organizational chart, letters of commitment). 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 technical studies. This information will not be counted 
towards the page limit. Also include Form HUD-96010 Logic Model in 
Appendix 1 (needed for response to rating factor 5).
    h. Within Appendix 2 of your application, include attachments, 
appendices, or other relevant information may accompany the project 
description, but must not exceed 20 pages for the entire application, 
although mandatory materials (organizational chart, resumes, job 
descriptions, letters of commitment and memoranda of agreement from 
participating organizations) are not included in this page limit. Any 
pages in excess of this limit will not be read.
    i. Within Appendix 3 of your application, include the required 
forms and a detailed total budget with supporting cost justification 
for all budget categories of the federal grant request. Use the budget 
format discussed in Rating Factor 3, Section V.(A.)c. below. In 
completing the budget forms and justification, you should address the 
following elements:
    (1) Direct Labor costs should include all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on FTE (full time equivalent) or hours per 
year (hours/year) (i.e., one FTE equals 2,080 hours/year);
    (2) You should budget for three trips to HUD Headquarters in 
Washington, DC, planning each trip for two people, with the first trip 
occurring shortly after grant award for a stay of two or three days, 
depending on your location, and the remaining trips having a stay of 
one or two days, depending on your location;
    (3) A separate budget proposal should be provided for any 
subrecipients receiving more than 10 percent of the total federal 
budget request;
    (4) You should be prepared to provide supporting documentation for 
salaries and prices of materials and equipment upon request;
    (5) Organizations that have a federally negotiated indirect rate 
should use that rate and the appropriate base. Other organizations, not 
having a federally negotiated rate schedule, must obtain a rate from 
their cognizant federal agency, otherwise the organization will be 
required to obtain a negotiated rate through HUD; and
    (6) You should submit the negotiated rate agreements for fringe 
benefits and indirect costs, if applicable, as an attachment to the 
budget sheets.

C. Submission Dates and Times

    You must submit an original and three copies of your application on 
or before July 13, 2004. Refer to the General Section of the SuperNOFA 
for additional requirements such as delivery times, acceptable 
submission

[[Page 27247]]

methods, acceptable proof of delivery, the timing of hand-delivered 
submissions and postmarks, and other information regarding application 
submission.

D. Intergovernmental Review

    Funding received through this NOFA is not subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix C of this NOFA.
    2. Purchase of Real Property is not an allowable cost under this 
program.
    3. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000 is not an allowable cost, unless prior written approval is 
obtained from HUD.
    4. Medical treatment costs are not allowable under this program.

F. Other Submission Requirements

    1. Address for Submitting Applications. Submit an original and 
three copies of your application to: U.S. Department of Housing and 
Urban Development; Office of Healthy Homes and Lead Hazard Control; 
ATTN: Lead Technical Studies Program; 451 Seventh Street, SW, Room 
P3206; Washington, DC 20410-3000.
    2. Application Submission. See the General Section of the SuperNOFA 
for specific procedures concerning the form of application submission 
(e.g., mailed applications, express mail, or overnight delivery).

V. Application Review Information

A. Criteria

    1. Threshold Requirements. 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 in this program NOFA. Your application must receive a total 
score of at least 75 points to remain in consideration for funding.
    2. Rating and Ranking. Applications will be reviewed by an 
Application Review Panel (ARP) which will assign each application a 
score based on the rating factors presented below. The ARP chairperson 
selects and provides at least one application to panel members to score 
during a calibration round to ensure that all panel members are 
consistent in their application of the rating factors. When the 
calibration round is completed, each application is reviewed and scored 
by at least two panel members. If significant scoring discrepancies are 
identified among the reviewers of an application, the reviewers discuss 
their differences and are then given an opportunity to rescore the 
application among themselves and, if needed, with the full ARP. An 
average score is then computed for each application. The ARP chair may 
call upon an advisor (generally a scientist with another federal 
agency) to the ARP to review and comment on a proposal; however, the 
advisor does not score the application. At a final meeting, the ARP 
identifies the top-ranking applications to be recommended for funding.
    3. Award Factors. The factors for rating and ranking applicants, 
and maximum points for each factor, are provided below. Each factor is 
weighted as indicated by the number of points that are attainable for 
it. The maximum score that can be assigned to an application is 102 
points. Applicants should be certain that these factors are adequately 
addressed in the project description and accompanying materials. The 
five rating factors are listed below (a more detailed description 
follows);
    Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (22 points);
    Rating Factor 2: Need/Extent of the Problem (15 points);
    Rating Factor 3: Soundness of Approach (45 points);
    Rating Factor 4: Leveraging Resources (8 points);
    Rating Factor 5: Achieving Results and Program Evaluation (10 
points);
    RC/EZ/EC Bonus Points (2 points);
    TOTAL: 102 points
    Applicants are eligible to receive two bonus points for projects 
located within federally designated Renewable Communities (RC)/
Employment Zones (EZ)/Enterprise Communities (EC) (RC/EZ/ECs) and which 
will serve the residents of these communities (see the General Section 
of the SuperNOFA).
    You will receive one point under Rating Factor 3.c(2) for each of 
the applicable FY 2004 policy priorities that are adequately addressed 
in your application with the exception of ``Removal of Barriers to 
Affordable Housing,'' for which you can receive up to two points (see 
the General Section of the SuperNOFA). Policy priorities that are 
applicable to the Lead Technical Studies Program NOFA are: (1) 
Improving our Nation's Communities (focus on distressed communities); 
(2) Providing Full and Equal Access to Grass-Roots Faith-based and 
other Community-based Organizations in HUD Program Implementation; (3) 
Participation of Minority-Serving Institutions in HUD Programs, and (4) 
Removal of Barriers to Affordable Housing.
    Within the program areas, you may address more than one of the 
technical study topic areas within your proposal or submit separate 
applications for different topic areas. You are encouraged to plan 
projects that can be completed over a short time period (e.g., 18 to 24 
months from the date of award, so useful information generated from the 
technical studies can be available for policy or program decisions and 
disseminated to the public as quickly as possible.
    The following is a description of the five award factors and their 
associated subfactors.
    a. Rating Factor 1. Capacity of the Applicant and Relevant 
Organizational Experience (22 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, subrecipients, 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 (14 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 technical study that is 
proposed under this NOFA; and
    (2) Past performance of the study team in managing similar projects 
(8 points). Demonstrated ability to successfully manage various aspects 
of a complex technical study in such areas as logistics, study 
personnel management, data management, quality control, community study 
involvement (if applicable), and report writing, as well as overall 
success in project completion (i.e., projects 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.
    If applicable, provide the past performance of the organization 
(applicant or partners) in another

[[Page 27248]]

Healthy Homes or Lead Hazard Control grant, another grant related to 
environmental health and safety issues, or other experience in a 
similar program. Provide details about the nature of the project, the 
funding agency, and your performance.
    If your organization is an existing Lead Technical Studies grantee, 
provide a description of the progress and outcomes achieved in that 
grant. If you received previous Lead Technical Studies funding, this 
experience will be evaluated in terms of cumulative progress and 
achievements under the previous grant.
    b. Rating Factor 2. Need/Extent of the Problem (15 Points). This 
factor addresses the extent to which there is a need for your proposed 
technical study. In responding to this factor, you should document in 
detail how your project 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 Section I.B. You should 
demonstrate how your proposed study addresses a need with respect to 
the development of improved methods for the assessment and control of 
residential lead-based paint hazards. Specific topics to be addressed 
for this factor include:
    (1) Provide a concise review of the research need that is addressed 
in your study and why it is high priority with respect to improving 
methods for lead hazard detection and control;
    (2) Discuss how your proposed project would significantly advance 
the current state of knowledge for your focus area, especially with 
respect to the development of practical solutions; and,
    (3) Discuss how you anticipate your study findings will be used to 
improve current methods for assessing or mitigating the lead hazard 
that your study addresses. Indicate why the method/protocol that would 
be improved through your study would likely be widely adopted (e.g., 
low cost, easily replicated, lack of other options).
    c. Rating Factor 3. Soundness of Approach (45 Points). This factor 
addresses the quality of your proposed technical study plan. Specific 
components include:
    (1) Soundness of the study design (20 points). The project 
description/study design must be thorough and feasible, and reflect 
your knowledge of the relevant scientific literature. You should 
clearly describe how your study builds upon the current state of 
knowledge for your focus area. If possible, your study should be 
designed to address testable hypotheses, which are clearly stated. Your 
study design should be statistically based, with adequate power to test 
your stated hypotheses. The study design should be presented as a 
logical sequence of steps or phases, with individual tasks described 
for each phase. You should identify any important ``decision points'' 
in your study plan and you should discuss plans for data management, 
analysis and archiving.
    (2) Policy Priorities (5 points). Indicate if your proposed study 
will address any of the FY2004 policy priorities that are applicable to 
this program as identified in Section V.A.3 (see the General Section of 
the SuperNOFA for additional details regarding these policy 
priorities). You will receive one point for each of the applicable 
policy priorities that are addressed in your application, with the 
exception of ``Removal Of Barriers to Affordable Housing,'' for which 
you can receive a maximum of 2 points.
    (3) Quality assurance mechanisms (8 points). You must describe the 
quality assurance mechanisms that will be integrated into your project 
design to ensure the validity and quality of the results.
    (a) Areas to be addressed include acceptance criteria for data 
quality, procedures for selection of samples/sample sites, sample 
handling, measurement and analysis, pre-testing and validation of 
questionnaires or surveys, measures to ensure accuracy during data 
management, and any standard/nonstandard quality assurance/control 
procedures to be followed. Documents (e.g., government reports, peer-
reviewed academic literature) that provide the basis for your quality 
assurance mechanisms should be cited.
    (b) If your project involves human subjects in a manner which 
requires Institutional Review Board (IRB) approval and periodic 
monitoring, address how you will obtain such approval. Before you can 
receive funds from HUD for activities that require IRB approval, you 
must provide an assurance that your study has been reviewed and 
approved by an IRB and evidence of your organization's ``institutional 
assurance.'' Describe how you will provide informed consent (e.g., from 
the subjects, their parents or their guardians, as applicable) to help 
ensure their understanding of, and consent to, the elements of informed 
consent, such as the purposes, benefits and risks of the research. 
Describe how this information will be provided and how the consent will 
be collected. For example, describe your use of ``plain language'' 
forms, flyers and verbal scripts, and how you plan to work with 
families with limited English proficiency or primary languages other 
than English, and with families including persons with disabilities.
    (4) Project management plan (8 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. You are encouraged to plan a project with a 
duration of 24 months or less (36 months maximum). You should include 
preparation of one or more articles for peer-reviewed academic journals 
and submission of the draft(s) to the journal(s) after HUD acceptance 
during the period of performance of your grant.
    (5) Budget Proposal (4 points).
    (a) Your budget proposal should thoroughly estimate all applicable 
direct and indirect costs, and be presented in a clear and coherent 
format in accordance with the requirements listed in the General 
Section of this NOFA. HUD is not required to approve or fund all 
proposed activities. You must thoroughly document and justify all 
budget categories and costs (Form HUD-424-CBW) and all major tasks, for 
yourself, sub-recipients, partners, major subcontractors, joint venture 
participants, or others contributing resources to the project. A 
separate budget must be provided for partners who are proposed to 
receive more than 10 percent of the federal budget request.
    (b) Your narrative justification associated with these budgeted 
costs should be included as an attachment to the Total Budget (Federal 
Share and Matching), but does not count in the 25-page limit for this 
submission.
    (c) The application will not be rated on the proposed cost; 
however, cost will be considered in addition to the rated factors to 
determine the proposal most advantageous to the federal government. 
Cost will be the deciding factor when proposals ranked under the listed 
factors are considered acceptable and are substantially equal.
    d. Rating Factor 4. Leveraging Resources (8 Points). Your proposal 
should demonstrate that the effectiveness of HUD's Lead Technical 
Studies grant funds is being increased by securing other public and/or 
private resources or by structuring the project in a cost-effective 
manner, such as integrating the project into an existing study. 
Resources may include funding or in-kind contributions (such as 
services, facilities or equipment) allocated to the purpose(s) of your 
project. Staff and in-kind contributions should be assigned a monetary 
value.

[[Page 27249]]

    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 project efforts. Each letter of 
commitment, memorandum of understanding, or agreement to participate 
must 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.
    e. Rating Factor 5. Achieving Results and Program Evaluation (10 
Points). This factor emphasizes HUD's commitment to ensuring that 
applicants keep promises made in their applications and assess their 
performance to ensure performance goals are met. Achieving results 
means you, the applicant, have clearly identified the benefits or 
outcomes of your program. Outcomes are ultimate goals. Benchmarks or 
outputs are interim activities or products that lead to the ultimate 
achievement of your goals.
    Program evaluation requires that you, the applicant, identify 
program outcomes, interim products or benchmarks, and performance 
indicators that will allow you to measure your performance. Performance 
indicators should be objectively quantifiable and measure actual 
achievements against anticipated achievements. Your evaluation plan 
should identify what you are going to measure, how you are going to 
measure it, and the steps you have in place to make adjustments to your 
work plan if performance targets are not met within established 
timeframes.
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. In evaluating this factor, HUD 
will consider how you have described outcome measures and benefits of 
your program.
    In your response to this Rating Factor you are to discuss the 
performance goals for your project and identify specific outcome 
measures. You are also to describe how the outcome information will be 
obtained, documented, and reported. You must complete and return the 
Logic Model Form included in Appendix A of the General Section of the 
SuperNOFA showing your proposed project long-term, mid-term, short-term 
and final results. Information about developing a Logic Model is 
available at: http://www.hud.gov.
    Also, in responding to this factor, you should:
    (1) Identify benchmarks that you will use to track the progress of 
your study;
    (2) Identify important study milestones (e.g., the end of specific 
phases in a multiphase study which should also be clearly indicated in 
your study timeline;
    (3) Identify milestones that are critical for achieving study 
objectives (e.g., recruitment of study participants, developing a new 
analytical protocol), potential obstacles in meeting these objectives, 
and how you would respond to these obstacles;
    (4) Identify how your program will be held accountable for meeting 
program goals, objectives, and the actions undertaken in implementing 
the grant program.

B. Review and Selection Process

    1. Corrections To Deficient Applications. The General Section of 
this SuperNOFA provides the procedures for correcting deficient 
applications.
    2. Rating and Ranking. Awards will be made separately in rank order 
for Lead Technical Studies applications, within the limits of funding 
availability for the program.
    a. Partial Funding. 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 14 calendar 
days to accept such a reduced award. If you fail to respond within the 
14-day limit, you shall be considered to have declined the award.
    b. Remaining Funds. See the General Section of this NOFA for HUD's 
procedures if funds remain after all selections have been made within a 
category of the Lead Technical Studies Program.

C. Anticipated Announcement and Award Dates

    The anticipated date for the announcement of awards under the Lead 
technical Studies Program is September 30, 2004.

VI. Award Administration Information

A. Award Notices

    1. Notice of Award. Applicants who have been selected for award 
will be notified by letter from the Grant Officer. The letter will 
state the program for which the application has been selected, the 
amount the applicant is eligible to receive, and the name of the 
Government Technical Representative (GTR).
    HUD may require that all the selected applicants 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, and proceed with 
negotiations with the next highest-ranking applicant. If you accept the 
terms and conditions of the grant, you must return your signed grant 
agreement by the date specified during negotiation.
    After receiving the letter, additional instructions on how to have 
the grant account entered into HUD's Line of Credit Control System 
(LOCCS) payment system will be provided. Other forms and program 
requirements will also be provided.
    In accordance with OMB Circular A-133 (Audits of States, Local 
Governments and Non-Profit Organizations), grantees will have to submit 
their completed audit-reporting package along with the Data Collection 
Form (SF-SAC) to the Single Audit Clearinghouse, the address can be 
obtained from their Web site. The SF-SAC can be downloaded at: http://harvester.census.gov/sac/.
    2. Debriefing. The General Section of the SuperNOFA provides the 
procedures that applicants should follow for requesting a debriefing.

B. Administrative and National Policy Requirements

    1. Environmental Requirements. In accordance with 24 CFR 
50.19(b)(1) and (b)(5), 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.
    2. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. If awarded assistance under this NOFA, prior to 
entering into a grant agreement with HUD, you will be required to 
submit a copy of your code of conduct and describe the methods you will 
use to ensure that all officers, employees, and agents of your 
organization are aware of your code of conduct. See the General Section 
of the SuperNOFA for information about conducting business in 
accordance with HUD's core values and ethical standards.
    3. Participation in HUD-Sponsored Program Evaluation. See the 
General Section of the SuperNOFA.

[[Page 27250]]

    4. Removal of Barriers to Affordable Housing. See the General 
Section of the SuperNOFA.
    5. HUD Reform Act of 1989. The provisions of the HUD Reform Act of 
1989 that apply to this NOFA are explained in the General Section of 
the SuperNOFA.

C. Reporting

    1. Post Award Reporting Requirements. Final budget and work plans 
are due 60 days after the start date.
    2. Quality Assurance Plan (QAP). Successful applicants will be 
required to submit a Quality Assurance Plan to HUD prior to initiating 
work under the grant. This is a streamlined version of the format used 
by some other federal agencies, and is intended to help ensure the 
accuracy and validity of the data that you will collect under the 
grant. You should plan for this and include it in your study work plan. 
(See the HUD Office of Healthy Homes and Lead Hazard Control's Internet 
site at: http://www.hud.gov/offices/lead.)
    3. Progress Reporting. Progress reporting is required on a 
quarterly basis.
    4. Racial and Ethnic Beneficiary Data. HUD does not require 
grantees to collect racial and ethnic beneficiary data for this 
program. If, however, racial and ethnic data are collected and reported 
as part of a study funded under this program NOFA, you must use the 
Office of Management and Budget's Standards for the Collection of 
Racial and Ethnic Data as presented on Form HUD-27061, Racial and 
Ethnic Data Reporting Form (and instructions for its use), found at: 
http://www.grants.gov.
    5. Final Report. The grant agreement will specify the requirements 
for final reporting (e.g., scientific manuscript, report).

VII. Agency Contacts

    For technical or programmatic questions, you may contact Dr. Peter 
Ashley, Office of Healthy Homes and Lead Hazard Control, at the address 
above; telephone (202) 755-1785, extension 115 (this is not a toll-free 
number) or via e-mail at [email protected]. For grants 
administrative questions, you may contact Ms. Curtissa L. Coleman, 
Office of Healthy Homes and Lead Hazard Control, at the address above; 
telephone (202) 755-1785, extension 119 (this is not a toll-free 
number) or via e-mail at [email protected]. If you are a 
hearing- or speech-impaired person, you may reach the above telephone 
numbers through TTY by calling the toll-free Federal Information Relay 
Service at 800-877-8339.

VIII. Other Information

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2539-0015. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 80 hours per application and 16 hours per grant award. This 
includes the time for collecting, reviewing, and reporting the data. 
The information will be used for grantee selection & monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

Appendix A--Relevant Publications and Guidelines

    To secure any of the documents listed, call the telephone number 
provided. If you are a hearing- or speech-impaired person, you may 
reach the telephone numbers via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. A number of these 
references are provided on HUD's CD, ``Residential Lead Desktop 
Reference, 3rd Edition.'' This CD can be obtained at no charge by 
calling the National Lead Information Clearinghouse's (NLIC's) toll 
free number, 800-424-LEAD. Several of these references can be 
downloaded from the Internet without charge from the HUD Office of 
Healthy Homes and Lead Hazard Control's Internet site at: http://www.hud.gov/offices/lead.
    1. Regulations:
    a. Worker Protection: The two Occupational and Safety 
Administration (OSHA) publications listed below can be purchased by 
calling either OSHA Regulations at 202-693-1888 (OSHA Regulations) 
(this is not a toll free number) or the Government Printing Office 
(GPO) at 202-512-1800 (this is not a toll-free number). If you are a 
hearing- or speech-impaired person, you may reach these telephone 
numbers through TTY by calling the toll-free Federal Information 
Relay Service at 800-877-8339.
    (1) General Industry Lead Standard, 29 CFR 1910.1025 (Document 
Number 869022001124). This document can be downloaded without charge 
from the OSHA Web site at: http://www.osha-slc.gov/OshStd_data/1910_1025.html;
    (2) Lead in Construction, 29 CFR 1926.62, and appendices A, B, 
C, and D (Document Number 869022001141). This document can be 
downloaded without charge from the OSHA Web site at: http://
www.osha-slc.gov/OshStd_data/1926_0062.html.
    b. Waste Disposal. A copy of the EPA regulations at 40 CFR parts 
260-268 can be purchased by calling 800-424-9346, or, from the 
Washington, DC, metropolitan area, by calling 703-412-9810 (this is 
not a toll-free number). If you are a hearing- or speech-impaired 
person, you may reach this telephone number through TTY by calling 
the toll-free Federal Information Relay Service at 800-877-8339. The 
regulations can also be downloaded without charge from the EPA Web 
site at: http://www.epa.gov/docs/epacfr40/chapt-I.info/subch-I/htm.
    c. Lead.
    (1) 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) can be purchased by calling the Toxic 
Substances Control Act (TSCA) Hotline at 202-554-1404 (this is not a 
toll-free number). If you are a hearing- or speech-impaired person, 
you may reach this telephone number through TTY by calling the toll-
free Federal Information Relay Service at 800-877-8339. The rule and 
guidance can be downloaded from the Internet without charge at: 
http://www.epa.gov/lead/.
    (2) 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 B through R, published September 15, 1999 (64 FR 50201) 
(HUD) can be purchased by calling NLIC's toll-free number (800-424-
LEAD) or downloaded without charge from the HUD Web site at: http://www.hud.gov/offices/lead.
    (3) Requirements for Disclosure of Information Concerning Lead-
Based Paint in Housing, 24 CFR part 35, Subpart A (HUD, Lead-Based 
Paint Disclosure Rule) by calling the NLIC's toll free number (800-
424-LEAD). If you are a hearing- or speech-impaired person, you may 
reach this telephone number through TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339. The rule, 
guidance, pamphlet and disclosure formats can be downloaded from the 
HUD Web site at: http://www.hud.gov/offices/lead.
    (4) U.S. Environmental Protection Agency. Lead; Identification 
of Dangerous Levels of Lead; Final Rule at 66 FR 1205-1240 (January 
5, 2001). This rule and guidance can be obtained without charge by 
calling the NLIC's toll free number (800-424-LEAD) or by calling the 
TSCA at 202-554-1404 (this is not a toll-free number). The rule and 
guidance can be downloaded from the EPA Web site at: http://
www.epa.gov/lead/leadhaz.htm.
    2. Guidelines:
    a. Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing; HUD, June 1995, and amended September 1997. 
These guidelines can be purchased by calling 800-245-2691 toll-free. 
If you are a hearing- or speech-impaired

[[Page 27251]]

person, you may reach this telephone number through TTY by calling 
the toll-free Federal Information Relay Service at 800-877-8339. The 
Guidelines can be downloaded from the HUD Web site without charge 
at: http://www.hud.gov/offices/lead.
    b. Preventing Lead Poisoning in Young Children; Centers for 
Disease Control, October 1991. These guidelines can be obtained 
without charge by calling the CDC toll free number at 888-232-6789. 
If you are a hearing- or speech-impaired person, you may reach this 
telephone number through TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. The guidelines can also 
be downloaded from the HUD Web site without charge at: http://www.hud.gov/offices/lead.
    c. Screening Young Children for Lead Poisoning: Guidance for 
State and Local Public Health Officials, November 1997; Centers for 
Disease Control and Prevention (CDC). These guidelines can be 
obtained without charge by calling the CDC toll-free number at 888-
232-6789 or they can be downloaded from the HUD Web site at: http://www.hud.gov/offices/lead.
    3. Reports and Articles:
    a. Putting the Pieces Together: Controlling Lead Hazards in the 
Nation's Housing, (Summary and Full Report); HUD, July 1995. A copy 
of this summary and report can be purchased by calling 800-245-2691 
toll-free or downloaded from the HUD Web site without charge at: 
http://www.hud.gov/offices/lead.
    b. The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, July 1995. A copy of this summary and report can 
be downloaded from the HUD Web site without charge at: http://www.hud.gov/offices/lead.
    c. Rom W.N., Ed. Environmental and Occupational Medicine. 
Little, Brown and Co., Boston. 1992.
    d. Morbidity and Mortality Weekly Report (MMWR). Update: Blood 
Lead Level-United States, 1991-1994. U.S. Department of Health and 
Human Services, Centers for Disease Control and Prevention. February 
21, 1997. Vol. 46, No 7.
    e. Jacobs, D.E., R.P. Clickner, J.Y. Zhou, et al., 2002. 
Prevalence of Lead-Based Paint in U.S. Housing. Env. Health Persp. 
110(10): A599-A606.
    f. Galke, W., S. Clark, J. Wilson, et al., 2001. Evaluation of 
the HUD lead hazard control grant program: Early overall findings. 
Env. Res. 86, 149-156.
BILLING CODE 4210-32-P

[[Page 27252]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.131

BILLING CODE 4210-32-C

[[Page 27253]]

Appendix C--Administrative Costs

I. Purpose

    The intent of this HUD grant program is to allow the Grantee to 
be reimbursed for the reasonable direct and indirect costs, subject 
to a top limit, for overall management of the grant. In most 
instances the grantee, whether a state or a local government, 
principally serves as a conduit to pass funding to sub-grantees, 
which are to be responsible for the conducting lead-hazard reduction 
work. Congress set a top limit of 10 percent of the total grant sum 
for the grantee to perform the function of overall management of the 
grant program, including passing on funding to sub-grantees. The 
cost of that function, for the purpose of this grant, is defined as 
the ``administrative cost'' of the grant, and is limited to 10 
percent of the total grant amount. The balance of 90 percent or more 
of the total grant sum is reserved for project implementation 
activities.

II. Administrative Costs: What They Are Not

    For the purposes of this HUD grant program, ``administrative 
costs'' should not be confused with the terms ``general and 
administrative cost,'' ``indirect costs,'' ``overhead,'' and 
``burden rate.'' These are accounting terms usually represented by a 
government-accepted standard percentage rate. The percentage rate 
allocates a fair share of an organization's costs that cannot be 
attributed to a particular project or department (such as the chief 
executive's salary or the costs of the organization's headquarters 
building) to all projects and operating departments (such as the 
Fire Department, the Police Department, the Community Development 
Department, the Health Department or this program). Such allocated 
costs are added to those projects' or departments' direct costs to 
determine their total costs to the organization.

III. Administrative Costs: What They Are

    For the purposes of this HUD grant program, ``Administrative 
Costs'' are the grantee's allowable direct costs for the overall 
management of the grant program plus the allocable indirect costs. 
The allowable limit of such costs that can be reimbursed under this 
program is 10 percent of the total grant sum. Should the grantee's 
actual costs for overall management of the grant program exceed 10 
percent of the total grant sum, those excess costs shall be paid for 
by the grantee. However, excess costs paid for by the grantee may be 
shown as part of the requirement for cost-sharing funds to support 
the grant.

IV. Administrative Costs: Definition

A. General

    Administrative costs are the allowable, reasonable, and 
allocable direct and indirect costs related to the overall 
management of the project activities that are supported by the HUD 
grant. Those costs shall be segregated in a separate cost center 
within the grantee's accounting system, and they are eligible costs 
for reimbursement as part of the grant, subject to the 10 percent 
limit. Such administrative costs do not include any of the staff and 
overhead costs directly arising from specific sub-grantee program 
activities eligible under this NOFA, because those costs are 
eligible for reimbursement under a separate cost center as a direct 
part of project activities.
    The grantee may elect to serve solely as a conduit to sub-
grantees, who will in turn perform the direct program activities 
eligible under this NOFA, or the grantee may elect to perform all or 
a part of the direct program activities in other parts of its own 
organization, which shall have their own segregated, cost centers 
for those direct program activities. In either case, not more than 
10 percent of the total HUD grant sum may be devoted to 
administrative costs, and not less than 90 percent of the total 
grant sum shall be devoted to direct program activities. The grantee 
shall take care not to mix or attribute administrative costs to the 
direct project cost centers.

B. Specific

    Reasonable costs for the grantee's overall grant management, 
coordination, monitoring, and evaluation are eligible administrative 
costs. Subject to the 10 percent limit, such costs include, but are 
not limited to, necessary expenditures for the following goods, 
activities and services:
    (1) Salaries, wages, and related costs of the grantee's staff, 
the staff of affiliated public agencies, or other staff engaged in 
grantee's overall grant management activities. In charging costs to 
this category the recipient may either include the entire salary, 
wages, and related costs allocable to the program for each person 
whose primary responsibilities (more than 65 percent of their time) 
with regard to the grant program involve direct overall grant 
management assignments, or the pro rata share of the salary, wages, 
and related costs of each person whose job includes any overall 
grant management assignments. The grantee may use only one of these 
two methods during this program. Overall grant management includes 
the following types of activities:
    (a) Preparing grantee program budgets and schedules, and 
amendments thereto;
    (b) Developing systems for the selection and award of funding to 
sub-grantees and other subrecipients;
    (c) Developing suitable agreements for use with sub-grantees and 
other subrecipients to carry out grant activities;
    (d) Developing systems for assuring compliance with program 
requirements;
    (e) Monitoring sub-grantee and subrecipient activities for 
progress and compliance with program requirements;
    (f) Preparing presentations, reports, and other documents 
related to the program for submission to HUD;
    (g) Evaluating program results against stated objectives;
    (h) Providing local officials and citizens with information 
about the overall grant program; however, a more general education 
program, helping the public understand the nature of lead hazards, 
lead hazard reduction, blood-lead screening, and the health 
consequences of lead poisoning is a direct project support 
activity);
    (i) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (j) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (2) Travel costs incurred for official business in carrying out 
the overall grant management;
    (3) Administrative services performed under third party 
contracts or agreements, for services directly allocable to grant 
management such as: legal services, accounting services, and audit 
services;
    (4) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and 
including such goods and services as telephone, postage, rental of 
equipment, renter's insurance for the program management space, 
utilities, office supplies, and rental and maintenance (but not 
purchase) of office space for the program.
    (5) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related 
costs for local officials (e.g., mayor and city council members, 
etc.), and expenses for a city's legal or accounting department 
which are not charged back to particular projects or other operating 
departments. If a grantee has an established burden rate, it should 
be used; if not, the grantee shall be assigned a negotiated 
provisional burden rate, subject to final audit.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27255]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.132

BILLING CODE 4210-32-C

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27257]]



Lead Outreach Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead Outreach Grant Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register Number is: FR-
4900-N-08. The OMB Approval Number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.904, 
Lead Outreach Grant Program.
    F. Dates: An original and three copies of your application must be 
submitted on or before July 13, 2004. See the General Section of the 
SuperNOFA Section IV., Application and Submission Information, 
regarding application submission procedures and timely filing 
requirements.
    G. Additional Overview Content Information:
    1. Purpose. This funding opportunity is for community-based 
organizations, faith-based organizations, states, Tribes, and units of 
general local government to increase enrollment of low-income housing 
units for treatment via the HUD lead hazard control grant program or 
another lead hazard treatment program, to develop and distribute 
outreach and educational materials, and to encourage occupants to 
identify potential lead-based paint hazards and report them to property 
owners and managers, and public health and/or housing officials as 
appropriate.
    2. Available Funds. Approximately $2,000,000.
    3. Number of Awards. Between approximately 4 and approximately 10 
grants may be awarded, ranging between approximately $200,000 and 
approximately $500,000.
    4. Type of Awards. The awards will be made as grants.
    5. Eligible Applicants. Community-based and faith-based 
organizations, states, Tribes, and units of general local government 
are eligible. Partnerships are encouraged, including partnerships with 
educational institutions and other entities such as groups of parents 
of lead-poisoned children, although the application must be made by a 
single entity. Forty percent of the available funding will be reserved 
for States, Tribes, and units of local governments, with the balance 
available for community-based and faith-based organizations. Applicants 
must identify whether they are applying as a community-based 
organization or as a unit of a state, Tribal, or local government.
    6. Matching Funds. No match or cost sharing is required. However, 
leveraging is encouraged. See Section V., Rating Factor 4.
    7. Limitations on Applications. There are no limitations on the 
numbers of applications that each applicant may submit.

Full Text of Announcement

I. Funding Opportunity Description

A. Purpose of the Program

    The purpose of this lead outreach grant program is to:
    1. Increase enrollment of low-income housing units for treatment 
via the HUD lead hazard control grant program or another lead hazard 
treatment program;
    2. Develop and distribute outreach and educational materials in 
order to raise public awareness of childhood lead poisoning, its 
prevention and proper lead hazard identification and control methods 
for at-risk communities, at-risk populations of children and workers in 
the housing maintenance or rehabilitation fields; and
    3. Encourage occupants to identify potential lead-based paint 
hazards and report them to property owners and managers, and public 
health and/or housing officials as appropriate.

B. Background

    Lead toxicity in children has been well established, yet childhood 
lead poisoning is the primary childhood environmental health problem in 
the United States today. The Centers for Disease Control and Prevention 
has found, for example, for children under age 6, that about 434,000 
have elevated blood lead levels, and that those who are non-Hispanic 
blacks or Hispanic are more likely to have elevated blood lead levels 
than those who are non-Hispanic whites. The February 2000 report of the 
President's Task Force on Environmental Health Risks and Safety Risks 
to Children, titled ``Eliminating Childhood Lead Poisoning: A Federal 
Strategy Targeting Lead Paint Hazards,'' sets forth what action needs 
to be taken to prevent such poisoning. In addition to contributing to 
the elimination of lead hazards in housing occupied by low-income 
families with children, the federal government's public education and 
outreach activities should measurably increase the public's awareness 
of lead hazards and how to address them.
    In keeping with the mandate of section 1011(g)(1) of Title X, the 
Residential Lead-Base Paint Hazard Reduction Act of 1992, Public Law 
102-550, 106 Stat. 3672, October 28, 1992, for HUD ``develop the 
capacity of eligible applicants * * * to carry out activities under'' 
lead hazard control grant programs, HUD has conducted outreach and 
public education initiatives through the Lead Hazard Control Grant 
program, the National Lead Information Center, and other education and 
outreach initiatives.
    Lead Hazard Control grants are awarded competitively to eligible 
states, tribes, or units of local government to perform lead hazard 
reduction in low-income privately owned pre-1978 housing. Lead outreach 
activities contribute to building the capacity of jurisdictions to 
submit successful applications for lead hazard control grants, because 
they have the effect of inducing local businesses to enter into the 
lead hazard control field before jurisdictions apply for the grants 
and, thus, increase jurisdictions' ability to demonstrate their 
capacity to meet the grant's requirements. These inducements can be 
expressed by the market directly, and/or through the efforts of the 
jurisdictions.
    HUD's lead awareness supplement to the Current Population Survey 
has determined that only a fraction of citizens are well-educated about 
how lead-based paint hazards threaten young children and are more 
common in older housing. One consequence of this low level of awareness 
is that few housing construction and maintenance business owners are 
aware of the extent of lead-based paint hazards.
    Lead outreach activities have the effect of encouraging residents 
of older low-income housing to prompt their state, tribal or local 
governments to control lead-based paint hazards. In turn, these 
governments are induced to consider obtaining funding under the HUD 
Lead Hazard Control Grant Program, or perform lead hazard reduction in 
conjunction with other housing, health or environmental activities. In 
practice, this can be done only if housing owners and occupants are 
aware of and apply for enrollment in lead hazard treatment programs. 
Potential applicant agencies are, thereby, induced to promote lead 
hazard control activities locally, by working with private-sector 
stakeholders (e.g., grassroots organizations, including faith-based and 
community-based non-profit organizations, community colleges, etc.). As 
described above, HUD's outreach efforts contribute to the timely 
performance of successful lead hazard control work and associated 
capacity building.

[[Page 27258]]

II. Award Information

A. Available Funding

    Approximately $2,000,000 in Fiscal Year 2004 funds from the lead 
technical assistance set aside under the lead hazard reduction 
appropriation will be available for the Lead Outreach Program. Grants 
will be awarded on a competitive basis following evaluation of all 
proposals according to the Rating Factors described in Section V. of 
this program section. The amounts included in this program are subject 
to change based on fund availability.

B. Match

    No match or cost sharing is required. However, leveraging is 
encouraged. See Section V., Rating Factor 4.

C. Anticipated Awards

    Between 4 and 10 community-based or faith-based organizations, 
states, Tribes, or units of general local government could receive 
grant awards ranging between approximately $200,000 and $500,000.

D. Award Instrument

    1. Grants. Awards will be made as grants.
    2. Award Adjustments. No award adjustments are anticipated.
    3. Award Period. Grants will be awarded for 24-month periods of 
performance.
    4. Renewal Options. No renewal options are planned at this time. At 
the completion of a grant, the grantee may competitively apply for a 
new grant, assuming that this program will continue to be funded. 
Applications for renewal or supplementation of existing projects are 
eligible to compete with applications for new awards.
    5. Start Date. The anticipated start dates for new awards is 
October 1, 2004.

E. Period of Performance

    The period of performance cannot exceed 24 months from the date of 
the award, except that HUD reserves the right to approve no cost time 
extensions for a total period not to exceed 12 months.

III. Eligibility Information

A. Eligible Applicants

    Community-based and faith-based organizations, states, Tribes, and 
units of general local government are eligible. Partnerships are 
encouraged, including partnerships with educational institutions and 
other entities such as groups of parents of lead-poisoned children, 
although the application must be made by a single entity. Forty percent 
of the available funding will be reserved for states, Tribes, and units 
of local governments, with the balance available for community-based 
and faith-based organizations. Applicants must identify whether they 
are applying as a community-based organization or as a unit of a state, 
Tribal, or local government.
    Nonprofit organizations, such as groups of parents of lead poisoned 
children, grassroots organizations including faith-based and community-
based nonprofit organizations, educational institutions and Fair 
Housing Organizations, and advocates for various minority and ethnic 
groups and for persons with a variety of disabilities can also be sub-
grantees or sub-contractors.

B. Cost Sharing or Matching Requirements

    None required. In rating your application, however, you will 
receive a higher score under Rating Factor 4 if you provide evidence of 
significant cost sharing.

C. Other

1. Eligible Activities
    a. Eligible activities to be funded under this program include, but 
are not limited to, developing and conducting education and outreach 
campaigns in high-risk communities to:

--Increase lead awareness.
--Encourage owners and low-income occupants to enroll their housing 
units in programs conducting lead hazard control activities.
--Encourage owners and low-income occupants to identify potential lead-
based paint hazards and report them to property owners and managers, 
and public health and/or housing officials as appropriate.

    HUD is interested in promoting effective approaches that result in 
the reduction of lead poisoning for the maximum number of children, 
and, in particular, low-income children. Section II of the General 
Section of the SuperNOFA presents HUD's FY2004 Policy Priorities.
    Outreach can take various forms, depending on the intended 
audience(s). Activities may include publicizing and/or conducting 
events, developing and distributing publications in, for example, 
stores, schools, churches, community centers, or other neighborhood 
locations, making presentations, and/or forging partnerships to 
disseminate information to populations identified as being at-risk. 
Regardless of the form of outreach you choose to implement, all 
eligible activities must identify at-risk populations (or areas), 
propose an outreach program to meet those populations' information 
needs, and evaluate the program's performance.
    Eligible activities include:
    (1) Establishing partnerships with non-profit organizations and 
associations, such as grassroots organizations, including faith-based, 
parent, and community-based non-profit organizations, or corporations, 
retailers, construction organizations, and unions or for the purpose of 
coordinating or conducting joint activities;
    (2) Preparing publications, graphics, public service announcements, 
posters and entries for newspapers and magazines with local and/or 
regional distribution. These activities could include training local 
residents and businesses on identifying potential lead-based paint 
hazards, and lead-safe maintenance and renovation practices, etc.;
    (3) Making materials available in alternative formats for persons 
with disabilities (e.g., Braille, audio, large type) upon request, and 
providing materials in languages other than English that are common in 
the community, consistent with HUD's published LEP language. Applicants 
are encouraged to utilize minority media in an effort to achieve 
diversity in outreach and educational efforts. Applications that 
include development and distribution of media products in languages 
other than English must include a discussion of the applicant's (or 
subcontractor's) expertise in those languages and in meeting the 
informational needs of non-English-speaking, underserved populations.
    (4) Program planning and management costs of sub-grantees and other 
subrecipients are eligible activities.
2. Ineligible Activities
    a. Purchase of real property.
    b. Purchase or lease of equipment having a per-unit cost in excess 
of $5,000, unless prior written approval is obtained from HUD.
    c. Hazard abatement, hazard reduction, rehabilitation, remodeling, 
repair, or other construction work.
3. Threshold Requirements
    a. Threshold Requirements Applicable to all Applicants Under the 
SuperNOFA. As an applicant, you must meet all of the threshold 
requirements described in the General Section of the SuperNOFA. 
Threshold requirements include Ineligible Applicants, Compliance with 
Fair Housing and Civil Rights Laws, Conducting Business in Accordance 
with Core Values and

[[Page 27259]]

Ethical Standards, Delinquent Federal Debts, and Pre-Award Accounting 
System Surveys. Information about threshold requirements is provided in 
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 75 points to be considered for funding. Applications will not be 
rated or ranked if they do not meet the threshold requirements of the 
General Section of the SuperNOFA.
    b. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement.
4. Start of Work
    All awardees are expected to commence activity immediately upon 
completion of budget and work plan negotiations, and execution of the 
grant agreement.

IV. Application and Submission Information

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

A. Addresses To Request Application Package

    1. There is no Application Kit. All the information required to 
submit an application is contained in the program section of this NOFA 
and the General Section of the SuperNOFA. Forms can be downloaded from 
the Web at:  http://www.grants.gov.
    2. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
the 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/.

B. Content and Form of Application Submission

    1. Address for Submitting Applications. You, the applicant, must 
submit a complete application to: HUD Headquarters, Robert C. Weaver 
Building, 451 Seventh Street, SW., Room P3206; Washington, DC 20410; 
Attn: Lead Outreach Program.
    2. Application Information.
    a. Application Format. The application narrative response is 
limited to a maximum of 25 pages (excluding appendices and worksheets). 
Your response must be typewritten on one side only on 8\1/2\ x 11 inch 
paper using a standard 12-point font with not less than \3/4\ inch 
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.
    b. Applicant Data. Your application must contain all of the 
required information as noted in this Section of this NOFA and the 
General Section of the SuperNOFA. 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 the General Section of the SuperNOFA. The application items are as 
follows:
    (1) Transmittal letter (one-page only) that summarizes your 
proposed project, provides the dollar amount requested, and identifies 
you and your partners in the application. Provide the name, mailing 
address, and telephone number of the 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 primary entity.
    (2) Checklist and Submission Table of Contents. (voluntary) 
Inclusion of the checklist in your application is voluntary.
    (3) Application Abstract Summary. An abstract describing the goals 
and objectives of your proposed program (two-page maximum) must be 
included in the proposal.
    (4) All application forms found in the General Section of the 
SuperNOFA.
    (5) 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. Number pages consecutively. (The 25-page 
limit does not apply to the two-page abstract.) Key points to consider 
in preparing your application are provided in the General Section of 
this NOFA.
    (6) Within Appendix 1, provide the resumes and position 
descriptions of your project director, project manager and up to three 
additional key personnel (in accordance with Rating Factor 1). These 
should not exceed three pages each. This information will not be 
counted towards the page limit.
    (7) Any attachments, appendices, references, or other relevant 
information that directly support the narrative may accompany it in 
Appendix 2, but must not exceed 20 pages for your entire application. 
Any pages in excess of this limit will not be read. Number pages 
consecutively. Specific criteria for the content of the appendices for 
the Lead Outreach Grant Program application are listed in the Checklist 
and Submission Table of Contents.
    (8) Within Appendix 3, provide a detailed budget with supporting 
cost justification for all budget categories of your funding request, 
in accordance with Rating Factor 3. This information will not be 
counted towards the page limits. A detailed budget must also be 
provided for any subcontractors, subgrantees, or subrecipients 
receiving greater than 10 percent of the federal budget request. Use 
the budget format discussed in Section V.(A) Rating Factor 3(2)(b), 
below. In completing the budget forms and justification, you should 
address the following elements:
    (a) Direct Labor costs should include all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on FTE (full time equivalent) or hours per 
year (hours/year) (i.e., one FTE equals 2,080 hours/year);
    (b) You should budget for three trips to HUD Headquarters in 
Washington, DC, planning each trip for two people, assuming the first 
trip occurring shortly after grant award for a stay of three or four 
days, depending on your location, and the remaining trips having a stay 
of one or two days, depending on your location;
    (c) A separate budget proposal should be provided for any 
subrecipients receiving more than 10 percent of the total federal 
budget request;
    (d) You should be prepared to provide supporting documentation for 
salaries and prices of materials and equipment upon request;
    (e) Organizations that have a federally negotiated indirect rate 
should use that rate and the appropriate base. Other organizations not 
having a federally negotiated rate schedule, must obtain a rate from 
their cognizant federal agency, or the organization will be required to 
obtain a negotiated rate through HUD.
    (f) You should submit the negotiated rate agreements for fringe 
benefits and indirect costs, if applicable, as an attachment to the 
budget sheets.
    (9) Any information or materials that are not listed above will not 
be reviewed.

[[Page 27260]]

C. Submission Dates and Times

    1. Application Deadline. A completed original and 3 copies of your 
application must be submitted to HUD on or before the application due 
date, to the address shown above. The application due date is July 13, 
2004. Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.
    2. Application Submission Procedures. HUD has implemented security 
procedures that impact application submission. Please review the 
requirements for mailing and receipt of applications in the General 
Section of the SuperNOFA to ensure that your application is timely 
filed.
    3. Application Submission. See the General Section of the Super 
Notice of Funding Availability (SuperNOFA) for specific procedures 
concerning the form of application submission and requirements for 
receipt (e.g., mailed applications, express mail, or overnight 
delivery). Please note that the requirements for submission have been 
revised this year. Be advised that there is no Application Kit for this 
year's Lead Outreach Grant Program. This program NOFA clearly describes 
the requirements for completing a successful application and all forms 
and certifications needed to complete a successful application are 
included in the General Section and Lead Outreach Grant Program 
sections of the SuperNOFA.
    4. Number of Copies You, the applicant, must submit one original 
and three copies of your complete application to the Office of Healthy 
Homes and Lead Hazard Control, on or before the application due date.

D. Intergovernmental Review

    Not applicable to this program. See 24 CFR Part 52.

E. Funding Restrictions

    There is a 10 percent maximum for administrative costs for 
successful applicants. Additional information about allowable 
administrative costs is provided in Appendix D of this program section 
of the NOFA. Construction is not an allowable activity.

F. Other Submission Requirements

    1. Statement Regarding Other Grants and Applications. You need to 
disclose all grants that you are currently receiving from OHHLHC, and a 
list of the applications you have submitted or plan to submit for 
FY2004 for other OHHLHC grants.

V. Application Review Information

A. Application Selection Criteria

    1. Applications will be reviewed by an Application Review Panel 
(ARP) which will assign each application a score based on the rating 
factors presented below.
    2. 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 factors or their assigned points differ 
somewhat from those used for most program areas included in the 
SuperNOFA because they have been amended for rating the unique aspects 
of lead outreach grant applications. The maximum number of points to be 
awarded is 102, including the potential for two RC/EZ/EC bonus points, 
as described in the General Section of the SuperNOFA.
    3. Award Factors. Applications will be reviewed by a Source 
Evaluation Board which will assign each application a numerical score 
based on the rating factors presented below (see also Section V.(B) of 
the NOFA). Each factor is weighted as indicated by the number of points 
that are attainable for it. Applicants should be certain that these 
factors are adequately addressed in the project description and 
accompanying materials. The five rating factors are listed below.
    Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (20 points)
    Rating Factor 2: Need/Extent of the Problem (15 points)
    Rating Factor 3: Soundness of Approach (40 points)
    Rating Factor 4: Leveraging Resources (10 points)
    Rating Factor 5: Achieving Results and Program Evaluation (15 
points)
    RC/EZ/EC Bonus Points (2 points)
    TOTAL: 102 points
    Applicants are eligible to receive two bonus points for projects 
located within federally designated Renewable Communities (RC)/
Employment Zones (EZ)/Enterprise Communities (EC) (RC/EZ/ECs) and which 
will serve the residents of these communities (see the General Section 
of this NOFA).
    You will receive points under Rating Factor 3(1) for each of the 
applicable FY2004 policy priorities that are adequately addressed in 
your application, up to a maximum of four points (see the General 
Section of this NOFA). Policy priorities that are applicable to the 
lead outreach grant NOFA and eligible for one point each are: (1) 
Improving our Nation's Communities (focus on distressed communities); 
and (2) Providing full and equal access to grass-roots faith-based and 
other community-based organizations in HUD program implementation. 
Removal of barriers to affordable housing is eligible for up to 2 
points.
    You are encouraged to plan projects that can be completed over a 
short time period (e.g., 18 to 24 months from the date of award) so 
useful information generated from the outreach activities can be 
available for policy or program decisions and disseminated to the 
public as quickly as possible.
    a. 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 grassroots organizations, including faith-based and other 
community-based non-profit organizations, sub-contractors, consultants, 
subrecipients, and members of consortia that are firmly committed to 
your project. For all of the descriptions of personnel and 
organizational qualifications and experience in this factor, more 
points will be given for more recent relevant experience of high 
quality with this type of work, as documented below. Applicants who are 
funding or sub-contracting with grassroots organizations, including 
faith-based, and other community-based nonprofit organizations, in 
conducting their outreach programs should include the qualifications 
and experience of these organizations in responding to this rating 
factor. 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 outreach programs, especially those involving 
housing, public health, or environmental programs. In your narrative 
response for this factor, you should include information on your 
project staff, their experience, percentage commitment to the project, 
and position titles. You must provide resumes (or position descriptions 
and copies of job announcements including salary range, for vacant 
positions) of up to three pages each for the project director, project 
manager, and up to three key personnel, and a clearly delineated 
organizational chart for the Lead Outreach project in Appendix 1 of 
your application. Indicate the name and

[[Page 27261]]

the position of key personnel, the percentage of time that proposed 
staff 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. You may find it 
useful to include a table indicating the name, position and percentage 
contribution of staff members, specifying organizational affiliation.
    (2) Your qualifications to carry out the proposed activities as 
evidenced by experience, training, and/or relevant publications of 
project staff, and 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 and evaluating related health education, 
outreach and recruitment projects.
    (3) Your past performance in previous projects with an emphasis on 
health education, outreach and recruitment. Provide details about the 
nature of the project, the funding agency, and your performance, 
relative to performance measures or the achievement of desired health 
outcomes. If a subgrantee or subcontractor is an existing HUD lead 
outreach grantee, provide a description of the progress and outcomes 
achieved in that grant.
    HUD's evaluation process will consider an applicant's past 
performance in effectively organizing and managing their grant 
operations, in meeting performance and work plan benchmarks and goals, 
and in managing funds, including their ability to account for funds 
appropriately, timely use of funds received either from HUD or other 
federal, state, Tribal, or local programs, and meeting performance 
milestones. HUD may use other information relating to these items from 
sources at hand, public sources such as newspapers, Inspector General 
or Government Accounting Office Reports or Findings, hotline 
complaints, or other sources of information that have been proven to 
have merit.
    b. 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 populations. Applications that demonstrate a greater need for 
lead outreach beyond existing levels as a mechanism for increasing 
enrollment in lead hazard treatment programs, or more thoroughly 
document this need will earn higher numbers of points.
    (1) Your application should document a critical level of need for 
your proposed outreach activities in the area(s) where activities will 
be carried out. You should pay specific attention to documenting the 
need for outreach to increase enrollment of low-income housing units 
with children under six in lead hazard treatment programs as it applies 
to your target area(s) and target populations, rather than a larger 
geographic area or general population. Examples of information that 
might be used to demonstrate need, include:
    (2) Economic or sociological information relevant to your target 
area(s). If this information is applied locally, the neighborhoods or 
type of neighborhoods to be targeted should be characterized with 
regard to age of housing and populations that the outreach activities 
are attempting to reach.
    (3) Data documenting targeted populations that are traditionally 
underserved or have special needs. For a maximum score in this Rating 
Factor, data provided should specifically represent the target area. If 
the data presented in your response do 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 or Analysis of Impediments (AI) to Fair Housing 
Choice (see the General Section of the SuperNOFA), court orders or 
consent decrees, settlements, conciliation agreements, or voluntary 
compliance agreements, you will receive more points than applicants 
that do not relate their project to an identified need.
    (4) Information from the local (or State or Tribe, if applicable) 
health department, if available, on rates of elevated blood lead levels 
among children residing in your target area(s).
    (5) Readily available information on the presence of existing 
outreach and educational resources in your target area(s).
    c. Rating Factor 3: Soundness of Approach (40 Points) This factor 
addresses the quality and cost-effectiveness of your proposed work 
plan. You should present information on your proposed approach for 
increasing the public's awareness and knowledge about lead poisoning 
and lead-based paint hazards, and for encouraging owners and low-income 
family occupants to identify potential lead-based paint hazards and 
enroll their housing units in lead hazard control treatment programs. 
Applications containing approaches with clear activities and sub-
activities that will result in increasing the enrollment in lead hazard 
treatment programs, that include a range of approaches that address the 
needs of populations with limited English proficiency, persons with 
disabilities, persons with low literacy, etc., that demonstrate a 
logical progression of implementation steps, that include more 
appropriate mechanisms for reaching audiences, and that provide better 
documentation of the methodology of the proposed approach will receive 
higher numbers of points. Applicants will receive higher rating points 
for approaches that include higher percentages of funding or sub-
contracting for substantive work by grassroots organizations, including 
faith-based and other community-based non-profit organizations, Fair 
Housing Organizations and advocates for various minority and ethnic 
groups and for persons with a variety of disabilities.
    You should describe how proposed activities would help HUD achieve 
its goals for this program area. You should demonstrate your knowledge 
of the outreach methodology relevant to your approach. You should 
develop a work plan that includes specific, measurable and time-phased 
objectives for each major program activity, accompanied by a 
complementary schedule indicating proposed date(s) of completion.
    There must be a direct relationship between the proposed 
activities, community needs, the purpose of the project, and the number 
of low-income housing units enrolled in lead hazard treatment programs. 
Your response to this factor should include the following elements:
    (1) Approach for Developing the Project. (30 points) Describe your 
overall approach for your proposed project. The description must 
include a discussion of specific planned project activities:
    (a) Provide the estimated total number of low-income housing units 
that you expect to be enrolled in lead hazard treatment programs. 
Describe in detail how you will identify and track participants 
receiving outreach under your project, especially participants in high-
risk groups and communities, vulnerable populations and persons 
traditionally underserved. (6 points)
    (b) Describe your process for developing outreach materials, or 
using existing materials. (3 points)
    (c) Describe your management processes to be used to ensure the 
cost-

[[Page 27262]]

effectiveness of expenditures of funds. (2 points)
    (d) Describe any measurement tools you would employ to evaluate the 
effectiveness of your outreach and educational activities for occupants 
of housing units enrolled in lead hazard treatment programs before and 
after treatment. (2 points)
    (e) Describe the methods of community education you would use 
including community awareness, education, training, and outreach 
programs in support of your work plan and objectives that are 
culturally sensitive, targeted, and linguistically appropriate. (3 
points)
    (f) Proposed involvement of grassroots organizations, including 
faith-based and other community-based non-profit organizations in the 
proposed activities. HUD strongly encourages you to substantively use 
grassroots organizations, including faith-based, and other community-
based non-profit organizations. (10 points)
    (g) Indicate if, and describe how, you will address any of HUD's 
departmental policy priorities. (See the General Section of this NOFA 
for a fuller explanation of HUD's policy priorities.) Policy priorities 
that are potentially applicable to this NOFA include: (i) Improving the 
Quality of Public and Assisted Housing and Providing More Choices for 
its Residents, (ii) Increasing the Participation of Faith-based and 
other Community-based Organizations in HUD Program Implementation, and 
(iii) Removal of Regulatory Barriers to Affordable Housing. You will 
receive one point for each of the applicable policy priorities that are 
adequately addressed in your application, and up to two points for 
Removal of Regulatory Barriers to Affordable Housing, up to a maximum 
of four points. If your application addresses all three policy 
priorities, you could get up to four points. (4 points)
    (2) Approach for Implementing the Project. (10 points) Describe 
your project goals and objectives and the strategy you will use in 
executing the project. You should provide information on the general 
approach and overall plan employed.
    (a) Baseline Plan for Project Management. (5 points) Include a 
management plan that:
    (i) Lists the outreach project objectives, major tasks and 
activities. All specific activities necessary to complete the proposed 
project must be included in the task listing.
    (ii) Incorporates appropriate performance goals with projected 
outputs and outcomes of the outreach program's activities.
    (iii) Identifies major milestones and provides a schedule for the 
assignment, tracking and completion of major tasks and activities, and 
a timeframe for delivery, including reports and other proposed 
deliverables of the outreach activity.
    (iv) Designates resources and identifies responsible entities for 
performing work.
    (b) Budget Justification. (5 points) Your proposed budget will be 
evaluated for the extent to which it is reasonable, clearly justified, 
and consistent with the outreach project management plan and intended 
use of program funds. HUD is not required to approve or fund all 
proposed activities. An electronic spreadsheet and other budgetary 
forms are available on http://www.grants.gov. You must thoroughly 
document and justify all budget categories and costs (Form HUD-424-CB) 
and all major tasks, for yourself, subrecipients (especially grassroots 
organizations, including faith-based, and other community-based non-
profit organizations), partners, major subcontractors, joint venture 
participants, or others contributing resources to the project, 
especially those proposed to receive greater than 10 percent of the 
federal budget request. Describe clearly and in detail your budgeted 
costs for each required program element (major task) included in your 
overall plan.
    d. Rating Factor 4: Leveraging Resources (10 Points) This factor 
addresses your ability to secure other community and/or private sector 
resources (such as financing, supplies, or services) that can be 
combined with HUD's resources to achieve project purposes. These 
community resources may be contributions from organizations such as the 
applicant, subrecipients, partners, or other organizations not directly 
involved in the project.
    (1) In evaluating this factor, HUD will consider the extent to 
which you have developed partnerships 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 labor, fringe 
benefits, services, supplies, or equipment) budgeted for your proposed 
project. Resources may be provided by state, Tribal, and local 
governmental entities, public or private organizations, or other 
partners.
    (2) Each source of contributions (financial or in-kind) must be 
supported by a letter of commitment from the contributing entity, 
whether the applicant, a partner organization, or a public or private 
source. The letter must describe the contributed resources that will be 
used in your project and the dollar value of that contribution. 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 
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. Letters of support (letters that indicate 
support but do not specify a monetary commitment to the project) will 
not be considered in the scoring of this Rating Factor. Include 
information to address the following elements:
    (a) The extent to which you have coordinated your activities with 
other known organizations that are not directly participating in your 
proposed work activities, but with which you share common goals and 
objectives.
    (b) The extent to which your project exhibits the potential to be 
financially self-sustaining by decreasing dependence on federal funding 
and relying more on state, Tribal, local, and private funding to 
continue educational and outreach activities after the grant period is 
completed.
    e. Rating Factor 5: Achieving Results and Program Evaluation (15 
points) This factor emphasizes HUD's commitment to ensuring that 
applicants keep promises made in their application and assessing their 
performance to ensure performance goals are met. Achieving results 
means you, the applicant, have clearly identified the benefits, or 
outcomes of your program. Outcomes are ultimate goals; for this lead 
outreach grant program, the major outcome is increasing the number of 
low-income housing units housing young children enrolled in lead hazard 
treatment programs as a result of the grant activity. Benchmarks or 
outputs are interim activities or products that lead to the ultimate 
achievement of your goals.
    Program evaluation requires that you, the applicant, identify 
program outcomes, interim products or benchmarks, and performance 
indicators that will allow you to measure your performance. Performance 
indicators should be objectively quantifiable and measure actual 
achievements against anticipated achievements. Your Evaluation Plan 
should identify what you are going to

[[Page 27263]]

measure, how you are going to measure it, and the steps you have in 
place to make adjustments to your work plan if performance targets are 
not met within established timeframes.
    This new rating factor reflects HUD's goal to embrace high 
standards of ethics, management, and accountability. In evaluating this 
factor, HUD will consider how you have described outcome measures and 
benefits of your program.
    In your response to this Rating Factor you are to discuss the 
performance goals for your project and identify specific outcome 
measures. You are also to describe how the outcome information will be 
obtained, documented, and reported. You must complete and return the 
Logic Model Form included in Appendix A of the General Section of this 
NOFA showing your proposed project long-term, mid-term, short-term, and 
final results, and how they support HUD's departmental goals and 
objectives. Information about developing a Logic Model is available at: 
http://www.hud.gov.
    In evaluating this factor, HUD will consider how you have:
    (1) Described the degree to which you have identified and 
characterized the information needs of your intended audience or 
targeted populations.
    (2) Refined your outreach message.
    (3) Specified how you will deliver your message to the audience.
    (4) Described anticipated results of specific plans and objectives 
and listed projected products or outputs. Outputs are actions, 
attendance numbers, materials, publications, inquiries, or other 
products of the process.
    (5) Demonstrated ability to measure outcomes. The major outcome is 
increasing the number of low-income housing units enrolled in lead 
hazard treatment programs that result from the grant activity.
    (6) Developed a proposed organization with the capacity to begin 
work immediately and incorporating adequate management planning and 
financial controls.
    (7) Demonstrated how you have identified potential obstacles in 
meeting your objectives, and how you will respond to these obstacles.
    (8) Described efforts to coordinate and cooperate with other 
organizations that will result in a reduction in lead risks to 
community residents.
    (9) Described how your program will be held accountable for meeting 
program goals, objectives, and the actions undertaken in implementing 
the grant program. You should provide a description of the mechanism to 
assess progress and track performance in meeting the goals and 
objectives outlined in the work plan.
    f. Bonus Points for Federally Designated Zones and Communities. (2 
points) This Section of the NOFA provides for the award of 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 
Renewal Communities (RCs), serve the residents of these areas, and are 
certified to be consistent with the area's strategic plan. For ease of 
reference in this NOFA, all these federally designated areas are 
collectively referred to as ``RC/EZ/ECs'' and residents of any of these 
federally designated areas as ``RC/EZ/EC residents.'' This NOFA 
contains a certification that must be completed for the applicant to be 
considered for RC/EZ/EC bonus points. A list of RCs, EZs, ECs, and EECs 
is available from HUD's Web site at: http://www.hud.gov. See also the 
General Section of the SuperNOFA.

B. Reviews and Selection Process

    1. Rating and Ranking. Awards will be made in rank order for Lead 
Outreach applications.
    2. Partial Funding. 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 14 calendar 
days to accept such a reduced award. If you fail to respond within the 
14-day limit, you shall be considered to have declined the award. 
Please see the General Section of the SuperNOFA for a discussion of 
adjustments to funding that may be made by HUD during the selection 
process.
    3. Remaining Funds. See the General Section of this NOFA for HUD's 
procedures if funds remain after all selections have been made.

C. Anticipated Announcement and Award Dates

    HUD anticipates announcing awards under this program on or about 
September 30, 2004.

VI. Award Administration Information

A. Award Notices

    1. Notice of Award. Applicants who have been selected for award 
will be notified by letter from the Grant Officer. The letter will 
state the program for which the application has been selected, the 
amount the grantee is eligible to receive, and the name of the 
Government Technical Representative (GTR). This letter is not an 
authorization to begin work or incur costs under the grant.
    2. Negotiations. HUD may require that selected applicants 
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, and 
proceed with negotiations with the next highest-ranking applicant. If 
you accept the terms and conditions of the grant, you must return your 
signed grant agreement by the date specified during negotiation.
    3. LOCCS Payment System. After receiving the letter, additional 
instructions on how to have the grant account entered into HUD's Line 
of Credit Control System (LOCCS) payment system will be provided. Other 
forms and program requirements will also be provided.
    4. Audit Reporting Package. In accordance with OMB Circular A-133 
(Audits of States, Local Governments and Non-Profit Organizations), 
grantees will have to submit their completed audit-reporting package 
along with the Data Collection Form (SF-SAC) to the Single Audit 
Clearinghouse, at the address obtained from their Web site. The SF-SAC 
can be downloaded at: http://harvester.census.gov/sac/.

B. Applicant Debriefing

    See the General Section of the SuperNOFA for information regarding 
applicant debriefing.

C. Administrative and National Policy Requirements

    1. Environmental Review. In accordance with 24 CFR 50.19(b)(2) and 
(b)(3) 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.
    2. HUD Reform Act of 1989. Applicants must comply with the 
requirements for funding competitions established by the HUD Reform Act 
of 1989 (42 U.S.C. 3531 et seq.) as defined in the General Section of 
the SuperNOFA.

D. Corrections to Deficient Applications

    See the General Section of the SuperNOFA for information about 
corrections to deficient applications.

[[Page 27264]]

E. Timely Hiring of Staff

    HUD reserves the right to terminate grant awards made to applicants 
that fail to timely hire (within 90 days of award) staff to fill key 
positions identified in the applicant's proposal as vacant.

F. Reporting

    The following items are Post Award Reporting Requirements.
1. Final Budget and Work Plan
    Final budget and work plans are due 60 days after the effective 
date of the grant (start date).
2. Progress reporting.
    Progress reporting is done on a quarterly basis. For specific 
reporting requirements, see policy guidance at: http://www.hud.gov/offices/lead.
3. Final Report.
    An overall final grant report, due at the completion of the grant, 
will detail activities (e.g., the number of low-income housing units 
enrolled in lead hazard treatment programs as a result of activities 
performed under this grant, number and type of materials produced, 
activities conducted, evaluation of the various outreach and 
educational methods used, findings, and recommended future actions at 
the conclusion of grant activities).
4. Racial and Ethnic Beneficiary Data.
    For the Lead Outreach Program, HUD requires grantees to collect and 
report racial and ethnic beneficiary data. You must use the Office of 
Management and Budget's Standards for the Collection of Racial and 
Ethnic Data as presented on Form HUD-27061, Racial and Ethnic Data 
Reporting Form (and instructions for its use), found on http://www.grants.gov. You must include the collection and reporting of racial 
and ethnic beneficiary data in your work plan (see Section IV.F.1 
above) and provide these reports at least annually.

G. Paperwork Reduction Act.

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2539-0015. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. The public 
reporting burden for the collection of information is estimated to 
average 80 hours per application and 16 hours per grant award. This 
includes the time for collecting, reviewing, and reporting the data. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

VII. Agency Contacts

    For programmatic questions, you may contact Linda Ciancio, 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) or via e-mail at [email protected]. For grants 
administrative questions, you may contact Ms. Curtissa L. Coleman, 
Office of Healthy Homes and Lead Hazard Control, at the address above; 
telephone (202) 755-1785, extension 119 (this is not a toll-free 
number) or via e-mail at [email protected]. If neither of 
these individuals is available, you may contact the Office's General 
Lead Regulations hotline, at (202) 755-1785, extension 104, for which 
your call will be forwarded in one business day for subsequent response 
by the appropriate staff. If you are a hearing- or speech-impaired 
person, you may reach the above telephone numbers through TTY by 
calling the toll-free Federal Information Relay Service at 800-877-
8339.

VIII. Other Information

A. Authority

    The authority for this program is section 1011(e)(8) and (g)(1) of 
the Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X 
of the Housing and Community Development Act of 1992), and the 
Consolidated Appropriations Resolution of 2004, Pub. L. 108-199.

B. Appendix A

    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 Centers for Disease Control and Prevention has found, for example, 
for children under age 6, that about 434,000 have elevated blood lead 
levels. Overall, the prevalence rate among all children under six years 
of age was 2.2 percent. Among low-income children living in older 
housing where lead-based paint is most prevalent, the rate climbed to 
16 percent; and for African-American children living in such housing, 
it reached 21 percent.
    HUD estimates that 38 million dwellings have some lead-based paint, 
and that 26 million have significant lead-based paint hazards. Of 
those, about 5.7 million have young children and of those, about 1.6 
million have household incomes under $30,000 per year. Costs for lead 
hazard control can range anywhere from $500 to $15,000 per unit, 
depending on the extent of the hazard and the type of hazard control 
measures. Corrective measures include paint stabilization, 
encapsulation, paint removal, 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.
    Educating the public and individuals living in ``at-risk 
communities'' about lead poisoning, symptoms, treatment and lead hazard 
prevention and control, and encouraging occupants to identify potential 
lead-based paint hazards, report them to property owners and managers, 
and public health and/or housing officials as appropriate, and enroll 
their housing units in lead hazard treatment programs, are key 
components in an overall plan to reduce the prevalence rate of lead 
poisoned children.

C. Appendix B

1. References
    To secure any of the documents listed below, call the telephone 
number provided. Several of these references are provided on HUD's CD, 
``Residential Lead Desktop Reference, 3rd Edition.'' This CD can be 
obtained at no charge by calling the National Lead Information 
Clearinghouse's toll-free number, 800-424-LEAD. If you are a hearing- 
or speech-impaired person, you may reach the telephone numbers via TTY 
by calling the toll-free Federal Information Relay Service at 800-877-
8339. Several of these references can be downloaded from the Internet 
without charge from the HUD Office of Healthy Homes and Lead Hazard 
Control's Internet site at: http://www.hud.gov/offices/lead.
a. Regulations
    (1) Requirements for Notification, Evaluation and Reduction of 
Lead-Based Paint Hazards in Federally Owned Residential Property and 
Housing Receiving Federal Assistance, 24 CFR Part 35 (HUD, Lead Safe 
Housing Rule). A free copy of this rule and guidance can be obtained by 
calling 800-424-LEAD (this is a toll-free number). If you are a 
hearing- or speech-impaired person, you may reach this telephone

[[Page 27265]]

number through TTY by calling the toll-free Federal Information Relay 
Service at 800-877-8339. ) or through the HUD Web site at: http://www.hud.gov/offices/lead.
    (2) Lead: Requirements for Disclosure of Information Concerning 
Lead-Based Paint in Housing, 24 CFR Part 35, Subpart A (HUD, Lead-Based 
Paint Disclosure Rule). A free copy of the rule, guidance, pamphlet and 
disclosure formats can be obtained by calling 800-424-LEAD (this is a 
toll-free number) or through the HUD Web site at: http://www.hud.gov/offices/lead.
    (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). A free copy of the rule and guidance can be 
obtained by calling the Toxic Substances Control Act Hotline at 202-
554-1404 (this is not a toll-free number) or through the EPA Web site 
at: http://www.epa.gov/lead. If you are a hearing-or speech-impaired 
person, you may reach this telephone number through TTY by calling the 
toll-free Federal Information Relay Service at 800-877-8339.
    (4) Lead: Requirements for Hazard Education Before Renovation of 
Target Housing, 40 CFR Part 745 (EPA, Pre-Renovation Education Rule). A 
free copy of the rule, guidance and pamphlet can be obtained by calling 
800-424-LEAD (this is a toll-free number) or through the EPA Web site 
at: http://www.epa.gov/lead.
b. Guidelines
    1. Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing; HUD, June 1995, and amended September 1997. A copy 
of the guidelines can be purchased by calling 800-245-2691 (this is a 
toll-free number) or downloaded without charge from the HUD Web site 
at: http://www.hud.gov/offices/lead. If you are a hearing- or speech-
impaired person, you may reach this telephone number via TTY by calling 
the toll-free Federal Information Relay Service at 800-877-8339.
    2. Preventing Lead Poisoning in Young Children; Centers for Disease 
Control, October 1991. A free copy of this document can be obtained by 
calling 888-232-6789 (this is a toll-free number) or through the HUD 
Web site at: http://www.hud.gov/offices/lead. If you are a hearing- or 
speech-impaired person, you may reach this telephone number through TTY 
by calling the toll-free Federal Information Relay Service at 800-877-
8339.
    3. Screening Young Children for Lead Poisoning: Guidance for State 
and Local Public Health Officials, November 1997. Centers for Disease 
Control and Prevention (CDC). A free copy of this document can be 
obtained by calling 888-232-6789 (this is a toll-free number) or 
through the HUD Web site at: http://www.hud.gov/offices/lead.
c. Reports
    1. Putting the Pieces Together: Controlling Lead Hazards in the 
Nation's Housing (Summary and Full Report); HUD, July 1995. A copy of 
this summary and report can be purchased by calling 800-245-2691 (this 
is a toll-free number) or downloaded without charge from the HUD Web 
site at: http://www.hud.gov/offices/lead.
    2. President's Task Force on Environmental Health Risks and Safety 
Risks to Children. Eliminating Childhood Lead Poisoning: A Federal 
Strategy Targeting Lead Paint Hazards. Washington, DC, 2000. These 
documents can be downloaded without charge from the HUD Web site at: 
http://www.hud.gov/offices/lead.

D. Appendix C

1. Existing Outreach Materials
    To secure any of the documents listed below, call the telephone 
number provided. All of these documents are provided on HUD's Web site 
and the CD, ``Residential Lead Desktop Reference, 3rd Edition.'' This 
CD can be obtained by calling the National Lead Information 
Clearinghouse's toll-free number, 800-424-LEAD.
    a. HUD/EPA Informational Pamphlet: ``Protect Your Family from Lead 
in Your Home'' (available in English and Spanish versions). A free copy 
of this document can be obtained by calling 800-424-LEAD (this is a 
toll-free number) or through the HUD Web site at: http://www.hud.gov/
offices/lead/outreach/communityoutreach.cfm.
    b. ``Reducing Lead Hazards When Remodeling Your Home'' (available 
in English and Spanish versions). A free copy of this document can be 
obtained by calling 800-424-LEAD (this is a toll-free number) or 
through the HUD Web site at: http://www.hud.gov/offices/lead/outreach/
communityoutreach.cfm.
    c. ``Lead Paint Safety Field Guide'' (available in English and 
Spanish versions). A free copy of this guide can be obtained by calling 
800-424-LEAD (this is a toll-free number) or through the HUD Web site 
at: http://www.hud.gov/offices/lead/outreach/communityoutreach.cfm.
    d. ``A Parent's Reference Guide'' EPA Document Number 747-B-98-002. 
A free copy of this guide can be obtained by calling 800-424-LEAD (this 
is a toll-free number) or through the HUD Web site at: http://
www.hud.gov/offices/lead/outreach/communityoutreach.cfm.
2. Articles
    a. McLaughlin, T., Humphries, O., Jr., Nguyen, T., Maljanian, R., 
and McCormack, K., `` `Getting the Lead Out' in Hartford, Connecticut: 
A Multifaceted Lead-Poisoning Awareness Campaign,'' Environ. Health 
Perspect. 112:1-5 (2004).

E. Appendix D

    This appendix to this NOFA lists the standard forms, certifications 
and assurances used by the programs that are part of this NOFA. Listed 
forms are located in Appendix A of the General Section of the 
SuperNOFA.
    1. Administrative Costs. Administrative costs that may be 
applicable to the programs included in this NOFA are discussed below:
    a. Purpose: The intent of this HUD grant program is to allow the 
grantee to be reimbursed for the reasonable direct and indirect costs, 
subject to a top limit, for overall management of the grant. In most 
instances the grantee, whether a State, Tribal, or a local government, 
principally serves as a conduit to pass funding to sub-grantees, which 
are to be responsible for conducting the lead-hazard reduction work. 
Congress set a top limit of ten percent of the total grant sum for the 
grantee to perform the function of overall management of the grant 
program, including passing on funding to sub-grantees. The cost of that 
function, for the purpose of this grant, is defined as the 
``administrative cost'' of the grant, and is limited to ten percent of 
the total grant amount. The balance of ninety percent or more of the 
total grant sum is reserved for sub-grantees or other direct-performers 
of lead-hazard identification and reduction work. Lead hazard 
identification and reduction includes, but is not necessarily limited 
to, outreach, training, enrollment, lead paint inspection/risk 
assessments, interim controls, hazard abatement, clearance 
documentation, blood lead testing, and public education.
    b. Administrative Costs: What They are Not: For the purposes of 
this HUD grant program for states, Tribes, and local governments to 
provide support for outreach to increase the enrollment of low-income, 
private target housing in lead hazard treatment programs, the term 
``administrative costs'' should not be confused with the terms 
``general and

[[Page 27266]]

administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden 
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair 
share of an organization's costs that cannot be attributed to a 
particular project or department (such as the chief executive's salary 
or the costs of the organization's headquarters building) to all 
projects and operating departments (such as the Fire Department, the 
Police Department, the Community Development Department, the Health 
Department or this program). Such allocated costs are added to those 
projects' or departments' direct costs to determine their total costs 
to the organization.
    c. Administrative Costs: What They Are: For the purposes of this 
HUD grant program, ``Administrative Costs'' are the grantee's allowable 
direct costs for the overall management of the grant program plus the 
allocable indirect costs. The allowable limit of such costs that can be 
reimbursed under this program is 10 percent of the total grant sum. 
Should the grantee's actual costs for overall management of the grant 
program exceed 10 percent of the total grant sum, those excess costs 
shall be paid for by the grantee. However, excess costs paid for by the 
grantee may be shown as part of the requirement for cost-sharing funds 
to support the grant.
    d. Administrative Costs: Definition:
    (1) General. Administrative costs are the allowable, reasonable, 
and allocable direct and indirect costs related to the overall 
management of the HUD grant for lead outreach activities. Those costs 
shall be segregated in a separate cost center within the grantee's 
accounting system, and they are eligible costs for reimbursement as 
part of the grant, subject to the 10 percent limit. Such administrative 
costs do not include any of the staff and overhead costs directly 
arising from specific sub-grantee program activities eligible under 
Section III. (C) of this NOFA, because those costs are eligible for 
reimbursement under a separate cost center as a direct part of project 
activities.
    The grantee may elect to serve solely as a conduit to sub-grantees, 
who will in turn perform the direct program activities eligible under 
Section III. (C) of this NOFA, or the grantee may elect to perform all 
or a part of the direct program activities in other parts of its own 
organization, which shall have their own segregated, cost centers for 
those direct program activities. In either case, not more than 10 
percent of the total HUD grant sum may be devoted to administrative 
costs, and not less than 90 percent of the total grant sum shall be 
devoted to direct program activities. The grantee shall take care not 
to mix or attribute administrative costs to the direct project cost 
centers.
    (2) Specific. Reasonable costs for the grantee's overall grant 
management, coordination, monitoring, and evaluation are eligible 
administrative costs. Subject to the 10 percent limit, such costs 
include, but are not limited to, necessary expenditures for the 
following goods, activities and services:
    (a) Salaries, wages, and related costs of the grantee's staff, the 
staff of affiliated public agencies, or other staff engaged in 
grantee's overall grant management activities. In charging costs to 
this category the recipient may either include the entire salary, 
wages, and related costs allocable to the program for each person whose 
primary responsibilities (more than 65 percent of their time) with 
regard to the grant program involve direct overall grant management 
assignments, or the pro rata share of the salary, wages, and related 
costs of each person whose job includes any overall grant management 
assignments. The grantee may use only one of these two methods during 
this program. Overall grant management includes the following types of 
activities:
    (i) Preparing grantee program budgets and schedules, and amendments 
thereto;
    (ii) Developing systems for the selection and award of funding to 
sub-grantees and other subrecipients;
    (iii) Developing suitable agreements for use with sub-grantees and 
other subrecipients to carry out grant activities;
    (iv) Developing systems for assuring compliance with program 
requirements;
    (v) Monitoring sub-grantee and subrecipient activities for progress 
and compliance with program requirements;
    (vi) Preparing presentations, reports, and other documents related 
to the program for submission to HUD;
    (vii) Evaluating program results against stated objectives;
    (viii) Providing local officials and citizens with information 
about the overall grant program (however, a more general education 
program, helping the public understand the nature of lead hazards, lead 
hazard reduction, blood-lead screening, and the health consequences of 
lead poisoning is a direct project support activity);
    (ix) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (x) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (b) Travel costs incurred for official business in carrying out the 
overall grant management;
    (c) Administrative services performed under third party contracts 
or agreements, for services directly allocable to grant management such 
as: legal services, accounting services, and audit services;
    (d) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and including 
such goods and services as telephone, postage, rental of equipment, 
renter's insurance for the program management space, utilities, office 
supplies, and rental and maintenance (but not purchase) of office space 
for the program.
    (e) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related costs 
for local officials (e.g., mayor and city council members, etc.), and 
expenses for a city's legal or accounting department which are not 
charged back to particular projects or other operating departments. If 
a grantee has an established burden rate, it should be used; if not, 
the grantee shall be assigned a negotiated provisional burden rate, 
subject to final audit.

F. Appendix E Checklist and Submission Table of Contents

BILLING CODE 4210-32-P

[[Page 27267]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.133


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27269]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.134


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27271]]



Lead-Based Paint Hazard Reduction Demonstration Grant Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Lead-Based Paint Hazard Reduction 
Demonstration Grant Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
4900-N-11. The OMB approval number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.905; 
Lead Hazard Reduction Demonstration Grant Program.
    F. Dates: Application Deadline. A completed original and three 
copies of your application must be submitted to HUD on or before the 
application due date. The application due date is July 13, 2004. Please 
see the General Section of the SuperNOFA for application submission, 
delivery, and timely receipt requirements.
    G. Additional Overview Content Information: 1. Purpose of the 
Program. The purpose of the Lead Hazard Reduction Demonstration Grant 
Program is to assist areas with the highest lead paint abatement needs 
in undertaking programs for abatement, inspections, risk assessments, 
temporary relocations, and interim control of lead-based paint hazards 
in eligible privately owned, single family housing units, and 
multifamily buildings that are occupied by low-income families.
    2. Available Funds. Approximately $50 million in Fiscal Year 2004 
funds.
    3. Eligible Applicants. To be eligible to apply for funding under 
this program, the applicant must be a city, county, or similar unit of 
local government. States and Indian Tribes may apply on behalf of units 
of local government within their jurisdiction, if the local government 
designates the state or the Indian Tribe as their applicant. Multiple 
units of a local government (or multiple local governments) may apply 
as part of a consortium; however, you must identify a lead applicant 
that will be responsible for ensuring compliance with all requirements 
specified in this NOFA. If you are a state or Tribal applicant, you 
must have a Lead-Based Paint Contractor Certification and Accreditation 
Program authorized by the Environmental Protection Agency (EPA).
    4. Match. A statutory minimum of 25 percent match in local funds.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    The Lead Hazard Reduction Demonstration Grant 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, Pub. L. 102-550). HUD's authority for making funding available 
under this NOFA is the Consolidated Appropriations Act for 2004, Public 
Law 108-199. The Lead Hazard Reduction Demonstration Grant Program 
assists States, Native American Tribes and local governments in 
undertaking programs for the identification and control of lead-based 
paint hazards in eligible privately owned rental and owner-occupied 
housing units. Refer to Section IV.E.3. of this NOFA for ``Eligibility 
of HUD Assisted Housing'' that lists the HUD-associated housing 
programs that meet the definition of eligible housing under this 
program.
    1. Because lead-based paint is a national problem, these funds will 
be awarded to programs which:
    a. Maximize the combination 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 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 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 
grassroots faith-based or other community-based organizations including 
fair housing organizations and advocates for Fair Housing Act protected 
classes 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, grassroots 
faith-based, or other community-based organizations, 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 
that will continue after the grant period ends;
    e. Establishment of a public registry (listing) of lead-safe 
housing or inclusion of the lead-safe status of properties in another 
publicly accessible address-based property information system and 
affirmatively marketed to families with young children; 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 
minorities and low-income persons as defined in 24 CFR 135.5 (see 59 FR 
33881, June 30, 1994).
    3. Changes in FY2004 Competitive NOFA:
    a. Applicants must have at least 7,000 pre-1940 occupied rental 
housing units in order to apply under this NOFA. The threshold 
requirement was increased from 3200 under the FY2003 Lead Hazard 
Reduction Demonstration Grant Program NOFA and reflects the intent of 
Congress to provide funds to areas with the greatest need.
    b. Engineering and architectural activities that are required for, 
and in direct support of, lead hazard control work are direct costs 
that can be reimbursed from the 90 percent of the funds available that 
are to be used exclusively for lead-based paint abatement, interim 
controls, combined lead-based paint inspection and risk assessment, 
clearance testing, and relocation. These activities were eligible 
support costs that could be reimbursed through matching, leveraged or 
other available funds in FY2003.
    c. The purchase or lease of a maximum of two X-ray fluorescence 
analyzers for use by this program, if not already available, can be 
reimbursed from the 90 percent of the funds available that are to be 
used exclusively for lead-based paint abatement, interim controls, 
combined lead-based paint inspection and risk assessment, clearance 
testing, and relocation. These activities were eligible support costs 
that could be reimbursed through

[[Page 27272]]

matching, leveraged or other available funds in FY2003.
    d. Applicants are to complete and submit the Rating Factor Tables 
included in Section IV. of this NOFA.

II. Award Information

    Funding Available. Approximately $50 million in Fiscal Year 2004 
funds is available. The minimum award amount shall be $2 million per 
grant. The maximum award amount shall be $4 million per grant. 
Approximately 12-25 grants will be awarded. The period of performance 
is 42 months. HUD reserves the right to approve no cost time extensions 
for a period not to exceed 12 months.

III. Eligibility Information

    See the General Section of the SuperNOFA for additional eligibility 
requirements applicable to HUD Programs.

A. Eligible Applicants

    1. To be eligible to apply for funding under this program, the 
applicant must be a city, county, or similar unit of local government. 
States and Indian Tribes may apply on behalf of units of local 
government within their jurisdiction, if the local government 
designates the state or the Indian Tribe as their applicant. Multiple 
units of a local government (or multiple local governments) may apply 
as part of a consortium; however, you must identify a lead applicant 
that will be responsible for ensuring compliance with all requirements 
specified in this NOFA. State government and Native American tribal 
applicants must have an EPA approved state program for certification of 
lead-based paint contractors, inspectors, and risk assessors in 
accordance with 40 CFR 745.
    2. Eligible applicants may submit only one application. In the 
event that multiple applications are submitted, this will be considered 
a technical deficiency and the application review process delayed until 
you notify HUD in writing which application should be reviewed. Your 
other applications will be returned without being rated or ranked.
    3. If you or any member of your consortium also applied for funding 
under the Fiscal Year 2004 Lead Hazard Control Grant Program Notice of 
Funding Availability or received funds under the Fiscal Year 2003 Lead 
Hazard Reduction Demonstration NOFA, you must discuss how both programs 
will operate concurrently and how program activities will be combined 
to achieve maximum benefits. If you achieve a score of 75 or higher in 
this competition and in the FY2004 Lead Hazard Control Grant Program 
competition and fall within the fundable range in both competitions, 
HUD will evaluate your responses to Rating Factor 1--Capacity of the 
Applicant and Relevant Organization Experience and Rating Factor 3--
Soundness of Approach (Work Plan/Budget) and determine whether you have 
the ability and capacity to successfully implement both grant programs 
concurrently. If you cannot demonstrate to HUD that you have the 
capacity to successfully implement both grant programs, HUD reserves 
the right to fund only one application. In addition, grantees funded 
under the Fiscal Year 2003 Lead Hazard Reduction Demonstration Grant 
Program NOFA and receive a score of 75 or higher in the Fiscal Year 
2004 competition must also demonstrate to HUD that they have the 
capacity to successfully implement both grant programs concurrently. If 
you cannot demonstrate to HUD that you have the capacity to 
successfully implement both grant programs, HUD reserves the right not 
to fund your application.

B. Cost Sharing or Matching

    Matching Contribution. You must provide a matching contribution of 
at least 25 percent of the requested grant sum. This may be in the form 
of cash, including private sector funding, or in-kind (non-cash) 
contributions or a combination of these sources. With the exception of 
Community Development Block Grant (CDBG) funds, Federal Revenue Sharing 
programs, or other programs which by statute allow their funds to be 
considered local funds and therefore eligible to be used as matching 
funds, federal funds may not be used to satisfy the statutorily 
required 25 percent matching requirement. Federal funds may be used, 
however, for contributions above the statutory requirement. 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. The letter 
must describe the contributed resources that you will use in the 
program and their designated purpose. The signature of the authorized 
official on the Form SF-424 commits matching or other contributed 
resources of the applicant organization. A separate letter from the 
applicant organization is not required.

C. Other

    1. Threshold Requirements. As an eligible applicant, you must also 
meet all of the threshold requirements in Section III.C. of the General 
Section of the SuperNOFA as well as the specific threshold requirements 
listed in this subsection. Applications will not be funded if they do 
not meet the threshold requirements.
    a. Applicants must provide a minimum of 25 percent of the grant 
funds requested as a matching contribution.
    b. Applicants must have at least 7,000 pre-1940 occupied rental 
housing units in order to apply under this NOFA. See Factor 2 Table-
Need/Extent of the Problem for details on how to obtain this 
information. Applicants must report the total number of pre-1940 
occupied rental units within the jurisdiction(s) where funds will be 
used (data from the 2000 U.S. Census is required). Failure to provide 
the number of pre-1940 occupied rental units in the Factor 2 Table will 
result in the application not being rated or ranked.
    c. EPA Authorization. If you are a state government or Indian 
(Native American) Tribal government, you must have an EPA-authorized 
Lead-Based Paint Training and Certification Program in effect on the 
application deadline date to be eligible to apply for Lead Hazard 
Reduction Demonstration Grant funds. The approval date in the Federal 
Register notice published by the EPA will be used in determining the 
Training and Certification status of the applicant state or Indian 
(Native American) Tribal government. If you do not have an EPA 
authorized program, the application will not be rated and ranked.
    2. Program Requirements. a. Environmental Requirements. Recipients 
of lead-based paint hazard reduction demonstration grants must comply 
with 24 CFR Part 58-``Environmental Review Procedures for Entities 
Assuming HUD Environmental Responsibilities.'' Recipients and other 
participants in the project are prohibited from committing or expending 
HUD and non-HUD funds on the project until HUD approves the recipient's 
Request for the Release of Funds (Form HUD-7015.15) or the recipient 
has determined that the activity is either Categorically Excluded, not 
subject to the related federal laws and authorities pursuant to 24 CFR 
58.35(b) or exempt pursuant to 24 CFR 58.34. For Part 58 procedures, 
see http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm.
    For assistance, contact Karen Choi, the Office of Healthy Homes and 
Lead Hazard Control Environmental Officer at (213) 894-8000, extension 
3015 (this is not a toll-free number) or the HUD Environmental Review 
Officer in the HUD field office serving your area. If

[[Page 27273]]

you are a hearing-or speech-impaired person, you may reach the 
telephone number via TTY by calling the toll-free Federal Information 
Relay Service at 800-877-8339. Recipients of a grant under this funded 
program will be given additional guidance in these responsibilities.
    b. Provide the actual number of children with documented elevated 
blood lead levels residing within the applicant's jurisdiction(s) for 
the most recent complete calendar year and identify the source of the 
data. Data prior to calendar year 2001 will not be accepted. States and 
Indian Tribes must report the number in the city, county, or other area 
where funds will actually be used. Consortia of local governments must 
report the number in the cities or counties making up the consortium. 
For the purposes of this application, the ``documented number of 
children'' with an EBLL is based on the Centers for Disease Control and 
Prevention (CDC) level of concern. A child under six years of age with 
a blood lead level test result equal to or greater than 10 micrograms 
of lead per deciliter of blood, which was performed by a medical health 
care provider is considered to have an EBLL. The actual number of 
documented cases (not an estimate) must be reported to HUD in order to 
be eligible for this grant program. Do not send the children's names, 
addresses, or other identifiers. Failure to provide this number in the 
application means that the application will not be rated or ranked.
    c. Consolidated Plans. (This requirement does not apply to Native 
American Tribes.) 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. If the 
Analysis of Impediments (AI) includes references to lead-based paint as 
an impediment to fair housing, this should be included in your 
application as well. If the same applicant agency also submitted an 
application as an eligible applicant for the Fiscal Year 2004 Lead 
Hazard Control Grant Program Notice of Funding Availability, you may 
refer to this material for proof of documentation if the applicant 
agencies are the same. You are not required to resubmit this material 
for this NOFA. 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.
    d. Lead Hazard Control work must be conducted in compliance with 
HUD's Lead-Safe Housing Regulation, 24 CFR Part 35.
    e. Prohibited Practices. You must not engage in the following 
prohibited practices:
    (1) Open flame burning or torching;
    (2) Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    (3) Uncontained hydro blasting or high-pressure wash;
    (4) Abrasive blasting or sandblasting without HEPA exhaust control;
    (5) Heat guns operating above 1,100 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 square feet in any one interior room or space, or totaling no 
more than 20 square feet on exterior surfaces.
    f. Written Policies and Procedures. You must have clearly 
established written policies and procedures for eligibility, program 
marketing, unit selection, expediting work on homes occupied by 
children with elevated blood lead levels, and 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.
    g. 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 families for at least three years as required by Title X 
(Section 1011). You must maintain a publicly available registry 
(listing) of units in which lead hazards have been controlled and 
ensure that these units are affirmatively marketed to agencies and 
families as suitable housing for families with children under six years 
of age. The grantee must also notify the owner of the information that 
is collected so that the owner will comply with disclosure requirements 
under 24 CFR part 35, Subpart A.
    h. Testing. In developing your application budget, include costs 
for lead paint inspection, risk assessment, and clearance testing for 
each dwelling that will receive lead hazard control, as follows:
    (1) 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 whichever is 
more stringent. 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, located at: http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, and the 
EPA lead hazard standards rule at 40 CFR, part 745. All test results 
must be provided to the owner in a timely fashion, together with a 
notice describing the owner's legal duty to disclose the results to 
tenants and buyers under 24 CFR part 35, Subpart A.
    (a) Lead-Based Paint and Lead-Based Paint Hazard Identification. A 
combined lead-based paint inspection and risk assessment is required. 
You should ensure that lead paint inspection and risk assessment 
reports are conducted in accordance with established protocols and 
sufficient to support hazard control decisions.
    (b) Clearance Testing. Clearance testing shall be completed in 
accordance with Chapter 15 of the HUD Guidelines and the EPA lead 
hazards standards rule at 40 CFR, part 745 for abatement projects and 
the Lead-Safe Housing Regulation (24 CFR, part 35) for lead hazard 
control activities or other abatement. The clearance standards shall be 
the more restrictive of those set by the local jurisdiction or by EPA 
or HUD.
    (c) Blood lead testing. Before lead hazard control work begins, 
each occupant who is under six years of age should 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 (CDC) 
publications Preventing Lead Poisoning in Young Children (1991), and 
Screening Young Children for Lead Poisoning: Guidance for State and 
Local Public Health Officials (1997).
    i. Cooperation with Related Research and Evaluation.
    (1) 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 may also include the compiling of 
certain relevant local

[[Page 27274]]

demographic, dwelling unit, and participant data not contemplated in 
your original proposal. Participant data shall be subject to Privacy 
Act protection.
    (2) If your program includes conducting research involving human 
subjects in a manner which requires Institutional Review Board (IRB) 
approval and periodic monitoring, address how you will obtain such 
approval and your monitoring plan (before you can receive funds from 
HUD for activities that require IRB approval, you must provide an 
assurance that your study has been reviewed and approved by an IRB and 
evidence of your organization's institutional assurance). Describe how 
you will provide informed consent (e.g., from the subjects, their 
parents, or their guardians, as applicable) to help ensure their 
understanding of, and consent to, the elements of informed consent, 
such as the purposes, benefits, and risks of the research. Describe how 
this information will be provided and how the consent will be 
collected. For example, describe your use of ``plain language'' forms, 
flyers, and verbal scripts, and how you plan to work with families with 
limited English proficiency or primary languages other than English, 
and with families which include persons with disabilities.
    j. Data collection. You will be required to collect and maintain 
the data necessary to document the various lead hazard control methods 
used and the cost of these methods.
    k. Section 3 Employment Opportunities. Please refer to Section 
III.C.4.c. of the General Section of the SuperNOFA. The requirements of 
Section 3 of the Housing and Urban Development Act of 1968 are 
applicable to this program.
    l. Replacing Existing Resources. Funds received under this grant 
program shall not be used to replace existing community resources 
dedicated to any ongoing project.
    m. Certifications and Assurances. You must include the 
certifications and assurances listed in the General Section of the 
SuperNOFA with your application.
    n. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards Refer to the General Section of the SuperNOFA for 
information about conducting business in accordance with HUD's core 
values and ethical standards.
    3. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement. You will need to obtain 
a DUNS number to receive an award from HUD.

IV. Application and Submission Information

A. Addresses to Request Application Package

    1. Application Submission. See the General Section of the SuperNOFA 
for specific procedures concerning the form of application submission 
(e.g., mailed applications, express mail or overnight delivery). Be 
advised that there is no Application Kit for this Lead Hazard Reduction 
Demonstration Grant Program. All the information required to submit an 
application is contained in this Notice of Funding Availability (NOFA).
    a. Guidebook and Further Information. You may request general 
information, copies of the General Section and Program Sections of the 
SuperNOFA from the SuperNOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) between the hours of 9 am and 8 pm (Eastern Time) 
Monday through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. 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 copies of the SuperNOFA or this 
NOFA can be made immediately following publication of the SuperNOFA. 
The SuperNOFA Information Center opens for business simultaneously with 
the publication of HUD's 2004 NOFAs. You can also obtain information on 
this SuperNOFA and download application information for this SuperNOFA 
through the Web site, www.grants.gov.

B. Content and Form of Application Submission

    1. Application Submission Requirements for the Lead Hazard 
Reduction Demonstration Grant Program. Applicants under this category 
of the NOFA are to follow the submission requirements described below.
    a. Applicant Information. (1) Application Format. The application 
narrative response to the Rating Factors is limited to a maximum of 15 
pages (excluding appendices and tables). Your response must be 
typewritten on one side only on 8\1/2\ x 11 inch paper using a 12-point 
standard font with not less than \3/4\ inch margins on all sides. 
Appendices should be referenced and discussed in the narrative 
response. Materials provided in the appendices should directly apply to 
the specific rating factor narrative. Information that is not 
referenced or does not directly apply to a specific narrative response 
may not be rated or ranked by reviewers.
    (2) Application Checklist (voluntary). Your application must 
contain all of the required information noted in this Program Section 
and the General Section of the SuperNOFA. These items include the 
standard forms, certifications, and assurances listed in the General 
Section of this SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in the General Section of the SuperNOFA. The 
``Checklist and Submission Table of Contents'' below includes a listing 
of the required items needed for submitting a complete application and 
receiving consideration for funding. You are to assemble the 
application in the order shown in the Checklist and Submission Table of 
Contents and note the corresponding page number where the response is 
located. Inclusion of this Checklist and Submission Table of Contents 
with your proposal is recommended but not required.
BILLING CODE 4210-32-P

[[Page 27275]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.135

BILLING CODE 4210-32-C

[[Page 27276]]

    The following are the items to be included in an application:
    (a) Transmittal Letter. The applicant (or applicants) submitting 
the application, the dollar amount requested, the number of units to 
receive lead hazard control work, what the program funds are requested 
for, the nature of involvement with grassroots faith-based and other 
community-based organizations, and the name, mailing address, telephone 
number, and principal contact person of ``the applicant.''
    (b) Checklist and Submission Table of Contents (voluntary).
    (c) Abstract Summary. An abstract summary describing the goals and 
objectives of your proposed program (two-page maximum). The abstract 
should briefly highlight the major goals and objectives established for 
the program.
    (d) Forms. All forms as required by the General Section of the 
SuperNOFA.
    (e) Budget. A detailed budget (total budget is the federal share 
and matching contribution (Form HUD-424-CBW) with supporting narrative 
and 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 Section IV.E. 2. of this NOFA. The budget shall include not more 
than 10 percent for administrative costs and not less than 90 percent 
for direct project elements. Applicants are to identify the direct lead 
hazard control costs that meet this requirement. 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.
    (f) Matching Contribution. An itemized breakout (using the Form 
HUD-424-CBW) of your required matching contribution, including:
    (i) Values placed on donated in-kind services;
    (ii) Letters or other evidence of commitment from donors; and
    (iii) The amounts and sources of contributed resources.
    (g) Application Forms. Standard Forms SF-LLL and Forms HUD-27300, 
2880, 2990, 2991, 2993, and 2994.
    (h) Grant Partners. Contracts, Memoranda of Understanding or 
Agreement, letters of commitment or other documentation describing the 
proposed roles of agencies, local broad-based task forces, 
participating grassroots faith-based and other community or 
neighborhood-based groups or organizations, local businesses, and 
others working with the program.
    (i) Consolidated Plan Element. A copy of the lead hazard control 
element included in your current program year's Consolidated Plan. 
(This does not apply to Native American Tribes) 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.
    (j) Rating Factor Response. Narrative responses to the three rating 
factors.
    2. Proposed Activities. Unless otherwise noted in this NOFA, all 
applicants 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 3). Please see the General Section of the SuperNOFA 
for additional requirements and submittal procedures.
    a. Forms, Certifications, Assurances, and Other Related Grant 
Application Information. The forms, certifications, assurances and 
other related grant application resource information that will assist 
you in preparing your application in response to this NOFA can be found 
in the General Section of the SuperNOFA and in this NOFA. These forms 
are also available for this SuperNOFA through the Web site at: http://www.grants.gov.
    b. Forms and Tables for Rating Factor Responses. The following 
forms and/or tables are to be completed and included in the application 
in support of the narrative response to the rating factors.
    (1) Rating Factor 1 Table--Capacity of the Applicant and Relevant 
Organizational Experience
    (2) Rating Factor 2 Table--Need/Extent of the Problem
    (3) Rating Factor 3 Table--Soundness of Approach; and Work Plan 
Development Worksheet with Minimum Benchmark Standards for 42 Months--
Form HUD-96009
    (4) Rating Factor 4 Table--Leveraging Resources (include with 
response to Rating Factor 3)
    (5) Form HUD-96010 Logic Model--Achieving Results and Program 
Evaluation (include with response to Rating Factor 3)
BILLING CODE 4210-32-P

[[Page 27277]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.136


[[Page 27278]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.137


[[Page 27279]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.138


[[Page 27280]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.139


[[Page 27281]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.140

BILLING CODE 4210-32-C

[[Page 27282]]

    1. Application Due Dates: The application due date shall be on or 
before July 13, 2004. Refer to the General Section of the SuperNOFA for 
additional submission requirements including acceptable submission 
methods, acceptable proof of delivery, and other information to assist 
the applicant.

D. Intergovernmental Review

    Not required.

E. Funding Restrictions

    1. Eligible Activities. HUD is interested in promoting lead hazard 
control approaches that result in the reduction of elevated blood lead 
levels in children for the maximum number of low-income families with 
children under six years of age, for the longest period of time, and 
that demonstrate techniques which are cost-effective, efficient, and 
replicable elsewhere. Copies of HUD's Lead-Safe Housing Regulation, and 
the companion publication ``Interpretive Guidance: The HUD Regulation 
on Controlling Lead-Based Paint Hazards in Housing Receiving Federal 
Assistance and Federally Owned Housing Being Sold,'' are available from 
the National Lead Information Clearinghouse at 800-424-LEAD (this is a 
toll-free number). If you are a hearing- or speech-impaired person, you 
may reach the telephone number via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339. Copies are also available 
from the Office of Healthy Homes and Lead Hazard Control Web site at: 
www.hud.gov/offices/lead.
    a. Not less than 90 percent of the funds made available shall be 
used exclusively for abatement and/or interim controls (with clearance 
testing), inspections, risk assessments, and temporary relocations. 
These include Direct Project Elements (1)-(5) listed below and 
undertaken directly or through subrecipients:
    (1) Performing dust testing, combined lead-based paint inspections 
and risk assessments, and engineering and architectural activities that 
are required for, and in direct support of, interim control and lead 
hazard abatement work, of eligible housing units constructed prior to 
1978 to determine the presence of lead-based paint and/or lead hazards 
from paint, dust, or soil through the use of acceptable testing 
procedures. The purchase or lease of a maximum of two X-ray 
fluorescence analyzers used by the grant program, if not already 
available, are eligible costs. All test results must be provided to the 
owner of the unit, together with a notice describing the owner's legal 
duty to disclose the results to tenants and buyers.
    (2) Conducting lead hazard control activities that may include any 
combination of the following:
    (a) Interim controls of lead-based paint hazards including lead-
contaminated soil in housing (that must include specialized cleaning 
techniques to address lead dust, according to the HUD Guidelines, 
located at http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm.
    (b) Abatement. The complete abatement of all lead-based paint 
hazards in a unit or structure is acceptable if it is cost-effective. 
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 unit being treated, and children's play areas. All 
lead hazards identified in a housing unit enrolled in this grant 
program must be controlled or eliminated by any combination of these 
strategies.
    (3) 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. If families 
or individuals are temporarily relocated in a project which utilizes 
Community Development Block Grant funds, the guidance and requirements 
of 24 CFR 570.606(b)(2)(i)D(1)-(3) must be met. HUD recommends you 
review these regulations when preparing your proposal.
    (4) 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. 
These grant funds may be used for lead hazard control work done in 
conjunction with other housing rehabilitation programs. HUD encourages 
integration of this grant program with housing rehabilitation, 
maintenance, weatherization, and other energy conservation activities.
    (5) Conducting clearance dust-wipe testing and laboratory analysis 
(the laboratory must be recognized by the National Lead Laboratory 
Accreditation Program (NLLAP) as being capable of performing lead 
analyses of samples of paint, dust-wipes, and/or soil).
    b. The following are supporting Project Elements that may be 
undertaken through matching or other available funds only:
    (1) Conducting targeted community awareness, affirmative marketing, 
education or outreach programs on lead hazard control and lead 
poisoning prevention designed to increase the ability of the program to 
deliver lead hazard control services including educating owners of 
rental properties, tenants, and others on the Residential Lead-Based 
Paint Hazard Reduction Act, Lead-Safe Housing Regulation, and 
applicable provisions of the Fair Housing Act especially as it pertains 
to familial status (i.e., families with children) and disability 
discrimination, and offering educational materials in languages other 
than English that are common in the community, consistent with HUD's 
published LEP Recipient Guidance, 68 FR 70968 and providing 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, 
and large type).
    (2) Procuring liability insurance for lead-hazard control 
activities.
    (3) 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.
    (4) Purchasing or leasing equipment having a per-unit cost under 
$5,000.
    (5) Preparing a final report at the conclusion of grant activities.
    c. Support Elements.
    (1) Administrative costs. There is a 10 percent maximum for 
administrative costs as specified in Section 1011(j) of the Residential 
Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing 
and Community Development Act of 1992, Public Law 102-550). Additional 
information about allowable administrative costs is provided below.
    (2) Program planning and management costs of sub-grantees and other 
subrecipients.
    d. Ineligible Activities. You may not use grant funds for:
    (1) Purchase of real property.
    (2) Purchase or lease of equipment having a per-unit cost in excess 
of $5,000, except for the purchase of 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 (This housing stock is not eligible 
under Section 1011 of the Lead-Based Paint Hazard Reduction Act).

[[Page 27283]]

    e. Program Specific Requirements. (1) Work Activities. All lead 
hazard control activities must be conducted in compliance with the 
applicable requirements of HUD's Lead-Safe Housing Regulation, 24 CFR 
Part 35, and as clarified in HUD's Interpretive Guidance about the rule 
located at: http://www.hud.gov/offices/lead/guidelines/leadsaferule/index.cfm. Activities must also comply with any additional requirements 
in effect under a state or Tribal Lead-Based Paint Training and 
Certification Program that has been authorized by the EPA pursuant to 
40 CFR 745.320.
    (2) Direct Lead Hazard Identification and Control Activities. Not 
less than 90 percent of the funds made available shall be used 
exclusively for abatement, inspections, risk assessments, temporary 
relocations, and interim control of lead-based hazards.
    (3) By September 30, 2005, applicants that received a Lead Hazard 
Reduction Demonstration grant under the FY2003 competition are to 
participate in an established statewide or jurisdiction-wide strategic 
plan to eliminate childhood lead poisoning as a major public health 
problem by 2010, or are to assist in the development of such a plan 
(further guidance will be provided to grantees on developing the 
elimination plan). New applicants are encouraged to include an outline 
of the steps that they will take to participate in or develop a 
statewide or jurisdiction-wide strategic plan. Applicants are 
encouraged to collaborate with Centers for Disease Control and 
Prevention (CDC) Childhood Lead Poisoning Prevention grantees, which 
are now required to develop such plans. At a minimum, the plan must 
include the following elements:
    (a) Mission Statement;
    (b) Purpose and Background on Lead Poisoning Prevalence;
    (c) Goals, Objectives, and Activities; and
    (d) Evaluation Plan.
    2. Administrative Costs. There is a 10 percent maximum for 
administrative costs as specified in Section 1011(j) of the Residential 
Lead-Based Paint Hazard Reduction Act of 1992 (Title X of the Housing 
and Community Development Act of 1992, Public Law 102-550). Additional 
information about allowable administrative costs is provided below.
    a. Purpose. The intent of this HUD grant program is to allow the 
Grantee to be reimbursed for the reasonable direct and indirect costs, 
for the overall management of the grant. In most instances the grantee, 
whether a state or a local government, principally serves as a conduit 
to pass funding to sub-grantees, which are to be responsible for 
conducting lead-hazard reduction work. Congress set a maximum of 10 
percent of the total grant sum for the grantee to perform the function 
of overall management of the grant program, including passing on 
funding to sub-grantees. The cost of that function, for the purpose of 
this grant, is defined as the ``administrative cost'' of the grant, and 
is limited to 10 percent of the total grant amount. The balance of 90 
percent or more of the total grant sum is reserved for sub-grantees or 
other direct-performers of lead-hazard identification and reduction 
work including relocation. For purposes of the Lead-Based Paint Hazard 
Reduction Demonstration Grant Program, lead hazard identification and 
reduction includes lead paint inspection/risk assessments, interim 
controls, abatement of lead hazards, clearance testing, and relocation.
    b. Administrative Costs: What They Are Not. For the purposes of 
this HUD grant program for states and local governments to provide 
support for the evaluation and reduction of lead-hazards in low- and 
moderate-income, private target housing, the term ``administrative 
costs'' should not be confused with the terms ``general and 
administrative cost,'' ``indirect costs,'' ``overhead,'' and ``burden 
rate.'' These are accounting terms usually represented by a government-
accepted standard percentage rate. The percentage rate allocates a fair 
share of an organization's costs that cannot be attributed to a 
particular project or department (such as the chief executive's salary 
or the costs of the organization's headquarters building) to all 
projects and operating departments (such as the Fire Department, the 
Police Department, the Community Development Department, the Health 
Department or this program). Such allocated costs are added to those 
projects' or departments' direct costs to determine their total costs 
to the organization.
    c. Administrative Costs: What They Are: For the purposes of this 
HUD grant program, ``Administrative Costs'' are the grantee's allowable 
direct costs for the overall management of the grant program plus the 
allocable indirect costs. The allowable limit of such costs that can be 
reimbursed under this program is 10 percent of the total grant sum. 
Should the grantee's actual costs for overall management of the grant 
program exceed 10 percent of the total grant sum, those excess costs 
shall be paid for by the grantee. However, excess costs paid for by the 
grantee may be shown as part of the requirement for cost-sharing funds 
to support the grant.
    d. Administrative Costs Definition (1) General: Administrative 
costs are the allowable, reasonable, and allocable direct and indirect 
costs related to the overall management of the HUD grant for lead-
hazard reduction activities. Those costs shall be segregated in a 
separate cost center within the grantee's accounting system, and they 
are eligible costs for reimbursement as part of the grant, subject to 
the ten percent limit. Such administrative costs do not include any of 
the staff and overhead costs directly arising from specific sub-grantee 
program activities eligible under this NOFA, because those costs are 
eligible for reimbursement under a separate cost center as a direct 
part of project activities.
    The grantee may elect to serve solely as a conduit to sub-grantees, 
who will in turn perform the direct program activities eligible under 
this NOFA, or the grantee may elect to perform all or a part of the 
direct program activities in other parts of its own organization, which 
shall have their own segregated, cost centers for those direct program 
activities. In either case, not more than 10 percent of the total HUD 
grant sum may be devoted to administrative costs, and not less than 90 
percent of the total grant sum shall be devoted to direct program 
activities. The grantee shall take care not to mix or attribute 
administrative costs to the direct project cost centers.
    (2) Specific. Reasonable costs for the grantee's overall grant 
management, coordination, monitoring, and evaluation are eligible 
administrative costs. Subject to the ten percent limit, such costs 
include, but are not limited to, necessary expenditures for the 
following goods, activities and services:
    (a) Salaries, wages, and related costs of the grantee's staff, the 
staff of affiliated public agencies, or other staff engaged in 
grantee's overall grant management activities. In charging costs to 
this category the recipient may either include the entire salary, 
wages, and related costs allocable to the program for each person whose 
primary responsibilities (more than 65 percent of their time) with 
regard to the grant program involve direct overall grant management 
assignments, or the pro rata share of the salary, wages, and related 
costs of each person whose job includes any overall grant management 
assignments. The grantee may use only one of these two methods during 
this program. Overall grant management includes the following types of 
activities:

[[Page 27284]]

    (i) Preparing grantee program budgets and schedules, and amendments 
thereto;
    (ii) Developing systems for the selection and award of funding to 
sub-grantees and other subrecipients;
    (iii) Developing suitable agreements for use with sub-grantees and 
other subrecipients to carry out grant activities;
    (iv) Developing systems for assuring compliance with program 
requirements;
    (v) Monitoring sub-grantee and subrecipient activities for progress 
and compliance with program requirements;
    (vi) Preparing presentations, reports, and other documents related 
to the program for submission to HUD;
    (vii) Evaluating program results against stated objectives;
    (viii) Providing local officials and citizens with information 
about the overall grant program; however, a more general education 
program, helping the public understand the nature of lead hazards, lead 
hazard reduction, blood-lead screening, and the health consequences of 
lead poisoning is a direct project support activity);
    (ix) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (x) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (b) Travel costs incurred for official business in carrying out the 
overall grant management;
    (c) Administrative services performed under third party contracts 
or agreements, for services directly allocable to grant management such 
as: legal services, accounting services, and audit services;
    (d) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and including 
such goods and services as telephone, postage, rental of equipment, 
renter's insurance for the program management space, utilities, office 
supplies, and rental and maintenance (but not purchase) of office space 
for the program.
    (e) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related costs 
for local officials (e.g., mayor and city council members, etc.), and 
expenses for a city's legal or accounting department which are not 
charged back to particular projects or other operating departments. If 
a grantee has an established burden rate, it should be used; if not, 
the grantee shall be assigned a negotiated provisional burden rate, 
subject to final audit.
    3. Eligibility of HUD-Assisted Housing. Eligibility of HUD-
associated ``eligible'' housing units that may participate under the 
Lead Hazard Reduction Demonstration Grant Program is reflected in the 
following chart.
BILLING CODE 4210-32-P

[[Page 27285]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.141

BILLING CODE 4210-32-C

[[Page 27286]]

?>

F. Other Submission Requirements

    Refer to the General Section of the SuperNOFA for other application 
submission requirements.
    1. Addresses and Number of Copies. The applicant, must submit an 
original and three copies of a complete application to: HUD 
Headquarters; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room P3206; Washington, DC 20410; Attn: Lead Hazard Reduction.

V. Application Review Information

A. Criteria

1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Experience (30 Points)
    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 
grassroots faith-based and other community-based organizations, sub-
contractors, consultants, subrecipients, and members of consortia that 
are firmly committed to your project. In rating this factor, HUD will 
consider:
    a. The applicant's recent, relevant and successful demonstrated 
experience (including working with governmental, parent groups, and 
grassroots faith-based, and other community-based partners) to 
undertake eligible program activities. Applicants are to identify the 
organizations or entities that will assist the applicant in 
implementing the program. The applicant must describe the knowledge and 
experience of the current or 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. The applicant 
must demonstrate that it has sufficient personnel or will be able to 
retain qualified experts or professionals, and be prepared to perform 
lead hazard evaluation, lead hazard control intervention work, and 
other proposed activities within 120 days of the effective date of the 
grant award. HUD reserves the right to terminate the grant if 
sufficient personnel or qualified experts are not retained within these 
120 days. In the narrative response for this factor, you should include 
information on your program staff, their experience, their commitment 
to the program, salary information, and position titles. Resumes (for 
up to three key personnel) or position descriptions for those key 
personnel to be hired, and a clearly identified organizational chart 
for the lead hazard control grant program effort (and for the overall 
organization) must be included in an appendix. Indicate the percentage 
of time that key personnel will devote to your project (see Factor 1 
Table--Key Personnel and Partners). The applicant's day-to-day program 
manager must be experienced in the management of housing rehabilitation 
or lead hazard control, childhood lead poisoning prevention, or similar 
work involving project management. Ideally, the program manager should 
be available at the inception of the program in order to implement this 
comprehensive program within the 120-day period after the effective 
date of the grant award. The applicant should provide a description of 
any previous experience in enrolling units and in completing lead 
hazard control work, housing rehabilitation or other work in a timely 
and effective manner. Describe how any other principal components of 
your agency, other public entities, or other organizations will 
participate in implementing or otherwise supporting or participating in 
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 
Reduction Demonstration Grant Program.
    b. The applicant should discuss their plans to participate in or 
develop a statewide or jurisdiction-wide strategic plan to eliminate 
childhood lead poisoning as a major public health problem by 2010. All 
applicants are encouraged to include an outline of the steps that they 
have taken or will take to participate in or develop a statewide or 
jurisdiction-wide strategic plan. By September 30, 2005, applicants 
receiving a grant under the FY2003 Lead Hazard Reduction Demonstration 
Grant Program are expected to participate in an established statewide 
or jurisdiction-wide strategic plan to eliminate childhood lead 
poisoning as a major public health problem by 2010 or are to assist in 
the development of such a plan (further guidance will be provided to 
grantees on developing the elimination plan). Applicants are encouraged 
to collaborate with grantees of the Centers for Disease Control and 
Prevention (CDC), which are also required to develop such local plans. 
At a minimum, the plan must include the following elements:

    (1) Mission Statement.
    (2) Purpose and Background on Lead Poisoning Prevalence.
    (3) Goals, Objectives, and Activities.
    (4) Evaluation Plan.

    c. If the applicant received any previous HUD Lead-Based Paint 
Hazard Control Grant funding, this past experience will be evaluated in 
terms of cumulative progress and achievements under the previous 
grant(s). Where the applicant has received multiple HUD Lead Hazard 
Control Grants, performance under the most recent grant award will be 
primarily evaluated. If you are a current or prior grantee, you 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. The applicant must provide a 
description of its progress and performance implementing the most 
recent grant award including the total number enrolled, assessed, and 
completed and cleared as a result of program efforts. The applicant 
must also describe outcomes, capacity building efforts and impediments 
experienced during a previous Lead Hazard Control Grant program. Other 
work plan activities and tasks associated with implementing HUD's Lead-
Safe Housing Regulation, integrating lead-safe work practices into the 
private market, and promoting effective education, outreach, and other 
training activities should be described. The applicant should also 
describe specific instances where the program has contributed positive 
impacts in the community, and indicate what activities were undertaken 
to develop, enhance or expand the local infrastructure through 
collaboration.
    HUD's evaluation process will consider an applicant's past 
performance record as reported to HUD in effectively organizing and 
managing their grant operations, in meeting performance and work plan 
benchmarks and goals, and in managing funds, including their ability to 
account for funds appropriately, the timely use of funds received 
either from HUD or other federal, state or local programs, and meeting 
performance milestones. HUD may also use other information relating to 
these items from sources at hand, including public sources such as 
newspapers, Inspector General or Government Accounting Office Reports 
or Findings, hotline complaints, or other sources of information that 
have been

[[Page 27287]]

proven to have merit. Applicants are to complete the Factor 1 Table to 
support the narrative information submitted.
2. Rating Factor 2: Need/Extent of the Problem (15 Points)
    This factor addresses the extent to which there is a need for the 
proposed program to address a documented problem related to lead-based 
paint and lead-based paint hazards in your identified target area(s). 
An applicant will be scored in this rating factor based on their 
documented need as evidenced by thorough, credible, and appropriate 
data and information. The evaluation will be based only on the 
applicant's documentation of the data requested. The data submitted in 
response to this rating factor will be verified using data available 
from the Census, HUDuser, other data available to HUD and/or in 
cooperation with the Centers for Disease Control and Prevention. The 
applicant is to complete the Factor 2 Table--Need/Extent of the Problem 
in Section IV. of this NOFA. A maximum of 15 Points will be awarded in 
this rating factor based on the information documenting the number of 
children with an elevated blood lead level (EBLL) and the number of 
pre-1940 occupied rental housing units in the applicant's jurisdiction.
    a. Documented Number of Children with an Elevated Blood Lead Level 
(EBLL) (10 Points). Provide the actual number of children with an 
elevated blood lead level residing within the applicant's 
jurisdiction(s) for the most recent complete calendar year and identify 
the source of the data. Data prior to calendar year 2001 will not be 
accepted. States must report the number in the city, county, or other 
area where funds will actually be used. Consortia of local governments 
must report the number in the cities or counties making up the 
consortium. For the purposes of this application, a ``documented case'' 
of childhood lead poisoning is a child under six years of age with a 
blood lead level test result equal to or greater than 10 micrograms of 
lead per deciliter of blood, which was performed by a medical health 
care provider. The actual number of children with an elevated blood 
lead level (not an estimate) in the applicant's jurisdiction must be 
reported to HUD in order to be eligible for this grant program. Do not 
send the children's names or addresses or other identifiers. Failure to 
provide this number in the application means that the application will 
not be rated or ranked.
    (1) Applicants are to complete the Factor 2 Table to document the 
number of children with an elevated blood lead level.
    Points will be awarded based on the documented number of children 
with an elevated blood lead level according to the chart below.

------------------------------------------------------------------------
                                                      Number of children
                                                       with an elevated
                   Points awarded                      blood lead level
                                                       (EBL >=10 [mu]g/
                                                              dL)
------------------------------------------------------------------------
2...................................................               < 100
4...................................................             100-249
6...................................................             250-499
8...................................................             500-999
10..................................................             > 1,000
------------------------------------------------------------------------

    b. Housing market data relevant to the applicant's jurisdiction. 
Housing Age. (5 Points)
    (1) Housing Age for the following sub-categories: Pre-1940, 1940-
1949, 1950-1959, 1960-1969, 1970-1979 and 1980 or newer are to be 
provided using the Factor 2 Rating Factor Table in Section IV. of this 
NOFA; Points will be awarded for the number of pre-1940 occupied rental 
units in the applicant's jurisdiction according to the chart below.

------------------------------------------------------------------------
                                                       Pre-1940 occupied
                   Points awarded                       rental housing
                                                             units
------------------------------------------------------------------------
1...................................................     >=7,000 < 8,000
2...................................................        8,000-15,000
3...................................................       15,001-25,000
4...................................................       25,001-35,000
5...................................................            > 35,001
------------------------------------------------------------------------

3. Rating Factor 3: Soundness of Approach/Work Plan/Budget (55 Points)
    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. Applicants should develop a work plan that includes 
specific, measurable, and time-phased objectives for each major program 
activity. The applicant's work plan should reflect benchmark standards 
for production, expenditures, and other activities that have been 
developed by the Office of Healthy Homes and Lead Hazard Control. These 
benchmark standards, as well as policy guidance on developing work 
plans have been included in the Section IV. of this NOFA and are 
available at the HUD website at: http://www.hud.gov/offices/lead/lhc/
pgi/index.cfm. This policy guidance provides a sample format and 
outline for developing a Lead Hazard Reduction Demonstration Grant 
Program Work Plan. In addition, applicants are also required to 
complete the HUD Program Outcome Logic Model (HUD-96010) referenced in 
Section IV. of this NOFA. The Logic Model is to be used by grantees to 
assess their own performance.
    a. An applicant is to identify and describe specific methods, 
measures, and tools that 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. In evaluating 
this, HUD will consider how you have described outcome measures and 
benefits of your program including:
    b. How your program will be held accountable for meeting program 
goals, objectives, and the actions undertaken in implementing the grant 
program. Applicants should provide a description of the mechanism to 
assess progress and track performance in meeting the goals and 
objectives outlined in the work plan. Applicants should provide 
assurances that work plans and performance measures developed for the 
program will assist intended beneficiaries, and that work will be 
conducted in a timely and cost-effective manner.
    c. Applicants should describe the proposed activities and provide 
HUD with measurable outcome results to be achieved with the requested 
funds. Measurable outcome results should be stated in terms relevant to 
the purpose of the program funds as a direct result of the work 
performed within the performance period of the grant (e.g., estimated 
number of units to be made lead-safe, estimated number of children 
living in units made lead-safe, and the basis for these estimates).
    Each proposed activity must be eligible as described in the NOFA 
and meet statutory requirements for assistance to low- and very low-
income persons.
    (1) Lead Hazard Control Work Plan Strategy (40 points). Describe 
your work plan goals and specific time-phased strategy to complete work 
under the grant within the 42-month period of performance for your lead 
hazard control grant program. You should provide information on:
    (a) Implementing a Lead Hazard Control Program. Describe how you 
will implement the strategy for your proposed lead hazard control 
program. The description must include information on:
    (i) How the project will be organized, managed, and staffed. You 
must also identify the specific steps that will be taken to train and 
ensure the availability of enough lead-based paint contractors and 
workers to conduct lead hazard control interventions, and to perform 
other program activities. In addition, a detailed description of the 
selection

[[Page 27288]]

process for sub-grantees, subcontractors or subrecipients, and how 
assistance and funding will flow from the grantee to those who will 
actually perform the work under the grant.
    (ii) The overall number of eligible privately owned housing units 
scheduled for lead hazard control intervention work and the strategy 
for their identification, selection, prioritization, and enrollment in 
the selected target area(s). Discuss the eligibility criteria for unit 
selection and how the program will identify units that meet these 
criteria. Explain how you would target resources to maximize the return 
on investment from grant funding. As funding is a constraint for this 
program, it is imperative to maximize the impact of grant dollars. 
Include in this discussion your proposed technical approach and how 
this choice addresses local conditions and needs as well as attempting 
to maximize the number of children protected from lead hazards. As 
there are a variety of reduction techniques that grantees can apply to 
lead hazards, it is important to that HUD be able to assess the 
effectiveness of a grantee's choice of a technical strategy.
    Explain how referrals of eligible units will be obtained from 
childhood lead poisoning prevention programs, other health care or 
housing agencies, or health providers that serve children. Explain how 
you would target resources to maximize the return on investment from 
grant funding. As funding is a constraint for this program, it is 
imperative to maximize the impact of grant dollars. Include in this 
discussion your proposed technical approach and how this choice 
addresses local conditions and needs as well as attempting to maximize 
the number of children protected from lead hazards. As there are a 
variety of reduction techniques that grantees can apply to lead 
hazards, it is important that HUD be able to assess the effectiveness 
of grantees' choice of technical strategy. Also discuss how referrals 
are made from the Section 8/Housing Choice Voucher programs and other 
agencies that provide housing assistance to low-income households with 
children including CDBG, HOME Investment Partnerships Program-funded 
housing programs, or other sources. (Include as attachments any 
referral agreements, commitment letters or other documents from other 
entities that describe their participation recruiting eligible units in 
your program.)
    (iii) The degree to which the work plan focuses on eligible 
privately owned housing units occupied by low-income families with 
children under six years of age. Describe your planned approaches to 
control lead hazards in vacant and/or occupied units before children 
are poisoned and your plans to ensure that the program will continue to 
affirmatively market and match these units made lead-safe with low-
income families with children under six years of age in the future. 
Discuss strategies to control lead hazards in units where children have 
already been identified with an elevated blood lead level (EBL), 
including your process for referring and tracking children with EBLs, 
and your capacity to rapidly complete lead hazard control work in their 
units. Provide estimates of the number of low-income children you will 
assist through this program.
    (iv) Discuss the lead hazard control financing strategy, including 
eligibility requirements, terms, conditions, dollar limits, and amounts 
available for lead hazard control work. Applicants must also describe 
how the program will recapture grant funds in the event that a 
recipient of grant funds fails to comply with any terms and conditions 
of the financing arrangement (e.g. affordability, sale of property, 
etc.). You must discuss the way assistance from the grant funds will be 
administered to or on behalf of property owners (e.g. use of grants, 
deferred loans and/or forgivable loans and the basis and schedule for 
forgiveness, and the role of other resources, such as private sector 
financing). You should identify the entity that will administer the 
financing process and describe how coordination and payment between the 
program and contractors performing the work will be accomplished. 
Describe matching requirements, if any, proposed for assistance to 
rental property owners.
    (v) Describe how your proposed program will satisfy the stated 
needs in the Consolidated Plan or Indian Housing Plan and eliminate 
impediments identified in the Analysis of Impediments (AI). Also 
describe how your proposed program will further and support the policy 
priorities of the Department: Including promoting healthy homes and the 
quality of housing. Applicants should describe activities undertaken 
that remove barriers to affordable housing within their communities or 
support such efforts at the state and local level.
    d. Technical Approach/Performance. Describe your process for the 
conduct of lead hazard evaluation (risk assessments and/or inspections) 
in units of eligible privately owned housing to confirm that there are 
lead-based paint hazards in the housing units where lead hazard control 
is undertaken.
    (1) Describe your testing methods, schedule, and costs for risk 
assessments, paint inspections, and clearance examinations to be used. 
If you propose to use a more restrictive standard than the HUD/EPA 
thresholds (e.g., less than 0.5 percent or 1.0 mg/square centimeter for 
lead in paint, or less than 40, 250, 400 [mu]g/square foot for lead in 
dust on floors, sills and troughs, respectively); or 400 ppm in bare 
soil in children's play areas and 1200 ppm for bare soil in the rest of 
the yard), identify the standard(s) that will be used. All testing 
shall be performed in accordance with applicable regulations.
    (2) Describe the lead hazard control methods and strategies you 
will undertake and the number of units you will treat. In cases where 
only a few surfaces have lead hazards in a specific unit and complete 
abatement of all lead paint is cost-effective, the applicant must 
provide a detailed rationale for selecting complete abatement as a 
strategy. Provide an estimate of the per-unit costs (and a basis for 
those estimates) and a schedule for initiating and completing lead 
hazard control work in the selected units. Discuss efforts to 
incorporate cost-effective lead hazard control methods. Explain your 
cost estimates, providing detail on how the estimates were developed, 
with particular references to cost effectiveness.
    (3) Schedule. Provide a realistic schedule for completing key 
activities, by quarter, so that all activities can be completed within 
the period of performance of the grant. Key production activities 
include enrollment of units, paint inspections/risk assessments, and 
completion/clearance of units. When developing the application, the 
applicant shall take into consideration previous experience and 
performance in administering similar kinds of lead hazard control or 
rehabilitation programs.
    (4) Time frames. Describe the estimated elapsed time frame for 
treating a typical unit that will receive lead hazard control, 
including referral/intake, enrollment (qualification of the unit as 
eligible), combined paint inspection/risk assessments, preparation of 
specifications or work write-up, selection of the contractor, lead 
hazard control intervention work activities, quality control and 
monitoring of work activities, and clearance. The time frame should 
include an estimate of the staff and contractor time required to treat 
a typical unit that will receive lead hazard control. Describe the 
schedule for emergency referrals (e.g. unit occupied by a child under 
six years of age with an elevated blood lead level). List the

[[Page 27289]]

number of units projected in each of the following categories: lead-
based paint inspections/risk assessments, hazard control, and clearance 
inspections.
    (5) Workflow and Production Control. Provide guidelines and/or 
flowcharts showing agency/partner responsibilities for each step in the 
process (from intake to clearance) and describe/show how coordination 
and hand-offs will be handled. Discuss how the actual production status 
of units, from intake to final clearance, will be monitored, and how 
and when production bottlenecks will be identified, remedied, and 
monitored.
    (6) Describe your contracting process, including development of 
specifications or adoption of existing 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, and requirements for coordination among lead hazard control, 
rehabilitation, weatherization, and other contractors.
    (7) Describe your plan for occupant protection or the temporary 
relocation of the occupants of units selected for lead hazard control 
work. Describe any plan to avoid overnight relocation in small-scale 
projects consistent with 24 CFR Part 35.1345 (a)(2) and HUD's 
Interpretive Guidance of 24 CFR part 35, including J24, R18, and R19 
(see http://www.hud.gov/offices/lead/guidelines/leadsaferule/index.cfm). Your work plan should address the use of safe houses and 
other temporary housing arrangements, storage of household goods, 
stipends, incentives, etc. If families or individuals are temporarily 
relocated in a project which utilizes Community Development Block Grant 
funds, the guidance and requirements of 24 CFR 570.606(b)(2)(i)D(1)-(3) 
must be met. HUD recommends you review these regulations when preparing 
your proposal.
    (8) Describe your strategy for involving neighborhood or grassroots 
faith-based or other community-based organizations in your proposed 
activities. Priority activities should include increasing the 
enrollment of eligible privately owned housing units to receive lead 
treatments, but may also include inspection (including dust lead 
testing) and the conduct of lead hazard control activities. HUD will 
evaluate the proposed level of substantive involvement of such 
organizations during the review process.
    (9) Identify and discuss the specific methods you will use (in 
addition to HUD reporting requirements) to document activities, 
progress, program effectiveness, and how changes necessary to improve 
performance will be implemented. Describe how you will obtain, 
document, and report on information collected.
    (10) If you are a current or prior grantee or you have also applied 
to the Fiscal Year 2004 Lead Hazard Control Grant Program Notice of 
Funding Availability, 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 other ongoing lead hazard control grant work.
    e. Budget. (15 points) Describe your budget within the 42-month (or 
less) period of performance for your lead hazard control grant program. 
You should provide information on:
    (1) Allocation of Funds. (5 points) You should describe your 
detailed total budget (total budget is the federal share and matching 
contribution) with supporting narrative and cost justifications for all 
budget categories of your grant request. The budget shall include not 
more than 10 percent for administrative costs and not less than 90 
percent for direct project elements. The applicant is to provide 
adequate details on the 90 percent of the federal funds that are 
required for abatement, combined lead-based paint inspections and risk 
assessments, temporary relocations, and interim control of lead-based 
paint hazards. In addition, the applicant is to provide details on the 
activities that will be conducted with the remaining 10 percent of 
federal funds.
    (2) Source/Use of Match Funds. (10 points) Specify the amount, 
sources, and proposed use of the 25 percent matching contribution, any 
additional leveraged resources, and how they will be provided (i.e., by 
cash, by in-kind services, or personnel). If in-kind contributions are 
used, attribute a monetary value, provide the basis for the value of 
the contribution, and explain how the contributions will be used in the 
project. Each source of contributions should be made in a letter of 
commitment from the contributing entity, describing the contributed 
resources and the monetary value. Resources directly contributed by the 
applicant are considered to be committed and do not require letters. 
Evidence of firm commitments and the appropriate use of match resources 
is necessary for receiving maximum points in this rating factor. 
Leveraged contributions greater than the required 25 percent matching 
contribution will receive a higher rating for this subfactor.

B. Reviews and Selection Process

    1. Rating and Ranking. Please refer to the General Section of this 
SuperNOFA for details. Only those applications that meet the threshold 
review requirements will be rated and ranked. HUD intends to fund the 
highest ranked applications receiving a minimum score of 75 within the 
limits of funding.
    a. Remaining Funds. Refer to the General Section of this SuperNOFA 
for HUD's procedures if funds remain after all selections have been 
made within a category of the NOFA.
    2. Factors for Award Used to Rate and Rank Applications. The 
factors for rating and ranking applicants, and maximum points for each 
factor, are stated below:
    Implementing HUD's Strategic Framework and Demonstrating Results. 
HUD is committed to ensuring that programs result in the achievement of 
HUD's strategic mission. To support this effort, grant applications 
submitted for HUD programs will be rated on how well they tie proposed 
outcomes to HUD's policy priorities and Annual Goals and Objectives, 
and the quality of proposed Evaluation and Monitoring Plans.
    HUD is encouraging applicants to undertake specific activities that 
will assist the Department in implementing its policy priorities. 
Activities that promote the participation of grassroots faith-based and 
community organizations support HUD's policy priority for: Providing 
Full and Equal Access to Grassroots Faith-Based and Other Community-
Based Organizations. An applicant will be awarded one point under 
Rating Factor 3 d. (8) for activities undertaken that specifically 
address this policy priority. For initiatives that break down 
regulatory barriers that impede the production of affordable housing, 
an applicant will be awarded up to two points under Rating Factor 
3c.(1)(a)(v) for activities that remove barriers to affordable housing 
within their communities or support such efforts at the state and local 
level. Refer to the General Section of the SuperNOFA for additional 
details pertaining to this policy priority. Applicants addressing this 
policy priority are to complete Form HUD-27300--Questionnaire for HUD's 
Initiative on Removal of Regulatory Barriers.
    This priority relates to HUD's Strategic Goal for Increasing 
Homeownership Opportunities and

[[Page 27290]]

Promoting Decent Affordable Housing. The maximum number of points to be 
awarded is 100. A minimum score of 75 is required for fundable 
applications.

------------------------------------------------------------------------
                                                               Maximum
                       Rating factor                            points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational              30
 Experience................................................
2. Demonstrated Need/Extent of the Problem.................           15
3. Soundness of Approach/Work Plan (40 Points), Budget (15            55
 Points)...................................................
  Total....................................................          100
------------------------------------------------------------------------

VI. Award Administration Information: Refer to the General Section of 
the SuperNOFA for Additional Details on Award Administration

A. Award Notices

    1. Successful applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer indicating that 
they have been selected for an award. This letter will provide 
additional details regarding the effective start date of the grant and 
any additional data and information to be submitted to execute a grant 
agreement. This letter is not an authorization to begin work or incur 
costs under the grant. A fully executed grant agreement is the 
authorizing document. Unsuccessful applicants will also be notified 
that their application was not selected for an award and will be 
afforded an opportunity to request a debriefing on the unsuccessful 
application according to the procedures outlined in the SuperNOFA.
    2. Negotiation. Refer to the General Section of the SuperNOFA for 
additional details.
    3. Adjustments to Funding.
    Refer to the General Section of the SuperNOFA for additional 
details.
    4. Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance and compliance actions of 
funding recipients in accordance with the applicable standards and 
sanctions of their respective programs.

B. Administrative and National Policy Requirements

    Refer to the General Section of the SuperNOFA for additional 
details regarding the Administrative and National Policy Requirements 
applicable to HUD Programs.
    1. Administrative Requirements. a. Lead-Based Paint Hazard 
Reduction Act (Title X of the Housing and Community Development Act of 
1992). Section 1011 of Title X Section 217 of Pub. L. 104-134 (the 
Omnibus Consolidated Rescissions and Appropriations Act of 1996, 110 
Stat. 1321, approved April 26, 1996) amended Section 1011(a) of the 
Residential Lead-Based Paint Hazard Reduction Act of 1992 (Title X) to 
read as follows:
    Section 1011. Grants for Lead-Based Paint Hazard Reduction in 
Target Housing
    (1) General Authority. The Secretary is authorized to provide 
grants to eligible applicants to evaluate and reduce lead-based paint 
hazards in housing that is not federally assisted housing, federally 
owned housing, or public housing, in accordance with the provisions of 
this section. Grants shall only be made under this section to provide 
assistance for housing which meets the following criteria--
    (a) For grants made to assist rental housing, at least 50 percent 
of the units must be occupied by or made available to families with 
incomes at or below 50 percent of the area median income level and the 
remaining units shall be occupied or made available to families with 
incomes at or below 80 percent of the area median income level, and in 
all cases the landlord shall give priority in renting units assisted 
under this section, for not less than three years following the 
completion of lead abatement activities, to families with a child under 
the age of six years, except that buildings with five or more units may 
have 20 percent of the units occupied by families with incomes above 80 
percent of area median income level:
    (b) For grants made to assist housing owned by owner-occupants, all 
units assisted with grants under this section shall be the principal 
residence of families with income at or below 80 percent of the area 
median income level, and not less than 90 percent of the units assisted 
with grants under this section shall be occupied by a child under the 
age of six years or shall be units where a child under the age of six 
years spends a significant amount of time visiting; For the purposes of 
complying with Section 1011 (1)(b) above, a unit occupied by a pregnant 
woman meets the Congressional intent of promoting primary prevention 
and may be assisted under this program.
    b. Certified and Trained Performers. Funded activities must be 
conducted by persons qualified for the activities according to 24 CFR 
Part 35 (possessing certification as abatement contractors, risk 
assessors, inspectors, abatement workers, or sampling technicians, or 
others having been trained in a HUD-approved course in lead-safe work 
practices).
    c. Coastal Barrier Resources Act. Pursuant to the Coastal Barrier 
Resources Act (16 U.S.C. 3501), you may not use these grant funds 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), you may not use these 
grant funds for lead-based paint hazard control of a building or 
manufactured 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 must be 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) 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. The Model Agreement may be 
obtained from the HUD Web site at: www.hud.gov, or the Office of 
Healthy Homes and Lead Hazard Control Web site at: www. hud. gov/ 
offices/ lead/ grant frm / pgi/ 95--06. pdf.
    f. 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 state or local law or the HUD Guidelines 
for the Evaluation and Control of Lead-Based Hazards in Housing (HUD 
Guidelines). The Guidelines are available from the HUD Web site at: 
http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm cfm.

[[Page 27291]]

    g. Worker Protection Procedures. You must observe the procedures 
for worker protection established in the HUD Guidelines, as well as the 
requirements of the Occupational Safety and Health Administration 
(OSHA) (29 CFR 1926.62, Lead Exposure in Construction), or applicable 
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.
    h. 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.
    i. Work Plan. The work plan shall consist of the goals and specific 
time-phased objectives established for each of the major activities and 
tasks required to implement the program. These major activities and 
tasks are outlined in the Quarterly Progress Reporting System (Form-
HUD-96006) and include: (1) Program Management and Capacity Building 
including data collection and program evaluation; (2) Community 
Education, Outreach and Training; and (3) Lead Hazard Activities 
including testing, interventions conducted, and relocation.
    (1) The work plan narrative shall include:
    (a) The management plan that describes how the project will be 
managed, and the timeline for staffing the program, establishing a 
lead-based paint contractor pool, and obtaining HUD approval for the 
Release of Funds Request (Form HUD-7015.15);
    (b) A detailed description of how assistance and funding will flow 
from the grantee to the actual performers of the hazard reduction work;
    (c) The selection process for sub-grantees, sub-contractors and/or 
subrecipients;
    (d) The identification, selection, and prioritization process for 
the particular properties where lead hazard control interventions are 
to be conducted;
    (e) A description of the financing mechanism used to support lead 
hazard control work in units (name of administering agency, eligibility 
requirements, type of financing (grant, forgivable or deferred loans, 
private sector financing, etc.), any owner contribution requirement, 
and the terms, conditions, and amounts of assistance available (include 
affordability terms and forgiveness and recapture of funds provisions);
    (f) The inspection/risk assessment testing procedures using EPA 
standards to identify lead hazards and to conduct clearance testing. 
(Dust wipe samples, 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 (NLAPP));
    (g) The process for developing work specifications and bids on 
properties selected for lead hazard control;
    (h) The levels of intervention and clearance procedures to be 
conducted for units enrolled;
    (i) The number of rental-occupied, vacant, and owner-occupied units 
proposed for each intervention level;
    (j) The relocation plan that will be carried out for residents 
required to be out of their homes during hazard control activities;
    (k) The evaluation process used to measure program performance.
    (2) Objectives and Milestones Specific and measurable performance 
objectives and milestones to be developed in support of the work plan 
narrative include:
    (a) The overall objectives for lead hazard control activities 
including the total number of lead hazard evaluations, units projected 
to be completed and cleared, and the expenditure of federal grant funds 
(HUD Agreement HUD-1044). Quarterly performance milestones are to be 
developed to achieve the overall objectives for these activities;
    (b) Performance benchmarks for the 42-month grants have been 
developed. These benchmarks included in this NOFA can also be found on 
the HUD Web site at: http://www.hud.gov/offices/lead/grantfrm/hudgrantee.cfm cfm.
    Development of your work plan must include and reflect these 
benchmark standards.

C. Reporting

    Successful applicants will be required to submit quarterly, annual, 
and final program and financial reports according to the requirements 
of the Office of Healthy Homes and Lead Hazard Control. Specific 
guidance and additional details will be provided to successful 
applicants.

VII. Agency Contact(s)

    For Further Information and Technical Assistance: You may contact 
Linda J. Ciancio, Acting Director; Program Management and Assurance 
Division; Office of Healthy Homes and Lead Hazard Control; 451 7th 
Street SW., Washington, DC 20410, or by telephone, FAX, or email: 
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 number via TTY by calling the toll-free Federal 
Information Relay Service at 800-877-8339; FAX: (202) 755-1000; or 
Email: [email protected] (use underscores)

VIII. Other Information

    Refer to the General Section of the SuperNOFA for details regarding 
other information on submitting a complete application that meets HUD 
requirements.

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2539-0015. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 80 hours per application and 16 hours per grant award. This 
includes the time for collecting, reviewing, and reporting the data. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

B. Other Office of Healthy Homes and Lead Hazard Control Information

    For additional general, technical, and grant program information 
pertaining to the Office of Healthy Homes and Lead Hazard Control visit 
their website at: http://www.hud.gov/offices/lead lead.
BILLING CODE 4210-32-P

[[Page 27293]]



Book 2 of 2 Books

Pages 27293 816

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

Part II--Continued





Department of Housing and Urban Development





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



Notice of HUD's Fiscal Year (FY) 2004, Notice of Funding Availability 
(NOFA), Policy Requirements and General Section to the SuperNOFA for 
HUD's Discretionary Programs; Notice

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27295]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.142


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27297]]



Healthy Homes Demonstration Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Healthy Homes Demonstration Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is: FR-
4900-N-04. The OMB Paperwork approval number is 2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.901 
Healthy Homes Demonstration Program.
    F. Dates: An original and three copies of your application must be 
submitted on or before July 13, 2004. See the General Section of the 
SuperNOFA Section IV, Application and submission Information, regarding 
application submission procedures and timely filing requirements.
    G. Additional Overview Content Information: 1. Purpose of the 
Program. The purpose of the Healthy Homes Demonstration Program is to 
develop, demonstrate, and promote cost-effective, preventive measures 
to correct multiple safety and health hazards in the home environment 
that produce serious diseases and injuries in children of low-income 
families. Through the Healthy Homes Demonstration program, HUD will 
initiate competitive projects to promote implementation of available 
risk reduction techniques for the control of key hazards described in 
Appendix A.
    2. Available Funds. HUD anticipates that approximately $5 million 
in Fiscal Year 2004 funds will be available.
    3. Number of Awards. Approximately four to approximately six grants 
will be awarded, ranging from approximately $250,000 to approximately 
$1,000,000. The average award in 2003 was $845,000.
    4. 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).
    5. Type of Award. Grant.
    6. Match. None required, but strongly encouraged.
    7. Limitations. There are no limitations on the number of 
applications that each applicant can submit.
    8. Information on Application. Information and procedures for 
completing an application are provided below.

Full Text of Announcement

I. Funding Opportunity Description

A. Background

    The Healthy Homes Demonstration Program is a part of HUD's Healthy 
Homes Initiative (HHI). In April 1999, HUD submitted to Congress a 
preliminary plan containing a full description of the HHI. This 
description (Summary and Full Report) is available on the HUD Web site 
at: www.hud.gov; this site also contains additional information on the 
HHI and a link to its website.
    The HHI 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, such as asthma, mold-induced illness, 
carbon monoxide poisoning, and other conditions related to housing in a 
coordinated fashion. The HHI departs from the more traditional approach 
of attempting to correct one hazard at a time (e.g., asbestos, radon); 
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. 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 of this NOFA briefly describes the housing-
associated health and injury hazards HUD considers key targets for 
intervention. Appendix D lists references that serve as the basis for 
the information provided in the Healthy Homes Demonstration Program 
NOFA.

B. Healthy Homes Initiative Goals

    1. Mobilize public and private resources, involving cooperation 
among all levels of government, the private sector, and faith-based and 
other 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 
prevent and control housing-based hazards in low- and very low-income 
residences when HUD funding is exhausted; and
    3. Affirmatively further fair housing and environmental justice.
    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, 
for children in low-income families. In addition, HUD encourages 
applicants to undertake specific activities that will assist the 
Department in implementing its Policy Priorities. HUD's Fiscal Year 
2004 Policy Priorities are discussed in the General Section to the 
SuperNOFA (hereafter referred to as the General Section of the 
SuperNOFA).
    Policy Priorities that are applicable to the Healthy Homes 
Demonstration NOFA are: (1) Improving our Nation's Communities (focus 
on distressed communities); (2) Providing Full and Equal Access to 
GrassRoots Faith-based or other Community-based Organizations in HUD 
Program Implementation; (3) Participation of Minority-Serving 
Institutions in HUD Programs and (4) Removal of Regulatory Barriers to 
Affordable Housing. Applicants that address these Policy priorities are 
eligible to earn additional points toward the overall score awarded 
their submission.

C. Healthy Homes Demonstration Objectives

    HUD will initiate competitive projects that implement housing 
assessment, maintenance, renovation and construction techniques to 
identify and correct housing-related illness and injury risk factors, 
disseminate healthy homes information and replicate successful 
interventions. The objectives of the Healthy Homes Demonstration 
program include:
    1. Identification of target areas and homes where assessment and 
interventions will occur;
    2. Identification and evaluation of effective methods of hazard 
abatement and risk reduction;
    3. Development of appropriately scaled, flexible, cost-effective 
and efficient assessment and intervention strategies that take into 
account the range of conditions likely to be encountered in housing, 
and that maximize the number of housing units that receive 
interventions;
    4. Development of methodologies for evaluating intervention 
effectiveness;

[[Page 27298]]

    5. Development of local capacity in target areas and training 
programs for target groups to operate sustainable programs to prevent 
and control housing-based hazards, especially in low- and very low-
income residences;
    6. Development of cost-effective protocols for identifying homes 
that are candidates for interventions, identifying hazards in these 
homes, and screening out homes where structural or other factors (e.g., 
cost) make interventions impractical;
    7. Development and delivery of public outreach programs that 
provide information about effective methods for preventing housing-
related childhood diseases and injuries and for promoting the use of 
these interventions;
    8. Targeting, through education and outreach, specific high-risk 
communities and other identified audiences such as homeowners, 
landlords, health care deliverers, pregnant women, children, 
residential construction contractors, maintenance personnel, housing 
inspectors, real estate professionals, home buyers, and low-income 
minority families;
    9. Implementation of media strategies to use print, radio and 
television to increase public awareness of housing-related hazards that 
threaten children, including the use of minority media, nonprofit 
organizations that work with persons with disabilities (including 
providing materials in alternative formats), advocates for racial and 
ethnic minorities (including providing materials in other languages for 
populations with Limited English Proficiency (LEP)), and faith-based 
organizations;
    10. Dissemination of tools currently used by the applicant and/or 
tools available from other sources and, as needed, tools to be 
developed, to inform parents and caregivers about housing-related 
hazards and enable them to take prompt corrective action; and
    11. Development of training programs for Healthy Homes activities 
to emphasize assessment and intervention methods applicable to public 
and private housing in target areas.
    Specific project activities applicable to these objectives can be 
found under Rating Factor 3.1.b.

D. Authority

    The authority for this program is sections 501 and 502 of the 
Housing and Urban Development Act of 1970 and the Consolidated 
Appropriations Resolution of 2004, Public Law 108-199.

II. Award Information

A. Funding Available

    Approximately $5 million in Fiscal Year 2004 funds is available for 
the Healthy Homes Demonstration Program Grants. Grants will be awarded 
on a competitive basis. HUD anticipates that approximately four to six 
grants will be awarded, ranging from approximately $250,000 to 
approximately $1,000,000. In fiscal year 2003, the average award was 
$845,000. The rating factors and selection process are discussed in 
Section V.
    Abstracts of currently funded grantees are available on the Healthy 
Homes Web site at: www.hud.gov/healthyhomes. Applicants may wish to 
review these for program content and may also contact Project Directors 
for additional information.

B. Anticipated Start Date and Period of Performance for New Grants

    The start date for new grants is expected to be October 1, 2004, 
with a period of performance not to exceed 36 months. HUD reserves the 
right to approve no cost time extensions for any grant under this 
program for a period not to exceed 12 months.

C. Type of Award Instrument

    All awards in response to this NOFA will be made as grants. 
However, HUD will require quarterly reporting and will work closely 
with grantees to develop and monitor projects.

III. Eligibility Information

A. Eligible Applicants

    Not-for-profit institutions, and for-profit firms located in the 
U.S., Native American Tribes, 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).

B. Cost Sharing or Matching

    Cost sharing or matching is not required. In rating your 
application, however, HUD will award a higher score under Rating Factor 
4 (see Section V.d) if you provide evidence of significant cost 
sharing.

C. Other

1. Threshold Requirements Applicable to all Applicants Under the 
SuperNOFA
    As an applicant, you must meet all of the threshold requirements 
described in the General Section of the SuperNOFA. Information about 
threshold requirements is provided in the General Section of the 
SuperNOFA. These requirements include the requirement to affirmatively 
further fair housing (AFFH). Applications that meet all of the 
threshold requirements will be eligible to be scored and ranked. Grants 
will be awarded on a competitive basis following evaluation of all 
proposals according to the rating factors described in the General 
Section of this SuperNOFA. A minimum score of 75 out of a possible 102, 
including EZ/EC bonus points, is required for award consideration.
    Applications will not be rated or ranked if they do not meet the 
threshold requirements of the General Section of the SuperNOFA.
2. Eligible Activities
    The following activities and support tasks are eligible under the 
Healthy Homes Demonstration grant program.
    a. Performing evaluations of eligible housing to determine the 
presence of housing-based hazards (e.g., moisture intrusion, mold 
growth, pests and allergens, unvented appliances, exposed steam pipes 
or radiators, deteriorated lead-based paint) through the use of 
accepted assessment procedures.
    b. Conducting housing interventions to remediate existing housing-
based hazards and address conditions that could result in their 
recurrence. Refer to the HUD Guidelines for the Evaluation and Control 
of Lead-Based Paint Hazards in Housing (Guidelines) for information 
about conducting such remediation. The Guidelines and/or applicable 
regulations may be downloaded from the Office of Healthy Homes and Lead 
Hazard Control's homepage, linked to HUD's website at: www.hud.gov.
    c. 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. Funds under this program may also be used to control lead-
based paint hazards; however, such controls may not be a principal 
focus of the grant. Lead hazard control activities are carried out 
under HUD's Lead-Based Paint Hazard Control Grant Program.
    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 re-
occupancy.
    e. Conducting medical examinations, when such examinations of young 
children for conditions caused or exacerbated by exposure to 
residential hazards are demonstrated to be critical to the outcome of 
your project, and

[[Page 27299]]

there are no alternative sources to cover these costs.
    f. Environmental sampling and medical testing recommended by a 
physician or applicable occupational or public health agency to protect 
the health of the intervention workers, supervisors, and contractors, 
unless reimbursable from another source.
    g. Conducting testing, analysis, and mitigation for lead, mold, 
carbon monoxide and/or other housing-related hazards as appropriate, 
with respect to generally accepted standards or criteria, or if 
standards are unavailable, other appropriate levels justified in 
conjunction with the project. A laboratory recognized by the 
Environmental Protection Agency's (EPA's) National Lead Laboratory 
Accreditation Program (NLLAP) must analyze clearance dust samples 
related to lead-based paint. It is recommended that samples to be 
analyzed for fungal species be submitted to a laboratory accredited in 
the Environmental Microbiological Laboratory Accreditation Program 
(EMLAP), administered by the American Industrial Hygiene Association 
(AIHA) and the American Association for Laboratory Accreditation 
(A2LA).
    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 Healthy Homes 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 faith-based or other community-based organizations for use 
by homeowners and tenants in low-income housing, or to such homeowners 
and tenants directly. (See the General Section of the SuperNOFA for 
more information about faith-based or other community-based 
organizations.)
    k. Conducting general or targeted community education programs on 
environmental health and safety hazards. This activity would include, 
but not be restricted to, training on Healthy Homes maintenance and 
renovation practices. It would also include making materials available 
in alternative formats for persons with disabilities (e.g., Braille, 
audio, large type) upon request, and providing materials in languages 
other than English that are common in the community, consistent with 
HUD's published ``Limited English Proficiency (LEP)'' Recipient 
Guidance.
    l. Securing liability insurance for hazard evaluation and control 
activities to be performed. This is not considered an administrative 
cost.
    m. Supporting data collection, analysis, and evaluation of project 
activities. As a condition of the receipt of financial assistance under 
this NOFA all successful applicants will be required to cooperate with 
all HUD staff and contractors performing HUD funded research and 
evaluation studies.
    n. Preparing quarterly progress reports and an overall final grant 
report detailing activities (e.g., number of units tested, hazards 
found, types of interventions provided, evaluation of the most cost-
efficient methodologies by type of unit), findings, and recommended 
future actions for cost-effective interventions at the conclusion of 
grant activities.
3. Program Requirements
    a. Work Activities. All lead hazard control activities must be 
conducted in compliance with the applicable requirements of HUD's Lead-
Safe Housing Rule, 24 CFR Part 35, especially Sec.  35.1325 for 
abatement and Sec.  35.1330 for interim controls and as clarified in 
HUD's Interpretive Guidance about this rule. Activities must also 
comply with any additional requirements in effect under a state or 
Native American Tribal Lead-Based Paint Training and Certification 
Program that has been authorized by the EPA pursuant to 40 CFR 745.320.
    b. Institutional Review Board Approval. In conformance with the 
Common rule (Federal Policy for the Protection of Human Subjects, 
codified by HUD at 24 CFR part 60), if your research involves human 
subjects, your organization must provide an assurance (e.g., a letter 
signed by an appropriate official) that the research has been reviewed 
and approved by an IRB before you can initiate activities that require 
IRB approval. You must also provide the number for your organization's 
assurance (i.e., an ``institutional assurance'') that has been approved 
by the Department of Health and Human Service's Office of Human 
Research Protections (OHRP). For additional information on what 
constitutes human subject research or how to obtain an institutional 
assurance see the OHRP website at: http://ohrp.osophs.dhhs.gov.
    c. Program Performance. Grantees shall take all reasonable steps to 
accomplish all healthy homes activities within the approved period of 
performance. HUD will closely monitor the grantee's performance with 
particular attention to completion of specified activities, 
deliverables and milestones, and number of units proposed to be 
assessed or receive interventions within the approved period of 
performance. HUD reserves the right to terminate the grant prior to the 
expiration of the period of performance if the grantee fails to meet 25 
percent of the milestones, including all deliverables, as scheduled in 
their work plan.
    d. Certified and Trained Providers. Lead hazard control activities 
must be conducted by persons qualified for the activities according to 
24 CFR Part 35 (possessing certification as abatement contractors, risk 
assessors, inspectors, abatement workers, or sampling technicians, or 
others having been trained in a HUD-approved course in lead-safe work 
practices).
    e. Clearance Testing for Lead Hazard Control Activities. Clearance 
dust testing must be conducted according to the EPA Lead Hazards 
Standards Rule (40 CFR part 745) for abatement projects and the Lead-
Safe Housing Rule (24 CFR part 35) for lead hazard control activities 
other than abatement. These are available at: www.epa.gov/lead and 
www.hud.gov, respectively.
    f. All tests results related to lead-based paint must be provided 
to the owner of the unit, together with a notice describing the owner's 
legal duty to disclose the results to tenants and buyers. Disclosure of 
other housing-related hazards to the owner of the unit is encouraged 
but not required.
    g. All pest control activities shall incorporate the principles and 
methods of integrated pest management (IPM). In technical terms, IPM is 
the coordinated use of pest and environmental information with 
available pest control methods to prevent unacceptable levels of pest 
damage by the most economical means and with the least possible hazard 
to people, property, and the environment. The IPM approach emphasizes a 
targeted use of pesticides that limits the possibility of human 
exposure (e.g., as opposed to wide-spread applications) and includes 
interventions based on the behavior of the target pest (e.g., 
preventing access to food or water). (One information source is the 
University of Minnesota's electronic textbook of Integrated Pest 
Management, available at: http://ipmworld.umn.edu/textbook.htm.)
    h. Grantees collecting samples of settled dust from participant 
homes for environmental allergen analyses (e.g., cockroach, dust mite) 
will be required to use a standard dust sampling protocol, unless there 
is a strong justification to use an alternate protocol. The HUD 
protocol will be posted on the OHHLHC website at: http://www.hud.gov/
offices/

[[Page 27300]]

lead/hhi/hhiresources.cfm. Grantees conducting these analyses will also 
be required to include quality control dust samples, provided by OHHLHC 
at no cost to the grantee, with the samples that are submitted for 
laboratory analyses. For the purpose of budgeting laboratory costs, 
assume that five percent of your total allergen dust samples would 
consist of QC samples.
    i. Occupational Health and Safety Administration (OSHA) (e.g., 29 
CFR part 1910 and/or 1926, as applicable), the 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 agencies and applicable EPA, HUD, state, and local 
regulatory agency guidance. You must handle disposal of wastes from 
hazard control activities that contain lead-based paint, but are not 
classified as hazardous in accordance with state or local law or the 
HUD Guidelines for the Evaluation and Control of Lead-Based Hazards in 
Housing (HUD Guidelines). The HUD Guidelines may be downloaded from the 
HUD Web site at: www.hud.gov.
    j. Worker Protection Procedures. You must comply with the 
procedures for worker protection established in the HUD Guidelines as 
well as the requirements of the OHSA, e.g., 29 CFR part 1910 and/or 
1926, as applicable, or the state or local occupational safety and 
health regulations, whichever are more stringent.
    k. Written Policies and Procedures. You must have written policies 
and procedures for all phases of interventions, 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, subrecipients, and their contractors must comply 
with these policies and procedures.
    l. 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 three years following the completion 
of intervention activities.
    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. Section 3 Employment Opportunities. Recipients of assistance in 
the Healthy Homes Demonstration Program 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. Please see 
the General Section of the SuperNOFA for additional information about 
Section 3 requirements.
    o. Certifications and Assurances. You must include the 
certifications and assurances listed in the General Section of this 
SuperNOFA with your application. A Certification of Consistency with 
the Consolidated Plan is not required for the Healthy Homes 
Demonstration NOFA.
    p. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. If awarded assistance under the Healthy Homes 
Demonstration NOFA, you will be required, prior to entering into a 
grant agreement with HUD, to submit a copy of your code of conduct and 
describe the methods you will use to ensure that all officers, 
employees, and agents of your organization are aware of your code of 
conduct. See the General Section of the SuperNOFA for information about 
conducting business in accordance with HUD's core values and ethical 
standards.
4. DUNS Requirement
    Refer to the General Section of the SuperNOFA for information 
regarding the DUNS requirement.

IV. Application and Submission Information

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

A. Address To Request an Application Package

    An application kit is not available for this NOFA. The information 
and material needed for an application is available from this program 
NOFA and the General Section of the SuperNOFA. Required forms are 
available online at: www.hud.gov. There are no materials available by 
mail for this NOFA.

B. Content and Form of Application Submission

    Your application must include the following items and must be in 
concordance with the format and instructions described therein. The 
application should follow the outline provided in the Checklist to be 
found in Appendix E.
    1. Provide a one-page transmittal letter, signed by the chief 
executive or other authorized official, that provides the title of your 
proposed project, the dollar amount requested, and identifies you and 
your partners in the application. Include the name, mailing address, 
and telephone number of the principal contact person. If you are a 
consortium of associates, subrecipients, partners, major 
subcontractors, joint venture participants, or others contributing 
resources to the project, similar information shall also be provided 
for each of these entities. You must also specify the primary entity.
    2. An abstract describing the goals and objectives of your proposed 
program (2-page limit, single-spaced, 12-point standard font, one-inch 
margins) must be included in the proposal.
    3. Checklist and Submission Table of Contents (see Appendix E of 
this NOFA; inclusion of the checklist is voluntary; however, it is 
recommended.).
    4. Required Forms. All required forms are discussed in the General 
Section of the SuperNOFA and listed on the checklist in Appendix E. 
These forms are available at: www.grants.gov. They are also available 
as fillable Adobe Reader (PDF) or Word (DOC) formats from the HUD Web 
site at: www.hud.gov.
    5. 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). We recommend that you number 
all pages consecutively, including all appendices. The response to the 
rating factors must not exceed a total of 25 pages (single-spaced, 12-
point font, one-inch margins). Key points to consider in preparing your 
application are provided in Appendix C of this NOFA. Any pages in 
excess of this limit will not be read.
    6. Any attachments, appendices, references, or other relevant 
information that directly support the narrative may accompany it, but 
must not exceed twenty pages (12-point font with 1-inch margins) for 
your entire application. As discussed above, we recommend that you 
number pages consecutively. Any pages in excess of this limit will not 
be read. This material should be placed in

[[Page 27301]]

Appendix 2 of your application. Specific criteria for the content of 
the appendices for the Healthy Homes Demonstration Program grant 
application are listed in the Checklist and Submission Table of 
Contents (see Appendix E of this NOFA.)
    7. A detailed budget with supporting cost justification for all 
budget categories of your funding request, in accordance with Rating 
Factor 3, (2)(b). The budget and related materials should be placed in 
Appendix 3 of your application. This information will not be counted 
towards the page limits. In completing the budget forms and 
justification, you should address the following elements:
    a. Direct Labor costs should include all full- and part-time staff 
required for the planning and implementation phases of the project. 
These costs should be based on FTE (full time equivalent) or hours per 
year (hours/year) (i.e., one FTE equals 2,080 hours/year)
    b. You should budget for three trips to HUD Headquarters in 
Washington, DC, planning each trip for two people, assuming the first 
trip occurring shortly after grant award for a stay of two or three 
days, depending on your location, and the remaining trips having a stay 
of one or two days, depending on your location.
    c. A separate budget proposal should be provided for any 
subrecipients receiving more than 10 percent of the total federal 
budget request.
    d. You should be prepared to provide supporting documentation for 
salaries and prices of materials and equipment upon request.
    e. Organizations that have a federally negotiated indirect rate 
should use that rate and the appropriate base. Other organizations must 
obtain a rate from their cognizant federal agency; otherwise the 
organization will be required to obtain a negotiated rate from HUD.
    f. You should submit the negotiated rate agreements for fringe 
benefits and indirect costs, if applicable, as an attachment to the 
budget sheets.
    8. The position descriptions and resumes, if available, of your 
project director and project manager and up to three additional key 
personnel (in accordance with Rating Factor 1), not to exceed three 
pages each (single-spaced, 12-point font with 1-inch margins). This 
information is to be included in Appendix 1 of your application and 
will not be counted toward the page limit.

C. Submission Dates and Times

    You must submit an original and three copies of your application on 
or before July 13, 2004. Refer to the General Section of the SuperNOFA 
for additional submission requirements including acceptable submission 
methods, acceptable proof of delivery, and other information regarding 
application submission.

D. Intergovernmental Review

    Not required for this submission.

E. Funding Restrictions

    1. Administrative Costs. There is a 10 percent maximum allowance 
for administrative costs. Additional information about allowable 
administrative costs is provided in Appendix F of this NOFA.
    2. Purchase of Real Property is not permitted.
    3. Purchase or lease of equipment having a per unit cost in excess 
of $5,000 is not permitted, unless prior written approval is obtained 
from HUD.
    4. Medical costs, except as specified above in Section III.C.2., 
are not permitted.

G. Other Submission Requirements

1. Application Submission Procedures
    Submit an original and three copies of your application to: HUD 
Headquarters; Robert C. Weaver Federal Building; 451 Seventh Street, 
SW., Room P3206; Washington, DC 20410-3000; ATTN: Healthy Homes 
Demonstration Program.
    See the General Section of this SuperNOFA for specific procedures 
concerning the form of application submission (e.g., mailed 
applications, express mail, or overnight delivery).

V. Application Review Information

A. Criteria

    1. Rating and Ranking. Applications will be reviewed by an 
Application Review Panel (ARP) which will assign each application a 
numerical score based on the rating factors presented below. The ARP 
chairperson initially selects and provides at least one application to 
panel members to score during a calibration round to ensure that all 
panel members are consistent in their interpretation of the rating 
factors. When the calibration round is completed, each application is 
reviewed and scored by at least two panel members who will assign a 
score based on the rating factors presented in section V.A.2 below. 
Each factor is weighted as indicated by the number of points that are 
attainable for it. An average score is then computed for each 
application. The ARP chair may call upon an advisor to the ARP to 
review and comment on a proposal; however, the advisor does not score 
the application. The ARP holds a final meeting to identify the top-
ranking applications to be recommended for funding. Awards will be made 
separately in rank order within the limits of funding availability. The 
maximum score that can be assigned to an application is 102 points. 
Applicants should be certain that these factors are adequately 
addressed in the project description and accompanying materials.
    a. Five rating factors:
    Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational xperience (20 points);
    Rating Factor 2: Need/Extent of the Problem (15 points);
    Rating Factor 3: Soundness of Approach (40 points);
    Rating Factor 4: Leveraging Resources (10 points);
    Rating Factor 5: Achieving Results and Program Evaluation (15 
points);
    RC/EZ/EC Bonus Points (2 points);
    Total: 102 points.
    Applicants are eligible to receive two bonus points for projects 
located within federally designated Renewable Communities (RC)/
Employment Zones (EZ)/Enterprise Communities (EC) (RC/EZ/ECs) and which 
will serve the residents of these communities (see the General Section 
of the SuperNOFA).
    2. Rating Factors. The factors for rating and ranking applicants, 
and maximum points for each factor, are provided below.
a. 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 faith-based or other 
community-based organizations, sub-contractors, consultants, 
subrecipients, and members of consortia that are firmly committed to 
your project. Applicants that either are or propose to partner, fund, 
or sub-contract with grassroots organizations, including faith-based or 
other community-based nonprofits, in conducting their work programs 
will receive higher rating points as specified in the General Section 
of the SuperNOFA. In rating this factor, HUD will consider the four 
items listed below.
    (1) Capacity and Qualifications of Principal Investigator and Key 
Personnel. Your recent, relevant, and successful demonstrated 
experience in undertaking eligible program activities. You must 
describe the knowledge and experience of the proposed overall

[[Page 27302]]

project director and day-to-day project manager in planning and 
managing large and complex interdisciplinary programs, especially those 
involving housing, public health, or environmental programs. In your 
narrative response for this factor, you should include information on 
your project staff, their experience with housing and health programs, 
percentage commitment to the project, and position titles. Resumes of 
up to three pages each and position descriptions for up to three key 
personnel in addition to the project director and project manager, and 
a clearly delineated organizational chart for the Healthy Homes project 
you propose, must be included in Appendix 1 of your application. 
Position descriptions and copies of job announcements (including salary 
range) should be included for any key positions that are currently 
vacant or contingent upon an award. Indicate the name of the position, 
the percentage of time that proposed staff will devote to your project 
and any salary costs to be paid by funds from this program. Successful 
applicants must hire within 120 days of award all key staff positions 
identified in the proposal as vacant or required in the award 
agreement. HUD reserves the right to terminate grant awards made to 
applicants that fail to timely hire (within 120 days of award) such 
staff. Include descriptions of the experience and qualifications of 
subcontractors and consultants. You may find it useful to include a 
table indicating the name, position and percentage contribution of 
staff members, specifying organizational affiliation.
    (2) Qualifications of Applicant and Partner Organizations. To carry 
out the proposed activities as evidenced by experience, academic 
background, training, and/or relevant publications of project staff. 
Document 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 and how 
you propose to coordinate with your partners. You should thoroughly 
describe capacity, as demonstrated by experience in initiating and 
implementing related environmental, health, or housing projects.
    (3) Past performance of the organization. Applicant or partners in 
another Healthy Homes or Lead Hazard Control grant, another grant 
related to environmental health and safety issues, or other experience 
in a similar program. Provide details about the nature of the project, 
the funding agency, and your performance, relative to performance 
measures and the achievement of desired housing and health related 
outcomes.
    (4) Performance as a Healthy Homes Grantee. If your organization is 
an existing Healthy Homes grantee, provide a description of the 
progress and outcomes achieved in that grant. If you received previous 
Healthy Homes Demonstration funding, this experience will be evaluated 
in terms of cumulative progress and achievements under the previous 
grant.
    Please complete the Factor 1 table, Capacity of the Applicant and 
Relevant Organizational Experience, in Appendix B to support narrative 
information submitted.
b. 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 related to 
healthy homes issues and housing-related hazards in your target area(s) 
and target group(s).
    (1) Specifically identify a target area for your proposed 
activities. Document a critical level of need for your proposed 
activities in this target area. You should pay specific attention to 
documenting the need as it applies to your target area(s), and provide 
statistics for this area, if available, rather than general statistics 
or information pertinent to a larger geographic area. If your target 
area comprises a Renewal Community/Enterprise Community/Empowerment 
Zone, indicate the location of this area in the narrative for this 
rating factor. (2 bonus points are awarded if your target area is 
located in a Renewal Zone/Enterprise Community/Empowerment Zone.)
    (2) Your documentation should summarize available data linking 
housing-based hazards to disease or injuries to children in your target 
area(s), if available. 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 (e.g., asthma, allergies, 
hypertension, elevated blood lead levels) or injuries (e.g., falls, 
burns) among children residing in your target areas that could be 
caused or exacerbated by exposure to conditions in the home 
environment; and
    (3) For the areas targeted for your project activities, provide 
data available in your jurisdiction's currently approved Consolidated 
Plan and the Analysis of Impediments to Fair Housing Choice (AI) or 
Indian Housing Plan or derived from current census data or from other 
sources. Provide and reference data that address the following:
    (a) The age and condition of housing;
    (b) The number and percentage of low- and very low-income families 
with incomes less than 50 percent and 80 percent of the median income, 
respectively, as determined by HUD, for the area, with adjustments for 
smaller and larger families. Statistics that describe low- and very-low 
income families are available at: www.huduser.org/datasets/il/fmr00/sect82.html. Additional census statistics are available at: 
www.census.gov/hhes/www/income00.html, www.census.gov/hhes/income/income00/statemhi.html, and www.huduser.org/datasets/il/fmr00/index.html;
    (c) To the extent that statistics and other data contained in your 
community's Consolidated Plan or AI support the extent of the problem, 
you should include references to the Consolidated Plan or AI in your 
response; and
    (d) Data documenting targeted groups that are traditionally 
underserved or have special needs. For a maximum score in this rating 
factor, data provided should specifically represent the target area. If 
the data presented in your response do 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 or AI, you will receive more points than applicants 
that do not relate their project to a previously identified need.
    Complete the Factor 2 table, Need/Extent of Problem, in Appendix B 
to support narrative information (and section A if lead poisoning risk 
is part of demonstrated need).
c. Rating Factor 3: Soundness of Approach (40 Points)
    This factor addresses the quality and cost-effectiveness of your 
proposed work plan. You should present detailed 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, documented and 
demonstrated community needs, and the purpose of the project. Your 
application will be evaluated according to the comprehensiveness of 
addressing

[[Page 27303]]

activities that are applicable to your project. The response to this 
factor should include details about your technical approach and project 
activities. HUD is looking for a clear statement of activities, 
timeline for completing the work and expected deliverables, including 
any quantitative deliverables.
    (1) Approach for Implementing the Project (25 points).
    (a) Technical Approach. Describe your overall technical approach 
for strategizing and implementing your proposed project. Your narrative 
response to this sub-factor will be used to assess how well your 
proposed project will be executed. In this factor, describe the 
methods, schedule, milestones, and quality assurance activities that 
will be carried out to identify and control housing-based hazards and 
to achieve the desired project outcomes. Include summary information 
about the estimated numbers of clients to be contacted, clients 
enrolled, units to be assessed, units to receive interventions, 
individuals to be trained and individuals to be reached through 
education/outreach activities.
    (b) Project Activities. Your project description must include a 
discussion of specific planned project activities that address one or 
more of the following activities.
    (i) Describe in detail how you will identify, select, prioritize, 
and enroll units of eligible housing in which you will undertake 
housing-based hazard 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. Describe 
impediments that you anticipate for recruitment, measures you will 
perform to sustain recruitment, and the staff responsible for both 
monitoring recruitment status and implementing the measures identified 
to sustain recruitment. Describe any anticipated impact of the Health 
Insurance Portability and Accountability Act (HIPPA) on your 
recruitment strategy.
    (ii) Describe any assessment tools you would employ to establish 
baseline data. These tools include questionnaires, visual assessment 
protocols and environmental sampling and analysis. Include a 
description of the Informed Consent/Disclosure process you intend to 
follow for obtaining Institutional Review Board (IRB) approval, if 
necessary. In particular, describe how you will provide informed 
consent (e.g., from the subjects, and their parents and guardians, as 
applicable) to help ensure their understanding of, and consent to, the 
elements of informed consent, such as the purposes, benefits and risks 
of the research activities. Describe how this information will be 
provided and how the consent will be collected. For example, describe 
the use of ``plain language'' forms, flyers, and verbal scripts, and 
discuss your plans to work with persons with limited English 
proficiency and their families, and with families including persons 
with disabilities.
    (iii) Describe your process for evaluating units of eligible 
housing in which you will undertake housing-based hazard interventions. 
Provide the estimated total number of owner-occupied and/or rental 
units in which you will perform assessments and conduct interventions.
    (iv) Describe any specialized testing, if applicable, or visual 
assessment that you will conduct during assessment of units and provide 
a reference to source(s) of the protocol(s). Provide a description of 
protocols or include protocols in an appendix of your application.
    (v) 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). Provide an estimate of the cost of each 
intervention (material costs and labor costs associated with 
installation) and an estimate of costs projected per unit. Describe 
your management processes to be used to ensure the cost-effectiveness 
of the housing interventions.
    (vi) Describe the process to be followed for referring children for 
medical case management and indicate organizations that will be 
involved in this process.
    (vii) Describe your process for the development of work 
specifications for the selected interventions.
    (viii) Discuss your process to select and obtain contractors for 
conducting interventions in selected units and provide details about 
the competitive bidding process, if applicable.
    (ix) Describe your plan for the relocation of occupants of units 
selected for intervention, if temporary relocation is necessary. 
Describe criteria that will determine the need for relocation and 
identify staff that will make relocation decisions. Address the use of 
safe houses and other housing arrangements, storage of household goods, 
stipends, incentives, etc., and the source of funding for relocation.
    (x) 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.
    (xi) Describe how you will affirmatively further fair housing, 
which would include, but not be limited to: Affirmative marketing of 
the program to those least likely to apply based on race, color, sex, 
familial status, national origin, religion, disability, especially when 
persons in these demographic groups are generally not served by the 
nonprofit or faith-based applicant or partner organizations; providing 
materials in alternative formats for persons with disabilities; 
providing materials in languages other than English for individuals 
with limited English proficiency and their families; assuring long-term 
residency by families currently living in the community; and assuring 
that priority for treated units go to those who need the features 
(treatment) of the unit.
    (xii) 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 that will administer the process.
    (xiii) Describe your proposed methods for community and/or targeted 
education and training. These should include community awareness, 
education, training, and outreach programs that support your work plan 
and are culturally sensitive and targeted appropriately. Provide 
information about specific educational/outreach activities with 
quantitative data (number of individuals to be reached, etc.) and a 
description of the intended audience. Describe proposed activities to 
deliver culturally appropriate educational materials and methods to the 
target population and communities. Describe efforts to understand and 
incorporate culturally sensitive approaches to assessment and 
interventions.
    (xiv) Provide detailed information about training staff or other 
organizations to provide the knowledge and skills required to address 
Healthy Homes issues that are essential for successfully implementing 
your project (e.g., education, assessments and interventions). Include 
an outline of training curricula, a description of

[[Page 27304]]

qualifications of trainers, and selection of individuals or groups who 
will receive the training. Describe how Healthy Homes training programs 
will be expanded to include public housing agencies or Tribally 
Designated Housing Entities and other potential collaborators, such as 
faith-based or other community-based organizations.
    (xv) Describe your proposed involvement of neighborhood, or faith-
based and other community-based organizations in the proposed 
activities. These activities may include outreach, community education, 
marketing, inspection, and housing evaluations and interventions.
    (xvi) Describe your proposed methods to reach high-risk groups and 
communities, vulnerable populations and persons traditionally 
underserved.
    (xvii) Indicate if, and describe how, you will address any of HUD's 
departmental policy priorities (see General Section of the SuperNOFA 
for a fuller explanation of HUD's policy priorities). You will receive 
points under Rating Factor 3 for each of the applicable FY 2004 policy 
priorities that are adequately addressed in your application to a 
maximum of five points (see the General Section of this NOFA). Policy 
priorities that are applicable to the Healthy Homes Demonstration NOFA 
are: (1) Improving our Nation's Communities (focus on distressed 
communities; (2) Providing Full and Equal Access to GrassRoots Faith-
based or other Community-based Organizations in HUD Program 
Implementation); (3) Participation of Minority-Serving Institutions in 
HUD Programs; and (4) Removal of Regulatory Barriers to Affordable 
Housing. Each policy priority is worth one point, except for policy 
priority (4), Removal of Regulatory Barriers to Affordable Housing, 
which is worth up to 2 points. Applicants that include work activities 
that specifically address one or more applicable policy priorities will 
receive higher rating scores than applicants that do not address these 
HUD priorities, up to a maximum of 5 points
    (2) Approach for Managing the Project. (12 points). Describe your 
project goals and objectives and the strategy you will use in managing 
and executing the project. You should provide information on the 
general approach and overall plan employed.
    (a) Project Management Plan (10 points). Include a management plan 
that:
    (i) Incorporates appropriate performance goals;
    (ii) Lists the project objectives, major tasks and activities. All 
specific activities necessary to complete the proposed project must be 
included in the task listing;
    (iii) Provides a schedule for the assignment, tracking and 
completion of major tasks and activities, and a timeframe for delivery;
    (iv) Ensures that quality assurance activities and corrective 
actions are managed;
    (v) Designates resources and identifies responsible entities 
(project staff/ partner organizations);
    (vi) Describes the strategy and methods for coordination and 
communication between partners; and
    (vii) Describes the management processes to manage costs and ensure 
that cost-effective housing interventions will be implemented.
    (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 detailed budget should be submitted using Form HUD-
CBW. An electronic copy of this and other budgetary forms are available 
at: www.grants.gov. You must thoroughly document and justify all budget 
categories and costs (form HUD-424-CB) and all major tasks for 
yourself, subrecipients, partners, major subcontractors, joint venture 
participants, or others contributing resources to the project. Include 
a 2-page narrative that describes clearly and in detail your budgeted 
costs for each required program element (major task) included in your 
overall plan. (You may include this narrative along with the budget 
forms; it will not count toward the 25-page limit of the narrative.)
    (3) Economic Opportunity (3 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:
    (a) Describe how you or your partners will comply with Section 3 of 
the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and 
HUD's implementing rules at 24 CFR part 135. Describe how you will 
accomplish this requirement by:
    (i) providing training and employment opportunities for low- and 
very low-income persons living within the grantee's jurisdiction, and 
by
    (ii) providing business opportunities to businesses owned by low- 
and very low-income persons living within the targeted jurisdiction; 
information about Section 3 requirements is available by searching 
HUD's website, www.hud.gov;
    (b) Describe how your proposed project will provide opportunities 
for self-sufficiency, particularly for persons enrolled in welfare-to-
work programs, or providing educational and job training opportunities; 
and
    (c) Describe the extent to which your proposed activities will 
occur in an Empowerment Zone or Enterprise Community (EZ/EC), Urban 
Enhanced Enterprise Community (EEC), or Renewal Community (RC) as 
defined in the General Section of the SuperNOFA. (You may identify the 
RC/EC/EZ in Rating Factor 2, Need/Extent of the Problem.)
d. Rating Factor 4: Leveraging Resources (10 Points)
    This factor addresses your ability to secure other community 
resources (e.g., financing, supplies, or services) that can be combined 
with HUD's resources to achieve project purposes. These community 
resources may be contributions from organizations such as the 
applicant, partners, or other organizations not directly involved in 
the project.
    (1) In evaluating this factor, HUD will consider the extent to 
which you have developed partnerships 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 (e.g., labor, fringe 
benefits, services, supplies, or equipment) budgeted for your proposed 
project. Resources may be provided by state and local governmental 
entities, public or private organizations, or other partners.
    (2) Each source of contributions (financial or in-kind) must be 
supported by a letter of commitment from the contributing entity, 
whether the applicant, a partner organization, or a public or private 
source. The letter must describe the contributed resource(s) that will 
be used in your project and the dollar value of each contribution. 
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

[[Page 27305]]

proposed project. The commitment must be signed by an official legally 
able to make commitments on behalf of the organization. Letters of 
support (letters that indicate support, but do not specify a monetary 
commitment to the project) will not be considered in the scoring of 
Rating Factor 4. Include information to address the following elements.
    (a) The extent to which you have coordinated your activities with 
other known organizations that are not directly participating in your 
proposed work activities, but with which you share common goals and 
objectives.
    (i) Describe your plan for integrating and coordinating housing-
based hazard interventions with other housing-related activities (e.g., 
rehabilitation, weatherization, correction of code violations, and 
other similar work).
    (ii) 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.
    (b) The extent to which your project exhibits the potential to be 
financially self-sustaining by decreasing dependence on federal funding 
and relying more on state, local and private funding to continue 
healthy homes activities after the grant period is completed.
    Applicants are to complete the Factor 4 table, Leveraging 
Resources, in Appendix B to support narrative information submitted.
e. Rating Factor 5: Achieving Results and Program Evaluation (15 
Points)
    This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. HUD is committed to ensuring 
that applicants keep promises made in their applications and assess 
their performance to ensure that performance goals are met. Achieving 
results means you, the applicant, have clearly identified the benefits 
or outcomes of your program. Outcomes are ultimate goals. Benchmarks or 
outputs are interim activities or products that lead to the ultimate 
achievement of your goals.
    Program evaluation requires that you identify program outcomes, 
interim benchmarks, and performance indicators that will allow you to 
measure your performance. Performance indicators should be objectively 
quantifiable and measure actual achievements against anticipated 
achievements. Your Evaluation Plan should identify what you are going 
to measure, how you are going to measure it, and the steps you have in 
place to make adjustments to your work plan if performance targets are 
not met within established time frames.
    In your response to this rating factor, you are to discuss the 
performance goals for your project, and identify specific outcome 
measures. Identify and discuss the specific methods you will use to 
measure progress towards your goals, track and report results of 
assessments and interventions, and evaluate the effectiveness of 
interventions; identify important project milestones (e.g., the end of 
specific phases in a multi-phased project) and deliverables specific to 
your project timeline, and identify milestones that are critical to 
achieving project objectives (e.g., developing questionnaires or 
protocols, hiring staff, recruitment of participants, and Institutional 
Review Board approval, if applicable); identify benchmarks such as 
number of units that received intervention, percent of interventions 
that occurred in high-risk communities, etc. that you will use to track 
the progress of your project.
    You should also identify how your project will be held accountable 
for meeting project goals, objectives, and the actions undertaken in 
implementing the grant program. You should provide assurances that work 
plans and performance measures developed for your project will be 
achieved in a timely and cost-effective manner.
    You must complete and return the Form HUD-96010, Logic Model, 
showing your proposed project long-term, mid-term, short-term, and 
final results, and how they support HUD's departmental goals and 
objectives. Information about developing a Logic Model is available at: 
www.hud.gov.
    In evaluating Rating Factor 5, HUD will consider how you have 
described the benefits and outcome measures of your program.

B. Reviews and Selection Process

    Information on the review and selection process is provided in the 
General Section of the SuperNOFA. The General Section also provides the 
procedures for correcting deficient applications.

C. Anticipated Announcement and Award Dates

    The anticipated award date for this NOFA is September 30, 2004.

VI. Award Administration Information

A. Award Notices

1. Applicants Selected for Award
    Successful Applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer. The letter will 
provide additional details regarding the effective start date of the 
grant and any additional data and information to be submitted to 
execute a grant agreement. This letter is not an authorization to begin 
work or incur costs under the grant.
    HUD may require that all the grantees 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, and proceed with negotiations 
with the next highest-ranking applicant. If you accept the terms and 
conditions of the grant, you must return your signed grant agreement by 
the date specified during negotiation.
    After receiving the letter, additional instructions on how to have 
the grant account entered into HUD's Line of Credit Control System 
(LOCCS) payment system will be provided. Other forms and program 
requirements will also be provided.
    In accordance with OMB Circular A-133 (Audits of States, Local 
Governments and Non-Profit Organizations), grantees will have to submit 
their completed audit-reporting package along with the Data Collection 
Form (SF-SAC) to the Single Audit Clearinghouse. The address can be 
obtained from their website. The SF-SAC can be downloaded at: http://harvester.census.gov/sac/.
2. Debriefing
    The General Section of the SuperNOFA provides the procedures for 
applicants to request a debriefing.

B. Administrative and National Policy Requirements

    Refer to the General Section of the SuperNOFA for additional 
details regarding the Administrative and National Policy Requirements 
applicable to HUD Programs.
1. 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 must 
comply with HUD's regulations in

[[Page 27306]]

24 CFR 50.3(h) in carrying out responsibilities regarding environmental 
review. 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. Recipients of a grant under 
this NOFA will be given guidance in these responsibilities.
2. 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.
3. 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:
    a. 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
    b. 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.
4. 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. A Model Agreement 
(Prototype Programmatic Agreement) is available at the Office of 
Healthy Homes and Lead Hazard Control's website, linked to www.hud.gov.
5. 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 statutes 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 URA, as amended, 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. See Section V (G) of the General 
Section of the SuperNOFA for additional information about relocation.
6. 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.

C. Reporting

    Successful applicants will be required to submit quarterly and 
final program and financial reports according the requirements of the 
Office of Healthy Homes and Lead Hazard Control. Specific guidance and 
additional details will be provided to successful applicants.
    The following items are a part of OHHLHC'' reporting requirements.
    1. Final Work Plan and Budget are due prior to the effective start 
of the grant.
    2. Quality Assurance Plan (QAP). Successful Healthy Homes 
Demonstration applicants that will be collecting housing, demographic 
or environmental data in a formalized manner for use in assessing 
accomplishments of the approaches being demonstrated under the grant 
will be required to submit a Quality Assurance Plan (QAP) to HUD prior 
to initiating work under the grant. This is a streamlined version of 
the format used by some other federal agencies, and is intended to help 
ensure the accuracy and validity of the data that you will collect 
under the grant. Your proposed project activities should include 
developing this QAP. The QAP will be submitted to HUD as a part of your 
work plan.
    3. Progress reports are due on a quarterly basis.
    4. A final report is due at the end of the grant. Specific 
information on all reporting requirements will be provided to 
successful applicants.
    5. Racial and Ethnic Beneficiary Data. HUD does not require 
grantees to collect and report racial and ethnic beneficiary data for 
this program. If, however, racial and ethic data are collected and 
reported as part of a study funded under this program NOFA, you must 
use the Office of Management and Budget's Standards for the Collection 
of Racial and Ethnic Data as presented on Form HUD-27061, Racial and 
Ethnic Data Reporting Form (and instructions for its use), found on 
www.grants.gov.

VII. Agency Contacts

    For technical or programmatic questions, you may contact by 
writing: Emily Williams, Acting Director; Healthy Homes Division; U.S. 
Department of Housing and Urban Development; Office of Healthy Homes 
and Lead Hazard Control; 451 Seventh Street, SW., Room P3206; 
Washington, DC 20410-3000; or by telephone by calling (336) 547-4002, 
extension 2067 (this is not a toll-free number). For administrative 
questions, you may contact Curtissa L. Coleman, Grants Officer, at the 
address above or by telephone at: (202) 755-1785, extension 119 (this 
is not a toll-free number). If you are hearing or speech-impaired, you 
may reach the above telephone numbers via TTY by calling the toll-free 
Federal Information Relay Service at 800-877-8339.

VIII. Other Information

    1. The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are discussed in the General Section. Refer to the General Section 
of the SuperNOFA for details regarding other information on submitting 
a complete application that meets HUD requirements. For additional 
general, technical, and grant program information pertaining to the 
Office of Healthy Homes and Lead Hazard Control, visit: http://www.hud.gov/healthyhomes.
    2. The information collection requirements contained in this

[[Page 27307]]

document have been approved by the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) 
and assigned OMB control number 2539-0015. In accordance with the 
Paperwork Reduction Act, HUD may not conduct or sponsor, and a person 
is not required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 96 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, quarterly reports, and final 
report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.
    3. The appendices to this NOFA follow.

Appendix A: Housing-Related Health and Injury Hazards

    The following briefly describes the housing-associated health 
and injury hazards HUD considers key targets for intervention. More 
information about housing-associated health and injury hazards is 
available at the Healthy Homes Initiative Web site at: www.hud.gov.
    Allergens and asthma: Experts estimate that 14 million Americans 
have asthma, with an associated annual cost of $6.2 billion. Asthma 
is now recognized as the leading cause of school and work absences, 
emergency room visits, and hospitalizations. 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 
percent of inner-city housing and affect 5-15 percent of the 
population, whereas dust mites appear to be the dominant allergen in 
other environments.
    Interventions known to have beneficial effects include the 
installation of impervious mattress and pillow covers, which can 
reduce allergen exposure by 90 percent. 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. 
Additional information is available in HUD's research topic paper, 
``Healthy Homes Issues: Asthma'' available at the Resources, 
Technical Resources link of HUD's Healthy Homes Initiative website, 
linked to HUD's Web site, www.hud.gov.
    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 (ACMs) 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 the 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 an asbestos-related 
disease 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 ACMs 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. Only a professional who is 
trained and certified to handle asbestos safely should do repairs. 
Repairs can cost from a few hundred to a few thousand dollars and 
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 asphyxiate), 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 pipes, 
dirty filters, rust or cracks in heat exchangers, 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 that 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 the use of traps. In technical terms, IPM is the 
coordinated use of pest and environmental information with available 
pest control methods to prevent unacceptable levels of pest damage 
by the most economical means and with the least possible hazard to 
people, property, and the environment. (One information source is 
the University of Minnesota's electronic textbook of Integrated Pest 
Management, available at: http://ipmworld.umn.edu/textbook.htm.)
    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 Centers for Disease Control and Prevention has found, 
for example, for children under age 6, that about 434,000 have 
elevated blood lead levels. Overall, the prevalence rate among all 
children under six years of age is 4.4 percent. Among low-income 
children living in older housing where lead-based paint is most 
prevalent, the rate climbs to 16 percent; and for African-American 
children living in such housing, it reaches 21 percent.
    The National Survey of Lead and Allergens in Housing (2000) 
estimates that 38 million dwellings have some lead-based paint, and 
that 24 million have significant lead-based paint hazards. Of those, 
about 4.8 million have young children and of those, about 1.2 
million have household incomes under $30,000 per year. Costs for 
Lead Hazard Control can range anywhere from $500 to $15,000 per 
unit. Corrective measures include paint stabilization, enclosure and

[[Page 27308]]

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 percent of airways disease, and 60 percent 
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. 
Additional information is available in HUD's research topic paper, 
``Healthy Homes Issues: Mold'' available at the Resources, Technical 
Resources link of HUD's Healthy Homes Initiative Web site, linked to 
HUD's Web site, www.hud.gov.
    The cost of mold/moisture-related intervention work (e.g., IPM, 
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 that 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 of age, almost half stored at least one pesticide product 
within the reach of children. Data are available 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. Epidemiological 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 this 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 EPA recommends that every home be measured for radon. The 
EPA estimates that materials and labor costs for radon reduction in 
an existing home are $800-$2,500. 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 clothes before leaving work 
or immediately after arriving at 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 U.S. were 
disabled for at least one full day by unintentional injuries 
received at home. During the same year, 28,400 deaths were 
attributable to unintentional home injuries, of which 1,800 occurred 
among children four years of age and younger. Among young children, 
three types of events accounted for more than 75 percent of deaths: 
fires/ burns; drowning; and mechanical suffocation. Falls and 
poisoning are the next most common causes of death.
    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 (e.g., smoke alarms, electrical socket 
covers, etc.).
BILLING CODE 4210-32-P

[[Page 27309]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.143


[[Page 27310]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.144


[[Page 27311]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.145


[[Page 27312]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.146

BILLING CODE 4210-32-C?>

[[Page 27313]]

Appendix C: Preparing Your Application

Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience

    In this rating factor, you should provide details about the 
following:
    1. The skills and experience of the staff and the applicant 
organization;
    2. A description of the participating organization, its roles 
and experience;
    3. The past performance of the organization (applicant or 
partners) in another Healthy Homes or Lead Hazard Control grant, 
another grant related to environmental health and safety issues, or 
other experience in a similar program; include the name of the 
project, funding organization, amount funded and desired outcomes 
and results achieved in these projects;
    4. The percentage of time each staff person or subcontractor 
will devote to the project. A staffing table or roster may be 
helpful to address this element. You may want to use the template 
provided as Worksheet 1 of Appendix B;
    5. Level of involvement of the applicant organization in general 
oversight of the project and oversight of the partnering 
organizations.

Rating Factor 2: Need/Extent of the Problem

    In this rating factor, you should provide details about the 
following:
    1. The location of the target area(s) and the rationale for 
selecting these area(s); include backup documentation;
    2. The number of children at risk of environmental illnesses or 
injuries, and the sources of this information;
    3. The age and condition of the housing to receive 
interventions, and the sources of this information;
    4. The number of low- and very low-income families and the 
demographic composition of families served by race, ethnicity, 
disability, size of family and ages of children, number of single-
parent households in the target area(s);
    5. Other socio-economic or environmental factors relating to 
need in the target area(s);
    6. The relationship of the Consolidated Plan, Indian Housing 
Plan or the Analysis of Impediments to Fair Housing Choice (AI) to 
the request for assistance.

Rating Factor 3: Soundness of Approach

    In this rating factor, you should provide details about the 
following:
    1. A project work plan that identifies tasks, deliverables, and 
quality assurance activities and describes how the applicant will 
organize and perform Healthy Homes activities;
    2. A schedule of deliverables and project milestones;
    3. The target population for the project and the selection 
criteria involved, and the relationship of the activities to ``Need/
Extent of the Problem'' as established in Rating Factor 2;
    4. The number of families or individuals to be enrolled and/or 
units to receive assessment and interventions;
    5. The rationale for selecting hazards of concern and 
intervention methods;
    6. The mechanism for funding assessments and interventions;
    7. The costs/unit for intervention;
    8. The medical case management process, if applicable;
    9. The process used to develop work specifications;
    10. The temporary relocation plan, if appropriate, that includes 
who will decide on the need for relocation and the source of funding 
for relocation. Indicate how you will distinguish between temporary 
and permanent relocation and the benefits to be provided;
    11. Awareness, outreach and education activities;
    12. A discussion of project evaluation, data collection, and 
outcome analysis;
    13. The proposed budget, with justification of costs by task;
    14. Actions to affirmatively further fair housing;
    15. Provisions for employment and economic development 
opportunities for low- and very low-income individuals;
    16. Mechanisms for communication between the applicant 
organization and partners; and
    17. The coordination of activities in this project with other 
similar projects being performed by the applicant or partnering 
organizations.

Rating Factor 4: Leveraging Resources

    In this rating factor, you should provide details about the 
following:
    1. Identify participating faith-based and community-based 
organizations and other private sector organizations that will 
contribute time and resources to the project;
    2. Include (in Appendix 1 of your application) letters of 
commitment or memoranda of understanding from organizations. These 
letters must provide details about resources to be contributed and a 
dollar amount for the contributed (in-kind or matching) resources. 
(Letters of support that do not provide a dollar amount of 
contributed funding should be included in Appendix 2 of your 
application.);
    3. Applicants should provide a discussion of their plans to 
enhance or expand partnership efforts under this application;
    4. Describe how the effectiveness of grant funds will be 
increased as a result of leveraged efforts; and
    5. Describe any existing or potential Community Reinvestment Act 
funding mechanisms.

Rating Factor 5: Achieving Results and Program Evaluation

    In this rating factor, you should provide details about the 
following:
    1. Desired outcomes for your project;
    2. Mechanisms for collecting and archiving data to develop the 
outcome analysis; and
    3. Include a Logic Model in this Rating Factor. (Information 
about developing a Logic Model is available at www.hud.gov.), and in 
the General Section of this SuperNOFA.

A tabular summary of the Rating Factors and Bonus Points is provided 
below.

------------------------------------------------------------------------
                        Rating Factor                            Points
------------------------------------------------------------------------
1. Capacity of the Applicant and Relevant Organizational              20
 Experience..................................................
2. Need/Extent of the Problem................................         15
3. Soundness of Approach.....................................         40
4. Leveraging Resources......................................         10
5. Achieving Results and Program Evaluation..................         15
Empowerment Zone and Enterprise Community Bonus..............          2
    Total....................................................        102
------------------------------------------------------------------------

Appendix D: References

    To secure any of the documents listed, call the telephone number 
provided. A number of these references are provided on HUD's CD, 
``Residential Lead Desktop Reference, 3rd Edition.'' This CD can be 
obtained at no charge by calling the National Lead Information 
Clearinghouse, 800-424-LEAD. If you are a hearing-or speech-impaired 
person, you may reach the telephone numbers listed in this section 
through TTY by calling the toll-free Federal Information Relay 
Service at 800-877-8339.

Regulations

    1. Worker Protection: The two Occupational Safety and Health 
Administration (OSHA) publications listed below can be purchased by 
calling either OSHA Regulations at 202-693-1888 or the Government 
Printing Office (GPO) at 202-512-1800 (these are not toll-free 
numbers).
    (a) General Industry Lead Standard, 29 CFR 1910.1025 (Document 
Number 869022001124). This document can be downloaded without charge 
from the OSHA website at www.osha-slc.gov/OshStd_data/1910_1025.html;
    (b) Lead Exposure in Construction, 29 CFR 1926.62, and 
appendices A, B, C, and D (Document Number 869022001141). This 
document can be downloaded without charge from the OSHA website at 
www.osha-slc.gov/OshStd_data/1926_0062.html.
    2. Waste Disposal. A copy of the EPA regulations at 40 CFR parts 
260-268 can be purchased by calling 1-800-424-9346 (this is a toll-
free number) downloaded without charge from the EPA website at 
www.epa.gov/docs/epacfr40/chapt-I.info/subch-I.htm.
    3. Lead.
    (a) 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). Can be purchased by calling the Toxic 
Substances Control Act Hotline at 202-554-1404 (this is not a toll-
free number) or downloaded from without charge from the EPA website 
at www.epa.gov/lead.

Guidelines

    1. Guidelines for the Evaluation and Control of Lead-Based Paint 
Hazards in Housing; HUD, June 1995, and amended

[[Page 27314]]

September 1997. These guidelines can be purchased by calling 800-
245-2691 toll free or downloaded without charge from the HUD website 
at www.hud.gov/offices/lead.
    2. Preventing Lead Poisoning in Young Children; Centers for 
Disease Control, October 1991. These guidelines can be obtained 
without charge by calling the CDC's toll-free number, 888-232-6789 
or they can be downloaded from the HUD website at www.hud.gov/offices/lead.
    3. Screening Young Children for Lead Poisoning: Guidance for 
State and Local Public Health Officials, November 1997; Centers for 
Disease Control and Prevention (CDC). These guidelines can be 
obtained without charge by calling the CDC's toll-free number, 888-
232-6789 or they can be downloaded from the HUD website at 
www.hud.gov/offices/lead.

Reports

    1. Putting the Pieces Together: Controlling Lead Hazards in the 
Nation's Housing, (Summary and Full Report); HUD, July 1995. A copy 
of this summary and report may be purchased by calling 800-245-2691 
toll-free or through the HUD website at www.hud.gov/offices/lead.
    2. The Healthy Homes Initiative: A Preliminary Plan (Summary and 
Full Report); HUD, April, 1999. A copy of this summary report may be 
obtained by calling NLIC's toll-free number, 800-424-LEAD, or 
downloaded from the HUD Web site at www.hud.gov/offices/lead.
    3. Institute of Medicine. Indoor Allergens. Assessing and 
Controlling Adverse Health Effects. National Academy Press. 
Washington, DC 1993.
    4. Mott L., Our Children at Risk. Natural Resources Defense 
Council. Washington, DC 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, DC 1999.
    7. Eliminating Childhood Lead Poisoning: A Federal Strategy 
Targeting Lead Paint Hazards. Washington, DC, 2000. Can be 
downloaded from the Internet without charge from: www.epa.gov/children.
BILLING CODE 4210-32-P

[[Page 27315]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.147

BILLING CODE 4210-32-C?>

[[Page 27316]]

Appendix F: Administrative Costs

I. Purpose

    The intent of this HUD grant program is to allow the Grantee to 
be reimbursed for the reasonable direct and indirect costs, subject 
to a top limit, for overall management of the grant. In some 
instances the grantee, whether a state or a local government, 
principally serves as a conduit to pass funding to sub-grantees, 
which are to be responsible for the conducting healthy homes-related 
work. Congress set a top limit of ten percent of the total grant sum 
for the grantee to perform the function of overall management of the 
grant program, including passing on funding to sub-grantees. The 
cost of that function, for the purpose of this grant, is defined as 
the ``administrative cost'' of the grant, and is limited to ten 
percent of the total grant amount. The balance of ninety percent or 
more of the total grant sum is reserved for sub-grantees or other 
direct-performers of healthy homes demonstration work. These 
activities include, but are not necessarily limited to outreach, 
training, enrollment, home assessments and remediation and parent/
child and public education.

II. Administrative Costs: What They Are Not

    For the purposes of this HUD grant program for states and local 
governments to provide support for the evaluation and remediation of 
health hazards in low- and moderate-income target housing, the term 
``administrative costs'' should not be confused with the terms 
``general and administrative cost,'' ``indirect costs,'' 
``overhead,'' and ``burden rate.'' These are accounting terms 
usually represented by a government-accepted standard percentage 
rate. The percentage rate allocates a fair share of an 
organization's costs that cannot be attributed to a particular 
project or department (such as the chief executive's salary or the 
costs of the organization's headquarters building) to all projects 
and operating departments (such as the Fire Department, the Police 
Department, the Community Development Department, the Health 
Department or this program). Such allocated costs are added to those 
projects' or departments' direct costs to determine their total 
costs to the organization.

III. Administrative Costs: What They Are

    For the purposes of this HUD grant program, ``Administrative 
Costs'' are the grantee's allowable direct costs for the overall 
management of the grant program plus the allocable indirect costs. 
The allowable limit of such costs that can be reimbursed under this 
program is 10 percent of the total grant sum. Should the grantee's 
actual costs for overall management of the grant program exceed 10 
percent of the total grant sum, those excess costs shall be paid for 
by the grantee. However, excess costs paid for by the grantee may be 
shown as part of the requirement for cost-sharing funds to support 
the grant.

IV. Administrative Costs: Definition

A. General

    Administrative costs are the allowable, reasonable, and 
allocable direct and indirect costs related to the overall 
management of the HUD grant for Healthy Homes activities. Those 
costs shall be segregated in a separate cost center within the 
grantee's accounting system, and they are eligible costs for 
reimbursement as part of the grant, subject to the ten percent 
limit. Such administrative costs do not include any of the staff and 
overhead costs directly arising from specific sub-grantee program 
activities eligible under Section III of this NOFA because those 
costs are eligible for reimbursement under a separate cost center as 
a direct part of project activities.
    The grantee may elect to serve solely as a conduit to sub-
grantees, who will in turn perform the direct program activities 
eligible under Section III(C)(1) of this NOFA, or the grantee may 
elect to perform all or a part of the direct program activities in 
other parts of its own organization, which shall have their own 
segregated, cost centers for those direct program activities. In 
either case, not more than 10 percent of the total HUD grant sum may 
be devoted to administrative costs, and not less than 90 percent of 
the total grant sum shall be devoted to direct program activities. 
The grantee shall take care not to mix or attribute administrative 
costs to the direct project cost centers.

B. Specific

    Reasonable costs for the grantee's overall grant management, 
coordination, monitoring, and evaluation are eligible administrative 
costs. Subject to the 10 percent limit, such costs include, but are 
not limited to, necessary expenditures for the following goods, 
activities and services:
    (1) Salaries, wages, and related costs of the grantee's staff, 
the staff of affiliated agencies or organizations, or other staff 
engaged in grantee's overall grant management activities. In 
charging costs to this category the recipient may either include the 
entire salary, wages, and related costs allocable to the program for 
each person whose primary responsibilities (more than 65 percent of 
their time) with regard to the grant program involve direct overall 
grant management assignments, or the pro rata share of the salary, 
wages, and related costs of each person whose job includes any 
overall grant management assignments. The grantee may use only one 
of these two methods during this program. Overall grant management 
includes the following types of activities:
    (a) Preparing grantee program budgets and schedules, and 
amendments thereto;
    (b) Developing systems for the selection and award of funding to 
sub-grantees and other sub-recipients;
    (c) Developing suitable agreements for use with sub-grantees and 
other sub-recipients to carry out grant activities;
    (d) Developing systems for assuring compliance with program 
requirements;
    (e) Monitoring sub-grantee and sub-recipient activities for 
progress and compliance with program requirements;
    (f) Preparing presentations, reports, and other documents 
related to the program for submission to HUD;
    (g) Evaluating program results against stated objectives;
    (h) Providing local officials and citizens with information 
about the overall grant program; however, a more general education 
program, helping the public understand the nature of home 
environmental triggers and their health consequences is a direct 
project support activity);
    (i) Coordinating the resolution of overall grant audit and 
monitoring findings; and
    (j) Managing or supervising persons whose responsibilities with 
regard to the program include such assignments as those described in 
paragraphs (a) through (i).
    (2) Travel costs incurred for official business in carrying out 
the overall grant management;
    (3) Administrative services performed under third party 
contracts or agreements, for services directly allocable to grant 
management such as: legal services, accounting services, and audit 
services;
    (4) Other costs for goods and services required for and directly 
related to the overall management of the grant program; and 
including such goods and services as telephone, postage, rental of 
equipment, renter's insurance for the program management space, 
utilities, office supplies, and rental and maintenance (but not 
purchase) of office space for the program.
    (5) The fair and allocable share of grantee's general costs that 
are not directly attributable to specific projects or operating 
departments such as salaries, office expenses and other related 
costs for university or local officials (e.g., mayor and city 
council members, dean, president etc.), and expenses for a city or 
university's legal or accounting department which are not charged 
back to particular projects or other operating departments. If a 
grantee has an established burden rate, it should be used; if not, 
the grantee shall be assigned a negotiated provisional burden rate, 
subject to final audit.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27317]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.148


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27319]]



Operation Lead Elimination Action Program (LEAP)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Healthy Homes and Lead Hazard Control.
    B. Funding Opportunity Title: Operation Lead Elimination Action 
Program (LEAP)
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-4900-N-14, OMB Approval number 
2539-0015.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.903, 
Operation Lead Elimination Action Program.
    F. Dates: Application Deadline: A completed original and three 
copies of your application must be submitted to HUD on or before the 
application due date. The application due date is July 13, 2004. Please 
see the General Section of the SuperNOFA for application submission, 
delivery and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program. The purpose of the Operation Lead 
Elimination Action Program (LEAP) is to provide grants to private 
sector and nonprofit organizations to conduct activities that leverage 
additional funding for addressing lead hazards in privately owned 
housing units and eliminating lead poisoning as a major public health 
threat to young children.
    2. Available Funds. Approximately $9 million in Fiscal Year (FY) 
2004 funds.
    3. Eligible Applicants. To be eligible to apply for funding under 
this program, the applicant must be a tax-exempt nonprofit (501(c)(3)), 
or other non-profit or for-profit entity or firm. For-profit 
institutions are not allowed to earn a fee. Colleges and universities 
are also eligible to apply. National and local parent groups are 
encouraged to apply. States and units of general local government and 
their departments are not eligible.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    Operation LEAP funds are for grants to private sector and nonprofit 
organizations for activities that leverage additional funding for 
addressing lead hazards in eligible privately owned housing units and 
eliminating lead poisoning as a major public health threat to young 
children. HUD's authority for making funding available under this NOFA 
is the Consolidated Appropriations Act for Fiscal Year (2004). 
Leveraged funds must be spent exclusively on addressing lead hazards in 
eligible privately owned housing units for which no other funding is 
available. Applicants are encouraged to employ creativity and 
initiative in mobilizing resources expeditiously for lead hazard 
control prevention efforts. Based upon the responses provided to the 
rating factors criteria described below, grants will be awarded to 
those entities that submit a detailed plan and strategy that 
demonstrates adequate capacity to implement the program and who 
demonstrate the ability to generate and use private sector resources 
for lead hazard control prevention efforts.
    LEAP funds may also be used to eliminate lead-based paint hazards 
in low-income privately owned housing as well as implementing other 
lead hazard control strategies as defined by Title X of the Housing and 
Community Development Act of 1992 (42 U.S.C. 4851 et seq.). However, 
these activities are only eligible if they are tied directly to a 
leveraging strategy. For example, LEAP funds could be used to fund the 
replacement of windows that are determined to be a lead-based paint 
hazard, while leveraged funds from owners could be used to do paint 
stabilization elsewhere in the unit (or in other units) where lead-
based paint hazards are present.

II. Award Information

    Funding Available: Approximately $9 million in Fiscal Year (FY) 
2004 funds. The maximum award shall be $2 million per grant. HUD 
anticipates that approximately 5-10 grants will be awarded. The period 
of performance is 42 months (24 months for leveraging private sector 
resources followed by 18 months of activities utilizing leveraged funds 
for lead-related work). HUD reserves the right to approve no cost time 
extensions for a period not to exceed 12 months.

III. Eligibility Information

    See the General Section of the SuperNOFA for additional eligibility 
requirements applicable to HUD Programs.

A. Eligible Applicants

    To be eligible to apply for funding under this program, the 
applicant must be a tax-exempt nonprofit (501(c)(3)), or other non-
profit or for-profit entity or firm. For-profit institutions are not 
allowed to earn a fee. Colleges and universities are also eligible. 
National and local parent groups are encouraged to apply. States and 
units of general local government and their departments are not 
eligible. Applicants who received awards under the Fiscal Year 2003 
Notice of Funding Availability published in the Federal Register on 
April 25, 2003 cycle are eligible to apply under this NOFA.

B. Cost Sharing or Matching

    There is no match requirement for this grant.

C. Other

    To be eligible for funding under this NOFA, the applicant must meet 
all federal statutory and regulatory requirements applicable to this 
program including 24 CFR part 84 and applicable OMB circulars (i.e., 
cost principal, uniform administrative requirements, audits). In 
addition, you will be required to comply with all State and local 
statutes, regulations or other applicable requirements.
    1. Threshold Requirements. As an applicant, you and any 
subrecipient must meet all of the threshold requirements in section 
III. C. of the General Section of the SuperNOFA. Applications will not 
be rated or ranked if they do not meet the threshold requirements.
    2. Eligible Activities. Activities conducted for the purpose of 
developing local or regional strategies designed to leverage or 
mobilize resources from the private sector. These activities may 
include, but are not necessarily limited to:
    a. Providing technical lead safety training to workers or 
supervisors regarding lead safe work practices;
    b. Conducting outreach and related activities that are directly 
tied to a leveraging strategy, and that will result in increased lead 
hazard control activities in low-income privately owned or owner 
occupied housing with lead-based paint hazards.
    c. Lead hazard control activities tied directly to a leveraging 
strategy and conducted in low- and very low-income eligible privately-
owned rental and occupied housing units, including:
    (1) Performing dust, paint or soil 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;
    (2) Conducting lead hazard control, which may include interim 
control of lead-based paint hazards in housing (which may include 
specialized cleaning techniques to address lead dust); or abatement of 
lead-based paint hazards, including soil and dust, by means of removal, 
enclosure, encapsulation, or replacement methods.

[[Page 27320]]

Unless there are only a few surfaces coated with lead paint, complete 
abatement of all lead-based paint or lead-contaminated soil is not 
usually acceptable as a cost-effective strategy unless justification is 
provided and subsequently 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., drip line or foundation of 
the structure being treated, and children's play areas. All hazard 
control activities must comply with 24 CFR part 35, subpart R, the HUD 
Guidelines for the Evaluation and Control of Lead-Based Paint Hazards 
in Housing and all applicable Federal, State, and local regulations; in 
the case of a conflict between any of the above, the more stringent 
shall apply;
    (3) Carrying out temporary relocation of families and individuals 
during the period in which lead hazard control is conducted and until 
the time the affected unit receives clearance for re-occupancy;
    (4) Performing blood lead testing and air sampling to protect the 
health of the hazard control workers, supervisors, and contractors; and
    (5) 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. 
Operation LEAP 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, weatherization, and other energy conservation 
activities.
    (6) Conducting clearance dust-wipe testing and associated 
laboratory analysis.
    (7) Purchasing or leasing no more than two (2) X-ray fluorescence 
analyzers for use by the Program, if not already available.
    d. Eligible costs that include providing all necessary 
administrative and indirect support, including rent, equipment, 
materials, travel expenses and logistics, and subcontractor/consultant 
costs necessary to carryout grant activities.
    3. Program Requirements. In general, applicants conducting lead 
hazard control activities must ensure that work is conducted in 
compliance with the applicable requirements of HUD's Lead-Safe Housing 
Regulation, 24 CFR Part 35, and as clarified in HUD's Interpretive 
Guidance about the rule located at http://www.hud.gov/offices/lead/guidelines/leadsaferule/index.cfm.
    a. Eligible Housing Units. LEAP funds may be used to support lead 
hazard control work in eligible low- and very low-income privately 
owned rental and occupied housing units. Refer to section IV. E of this 
NOFA for a list (Eligibility of HUD Assisted Housing) of the HUD-
associated housing programs that meet the definition of eligible 
housing under this program.
    b. 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 families for at least three years as required by Title X 
(section 1011). The grantee must also notify the owner of the 
information that is collected so that the owner will comply with 
disclosure requirements under 24 CFR part 35, subpart A.
    c. Testing. For applicants conducting lead hazard control 
activities, 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 whichever is more 
stringent. Testing must be conducted according to the HUD Guidelines, 
located at http://www.hud.gov/offices/lead/guidelines/hudguidelines/index.cfm, and the EPA lead hazard standards rule at 40 CFR part 745. 
All test results must be provided to the owner in a timely fashion, 
together with a notice describing the owner's legal duty to disclose 
the results to tenants and buyers under 24 CFR part 35, subpart A. All 
units undergoing lead hazard control must have clearance testing 
performed.
    (1) Lead-Based Paint and Lead-Based Paint Hazard Identification. 
For applicants conducting lead hazard control activities, an inspection 
or risk assessment is required. You should ensure that lead paint 
inspection and risk assessment reports are conducted in accordance with 
established protocols and sufficient to support hazard control 
decisions.
    (2) Clearance Testing. For applicants conducting lead hazard 
control activities, clearance testing shall be completed in accordance 
with Chapter 15 of the HUD Guidelines and the EPA lead hazards 
standards rule at 40 CFR part 745 for abatement projects and the Lead-
Safe Housing Regulation (24 CFR part 35) for lead hazard control 
activities or other abatement. The clearance standards shall be the 
more restrictive of those set by the local jurisdiction or by EPA or 
HUD.
    (3) Blood Lead Testing: Before lead hazard control work begins, HUD 
recommends that each occupant who is under six years of age be tested 
for lead poisoning prior to proceeding with the housing intervention. 
Any child with an elevated blood lead level should be referred for 
appropriate medical follow-up. The standards for such testing are 
described in the Centers for Disease Control and Prevention (CDC) 
publications Preventing Lead Poisoning in Young Children (1991), and 
Screening Young Children for Lead Poisoning: Guidance for State and 
Local Public Health Officials (1997).
    d. Written Policies and Procedures. For applicants conducting lead 
hazard control activities, you must have clearly established written 
policies and procedures for eligibility, program marketing, unit 
selection, expediting work on homes occupied by children with elevated 
blood lead levels, and 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.
    e. Prohibited Practices. For applicants conducting lead hazard 
control activities, you must not engage in the following prohibited 
practices:
    (1) Open flame burning or torching;
    (2) Machine sanding or grinding without a high-efficiency 
particulate air (HEPA) exhaust control;
    (3) Uncontained hydro blasting or high-pressure wash;
    (4) Abrasive blasting or sandblasting without HEPA exhaust control;
    (5) Heat guns operating above 1,100 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 square feet in any one interior room or space, or totaling no 
more than 20 square feet on exterior surfaces.
    f. Research. In conformance with the Common Rule (Federal Policy 
for the Protection of Human Subjects, codified by HUD at 24 CFR part 
60), for applicants conducting blood lead testing as part of a research 
effort, your organization must provide an assurance (e.g., a letter 
signed by an appropriate official) that the research has been reviewed 
and approved by an Institutional Review Board (IRB) before you can 
receive funds from HUD for activities that require IRB approval. Before 
receiving such funds, you must

[[Page 27321]]

also provide the number for your organization's assurance (i.e., an 
``institutional assurance'') that has been approved by the Department 
of Health and Human Service's Office of Human Research Protections 
(OHRP). For additional information on what constitutes human subject 
research or how to obtain an institutional assurance see the OHRP Web 
site at http://ohrp.osophs.dhhs.gov/.
    g. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. Refer to the General Section of the SuperNOFA for 
information about conducting business in accordance with HUD's core 
values and ethical standards.
    4. DUNS Requirement. Refer to the General Section of the SuperNOFA 
for information regarding the DUNS requirement. You will need to obtain 
a DUNS number to receive an award from HUD.
    5. Eligibility of HUD-Assisted Housing. The chart ``Eligibility of 
HUD-Assisted Housing'' below lists the ``eligible'' housing units that 
may participate under LEAP when lead hazard control is tied directly to 
a leveraging strategy.
BILLING CODE 4210-32-P

[[Page 27322]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.149

BILLING CODE 4210-32-C?>

[[Page 27323]]

IV. Application and Submission Information

A. Addresses To Request Application Package

    1. Application Submission. See the General Section of the SuperNOFA 
for specific procedures concerning the form of application submission 
(e.g., mailed applications, express mail or overnight delivery). Be 
advised that there is no Application Kit for the Operation Lead 
Elimination Action Program. All the information required to submit an 
application is contained in this Notice of Funding Availability (NOFA).
    a. Guidebook and Further Information. You may request general 
information, copies of the General Section and Program Sections of the 
SuperNOFA from the SuperNOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) between the hours of 9 a.m. and 8 p.m. (eastern time) 
Monday through Friday, except on Federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. 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 copies of the SuperNOFA or this 
NOFA can be made immediately following publication of the SuperNOFA. 
The SuperNOFA Information Center opens for business simultaneously with 
the publication of HUD's 2004 NOFAs. You can obtain information on this 
SuperNOFA and download application information for this SuperNOFA 
through the Web site http://www.grants.gov.

B. Content and Form of Application Submission

    1. Application Submission Requirements for the Operation Lead 
Elimination Action Program (LEAP). Applicants under this category of 
the NOFA are to follow the submission requirements described below.
    a. Application Information.
    (1) Application Format. The application narrative response to the 
Rating Factors are limited to a maximum of 15 pages. Your response must 
be typewritten on one side only on 8\1/2\ x 11 inch paper, using a 
standard 12-point font, with not less than `` inch margins on all 
sides. Appendices should be referenced and discussed in the narrative 
response. Materials provided in the appendices should directly apply to 
the rating factor narrative.
    (2) Application Checklist (voluntary). Your application must 
contain all of the required information noted in this Program Section 
and the General Section of the SuperNOFA. These items include the 
standard forms, certifications, and assurances listed in the General 
Section of this SuperNOFA that are applicable to this funding 
(collectively referred to as the ``standard forms''). The standard 
forms can be found in the General Section of the SuperNOFA. The 
``Checklist and Submission Table of Contents'' below includes a listing 
of the required items needed for submitting a complete application and 
receiving consideration for funding. You are to assemble the 
application in the order shown in the Checklist and Submission Table of 
Contents and note the corresponding page number where the response is 
located. Inclusion of this Checklist and Submission Table of Contents 
with your proposal is recommended but not required.
BILLING CODE 4210-32-P

[[Page 27324]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.150

BILLING CODE 4210-32-C

[[Page 27325]]

    The following are the items to be included in an application:
    (a) Transmittal Letter. A transmittal letter that identifies the 
applicant(s) submitting the application, the dollar amount requested, 
what the program funds are requested for, and the nature of involvement 
with community-based organizations. Also include 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;
    (b) Checklist and Submission Table of Contents (voluntary)
    (c) Abstract Summary. Provide an abstract summary describing the 
goals and objectives of the proposed program (two-page maximum); 
including--
    (i) The total amount of the federal request and the amount of the 
matching contribution for the entire period of performance;
    (ii) The specific activities that will be conducted;
    (iii) The organization(s) that will participate in the program; and
    (iv) Your prior activities, experience and achievements in related 
work.
    (d) Forms. All standard forms as required by the General Section of 
the SuperNOFA and program Form HUD-96009 (Work Plan Development 
Worksheet With Minimum Benchmark Performance Standards).
    (e) Budget. A total budget summary (total budget is the federal 
share and leveraged contribution) with supporting narrative and cost 
justifications for all budget categories of your grant request. A 
maximum of ten percent of the federal share can be for administrative 
costs.
    An itemized breakout (using the HUD Form-424CBW) of leveraged 
contributions that are directly received by the project or 
subrecipients should be documented including:
    (i) Values placed on donated in-kind services;
    (ii) Letters or other evidence of commitment from donors; and
    (iii) The amounts and sources of contributed resources; and
    (f) Partners. Contracts, Memoranda of Understanding or Agreement, 
letters of commitment or other documentation must describe the proposed 
roles of agencies, local broad-based task forces, participating faith-
based or other community- or neighborhood-based groups or 
organizations, local businesses, and others working with the program. 
For-profit entities and/or firms must clearly demonstrate and document 
how activities, including the lead-based paint hazard identification 
and control measures to be undertaken by the applicant will be 
coordinated with local organizations, state(s) or units of general 
local government to carry out lead hazard control and other program 
activities.
    Other leveraged resources not received directly by the project and 
subrecipients but used to support program activities should be included 
in the narrative response to Rating Factor 3, but not on HUD Form 424-
CBW. Applicants should describe their methodology for tracking 
leveraged resources not directly received by the project or 
subrecipients. c. Rating Factor Responses--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 4).

C. Submission Dates and Times

    1. Application Due Date. The application due date is July 13, 2004. 
Refer to the General Section of the SuperNOFA for additional submission 
requirements including acceptable submission methods, acceptable proof 
of delivery and other information to assist the applicant.

D. Intergovernmental Review

    Not applicable.

E. Funding Restrictions

    1. Ineligible Activities. You may not use grant funds for any of 
the following:
    a. Purchase of real property;
    b. Chelation or other medical treatment costs related to children 
with elevated blood lead levels; and
    c. Lead hazard abatement activities in public housing, or project-
based Section 8 housing.

F. Other Submission Requirements

    Refer to the General Section of the SuperNOFA for other application 
submission requirements.
    1. Addresses and Number of Copies. The applicant, must submit an 
original and three copies of a complete application to: HUD 
Headquarters, Robert C. Weaver Federal Building, 451 Seventh Street, 
SW., Room P3206, Washington, DC 20410; Attn: LEAP.

V. Application Review Information

A. Criteria

    The factors for award used to evaluate and rate applications 
include:
     Rating Factor 1: Organizational Capacity.
     Rating Factor 2: Approach.
     Rating Factor 3: Leveraging Resources.
     Rating Factor 4: Achieving Results and Program Evaluation.
    Applicants are encouraged to employ creativity and initiative in 
mobilizing resources expeditiously for lead hazard control prevention 
efforts. Based upon the responses provided to the rating factors 
described below, grants will be awarded to those entities who submit a 
detailed strategy that demonstrates adequate capacity to carry out the 
proposed use of funds and who demonstrate the ability to generate and 
use private sector resources for lead hazard control prevention 
efforts. The factors for rating and ranking applicants, and maximum 
points for each factor, are delineated below. The maximum number of 
points to be awarded is 100.
1. Rating Factor 1: Organizational Capacity (30 points)
    This factor addresses the applicant's organizational capacity to 
successfully implement the proposed activities in a timely manner.
    a. Staff Experience (20 points). Describe the knowledge and 
experience of the staff responsible for the following functions: 
Executive Direction; Finance, Marketing; and Program Coordination. The 
applicant must have sufficient qualified personnel or be able to 
quickly retain qualified experts or professionals in financial/grant 
management, marketing, and/or lead-based paint programs that will allow 
you to immediately begin your proposed work program and to perform your 
proposed activities within the 42-month period of performance.
    The applicant's narrative should include information about your 
organizational and staff capacity in raising and/or leveraging funds, 
and in successfully garnering private sector support recently (e.g., 
within the past five years). Include a discussion of staff knowledge 
and expertise in raising and/or leveraging funds, possessing the 
prerequisite organizational skills, and lead poisoning prevention 
activities.
    The discussion on capacity should include the depth, experience, 
the commitment of time to the program, salary information, and position 
titles of the program staff.
    Resumes or detailed job announcements for the above key positions 
must be included as an appendix to your application. Indicate the 
percentage of time key personnel will devote to the proposed project. 
An applicant may demonstrate capacity by thoroughly describing prior 
experience in this type of activity and/or how the

[[Page 27326]]

applicant will develop the necessary capacity to carryout proposed 
activities.
    b. Grants Management (4 points). Describe the agency's or 
organization's ability to manage grants and leveraged program funds and 
activities.
    c. Partner Expertise (4 points). Describe project participants/
partners knowledge and experience regarding lead poisoning as a public 
health threat to children, and/or lead-based paint issues and hazard 
control. Use of staff with more recent, relevant, and demonstrated 
successful experience will result in a higher rating.
    d. Removal of Barriers to Affordable Housing (2 points). A new 
applicant will be awarded up to two points under Rating Factor 1 for 
activities that remove barriers to affordable housing within their 
communities, support state and local efforts to streamline processes 
and procedures, eliminate redundant requirements, statutes, 
regulations, and codes which impede the availability of affordable 
housing. This priority relates to HUD's Strategic Goals for Increasing 
Homeownership Opportunities and Promoting Decent Affordable Housing.
2. Rating Factor 2: Approach (40 points)
    This factor addresses the approach and strategy that the applicant 
intends to follow in meeting the goals and objectives of the program. 
This strategy should address the following:
    a. Selection Process for Partner Organization (5 points). Describe 
the selection process for those organizations that are to conduct or 
coordinate work activities for lead hazard control, outreach, 
evaluation, etc and discuss how you intend to involve faith-based or 
other community-based organizations in your proposed activities.
    b. Strategy and Approach (35 points). (1) Leveraging Strategy. 
Describe the proposed strategy for leveraging private sector resources 
including:
    (a) Target audiences/constituencies;
    (b) Use of contractors/subgrantees/partners and their method of 
selection;
    (c) Methods of outreach/promotion;
    (d) Types of leveraging to be employed;
    (e) Proposed use and distribution of funds/resources leveraged;
    (f) Overall project management and coordination; and
    (g) Proposed schedule of activities within the 42-month period of 
performance.
    (2) Work Plan Strategy. The work plan strategy narrative shall 
include:
    (a) The management plan that describes how the project will be 
managed, and the timeline for staffing the program. Applicants should 
develop a work plan that includes specific, measurable and time-phased 
objectives for each major program activity. The applicant's work plan 
should reflect the benchmark standards with quarterly milestones for 
proposed program activities and expenditures, and that will provide HUD 
with measurable outcome results to be achieved with the requested 
funds. Measurable outcome results should be stated in terms relevant to 
the purpose of the program funds as a direct result of the work 
performed within the performance period of the grant.
    (b) A detailed description of how assistance and funding will flow 
from the grantee to the actual performers of the work;
    (c) The selection process for sub-grantees, sub-contractors and/or 
sub-recipients (if any);
    (d) The evaluation process used to measure program performance;
    (e) The overall objectives for activities. Quarterly performance 
milestones are to be developed to achieve the overall objectives for 
these activities;
    (f) Performance benchmarks have been developed. The benchmarks 
referred to in this NOFA can also be found on the HUD Web site at: 
http://www.hud.gov/offices/lead/grantfrm/hudgrantee.cfm. Development of 
your work plan should include and reflect these benchmark standards.
    (g) A successful applicant's award is contingent upon budget 
negotiation and approval of a work plan.
    (3) Strategies/Approaches. The applicant is encouraged to employ 
creativity and initiative in achieving the objectives of the program. 
Some examples of possible strategies/approaches include the following:
    (a) Enlisting the support and resource commitment of financial 
institutions, foundations, private industry, the general public, 
property owners, and others to make residential housing lead-safe and 
eliminate lead poisoning as a public health threat to children;
    (b) Soliciting the support of national building materials 
providers, building component manufacturers, and housing-related 
national retail outlets to donate money and/or materials to lead hazard 
control programs in housing and health departments, landlords and 
owner-occupants to eliminate lead-based paint hazards in privately 
owned low-income dwellings: For example, a window, wallboard, or paint 
manufacturer/retailer could donate or coordinate the donation and 
distribution of windows or paint to lead-based paint and/or 
rehabilitation projects throughout the country. This strategy could 
also include the distribution of discount coupons for purchases of 
paint or other materials from national supplies;
    (c) Forming partnerships with banks or other mortgage or financial 
institutions willing to provide no or low-interest home improvement 
loans to finance lead hazard control activities and abatement measures 
among low-income recipients who would not otherwise be served. By 
participating, banks could fulfill a major element of their 
responsibilities under the Community Reinvestment Act;
    (d) Forming partnerships to facilitate the coordination and 
distribution of donated building materials, such as windows, trim 
molding, or paint, etc., to local projects involved in lead hazard 
control programs;
    (e) Identifying and facilitating the availability and use of 
temporary relocation facilities for families who need to move out of 
their dwellings while lead hazard control work is being undertaken. For 
example, hotel chains, colleges, and other lead-safe sites could be 
contacted to make housing available for the temporary relocation of 
families during lead hazard control;
    (f) Working with landlords, tenant groups and others to form 
consortia or otherwise engage landlords and owner-occupants to enroll 
their eligible housing units in local lead hazard control or 
rehabilitation programs. The applicant should obtain commitments from 
landlords to provide matching resources for work to be done on their 
units. For example, the lead hazard control program could offer 
landlords grant funds for replacement windows if the landlords 
contribute the cost of additional repairs (such as basic system 
upgrades, or other rehabilitation work including painting and 
maintenance) that is associated with lead hazard control. To encourage 
such commitments, efforts should be made to educate landlords about the 
primary benefits (effect on children's health) and supplementary 
benefits that can result from lead hazard reduction work such as 
improving an apartment's physical condition and marketability;
    (g) Expanding dust testing and clearance testing, especially in 
high-risk communities;
    (h) Promoting homebuilder, remodeler, or contractor associations to 
coordinate efforts to reduce lead hazards by contributing technical 
assistance, training, presentations and materials and/or labor to lead 
hazard control efforts;.
    (i) Encouraging landscaping firms, nurseries, and landscape 
architects to contribute lead-safe soil, mulch, and other forms of 
vegetation cover and shrubbery designed to mitigate lead

[[Page 27327]]

contamination of soil around the exterior/perimeter and play areas of 
affected housing units;
    (j) Working with health, housing, and community development 
organizations or other entities to conduct lead poisoning prevention 
activities, including efforts to plan and/or facilitate or participate 
in strategic planning to eliminate lead poisoning as a public health 
threat to young children by 2010.
    (k) Working with grassroots faith-based or other community-based 
organizations that are committed to improving the quality of life of 
young children in high risk housing; and
    (l) Providing training for significant numbers of trades people to 
implement lead-safe work practices, such as window replacement and 
weatherization work.
3. Rating Factor 3: Leveraging Resources (20 points)
    This factor addresses the applicant's ability to obtain and use 
private sector resources or leverage private sector activities that can 
be combined with HUD and other program resources to achieve program 
objectives. Private funds/resources do not include any public sector 
funds, e.g., funds provided by states and units of general local 
government including Community Development Block Grant (CDBG)/Home 
Investment Partnership (HOME) funds. Applicants are encouraged to use 
such funds as part of this program but these funds are not considered 
under this rating factor. Describe the types of public or private 
sector commitments, if any, currently available to devote to Operation 
LEAP grant program activities, and the anticipated future amounts to be 
generated. Based upon the estimated amount of funding anticipated for 
leveraging over the life of the award, identify the general geographic 
locations of the units that will be treated by this increased funding 
or leveraged resources. Also provide an estimate of the number of 
eligible housing units that can be expected to be treated and the 
number of low- and very low-income families that will benefit under 
LEAP. Generated resources may include cash or in-kind contributions of 
personnel, services, equipment, or supplies. In evaluating this factor, 
HUD will consider the extent to which the applicant has established 
working partnerships, memoranda of understanding, and/or firm 
agreements with other identified entities for the commitment of 
additional resources. Resources may be provided by any private source, 
including contributions of investor-owners. However, the donations of 
resources, goods, and services considered as leveraged resources should 
be based on market values and documented. Applicants that do not have 
such partnerships at the time of application will be required to 
establish partnerships immediately following notification of grant 
award. Only contributions that have a stated monetary value with 
supporting documentation from the contributing organization/entity 
authorized to make such commitment will be counted as leveraged funds. 
Firmly established commitments will be rated more highly than 
applications with commitments that have not yet been established. The 
most advantageous agreements will be those not solely dependent on LEAP 
funding, including those that create long-term commitments for 
leveraged funds beyond the period of the LEAP grant. Therefore it is 
preferable that LEAP funds act as ``seed'' funds so any future funding 
streams can be used to stimulate additional leveraging agreements and 
not simply support prior agreements. In evaluating this factor, HUD 
will examine the extent to which agreements provide for sustained 
contributions from non-public sources and allow for non-LEAP funds to 
support such leveraging in the future. Applicants that have targeted 
specific high-risk neighborhoods or geographic locations for 
leveraging/fundraising and abatement/control activities will receive a 
higher number of rating points. Describe what the organization has done 
in the recent past (e.g., within the past five years) that gives 
evidence of its ability and experience to leverage substantial private 
sector resources. Describe specific activities, the amount of funds or 
resources leveraged, and what the leveraged funds will be used to 
support. If an applicant has experience in generating funds or 
resources for purposes similar to addressing lead paint abatement or 
control measures, the applicant should describe those activities and 
the results achieved.
4. Rating Factor 4: Achieving Results and Program Evaluation (10 
Points)
    This factor emphasizes HUD's commitment to ensuring that applicants 
achieve the goals outlined in their work plan and other benchmark 
standards and assess their performance to ensure performance goals are 
met. Achieving results means you, the applicant, have clearly 
identified the benefits, or outcomes of your program. Outcomes are 
ultimate goals. Benchmarks or outputs are interim activities or 
products that lead to the ultimate achievement of your goals. Program 
evaluation requires that you, the applicant, identify program outcomes, 
interim products or benchmarks, and performance indicators that will 
allow you to measure your performance. Performance indicators should be 
objectively quantifiable and measure actual achievements against 
anticipated achievements. Your Evaluation Plan should identify what you 
are going to measure, how you are going measure it and the steps you 
have in place to make adjustments to your work plan if performance 
targets are not met within established timeframes. Applicants are 
required to complete the HUD Logic Form to supplement the narrative 
response to this rating factor.
    a. An applicant is to identify and describe specific methods, 
measures, and tools that 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. In evaluating 
this factor, HUD will consider how you have described outcome measures 
and benefits of your program including:
    b. Ability to generate substantial private sector resources. The 
main objective of Operation LEAP is to leverage private sector 
resources to eliminate lead poisoning as a major public health threat 
to young children. The key terms here are ``leverage private sector 
resources.'' HUD is looking for those applicants that demonstrate the 
most realistic and successful fund raising and/or leveraging skills to 
mobilize substantial private sector resources for addressing lead 
hazards in housing.
    c. Ability to demonstrate or develop a national and/or regional 
(multi-state) strategy for leveraging resources from the private sector 
is essential. Those resources should be realistic and achievable and 
made part of the work plan and benchmark activities of this proposal. 
The proposed budget should demonstrate how these leveraged funds will 
be used to address lead hazards in housing and make residential housing 
lead-safe and eliminate lead poisoning as a public health threat to 
children.
    d. Results of any specific plans and objectives established to 
implement and/or maintain a registry (listing) of lead-safe housing 
that is available to the public, or to incorporate the inclusion of the 
lead-safe status of properties in another publicly accessible address-
based property information system. Results could include how the 
information would be managed and affirmatively marketed to the public 
so

[[Page 27328]]

that families (particularly low-income families with children under six 
years of age) can make informed decisions regarding their housing 
options. Applicants that demonstrate partnerships with national or 
regionally recognized material suppliers, e.g., sheet rock/drywall 
manufacturers or retailers, paint manufacturers or distributors, window 
manufacturers or distributors, etc., will receive stronger 
consideration.
    e. The extent to which affirmatively furthering fair housing for 
all segments of the population is advanced by the proposed activities. 
Detail how the proposed work plan will support the community's efforts 
to affirmatively further affordable housing and discuss the impact of 
prior activities that have contributed to enhanced lead-safe housing 
opportunities.
    f. How your program will be held accountable for meeting program 
goals, objectives, and the actions undertaken in implementing the grant 
program. Applicants should provide a description of the mechanism to 
assess progress and track performance in meeting the goals and 
objectives outlined in the work plan. Applicants should provide 
assurances that work plans and performance measures developed for the 
program will assist intended beneficiaries, and that work will be 
conducted in a timely and cost-effective manner.

B. Reviews and Selection Process

1. HUD's Strategic Goals
    Refer to the General Section of the SuperNOFA for information on 
HUD's strategic goals.
2. Rating and Ranking
    Please refer to the General Section of the SuperNOFA for details. 
Only those applications that meet the threshold review requirements 
will be rated and ranked according to their response to the Rating 
Factor Criteria included in this NOFA. The maximum number of points to 
be awarded is 100. A minimum score of 75 is required for fundable 
applications.

------------------------------------------------------------------------
                                                                Maximum
                        Rating factor                            points
------------------------------------------------------------------------
Rating Factor 1: Organizational Capacity.....................         30
Rating Factor 2: Approach....................................         40
Rating Factor 3: Leveraging Resources........................         20
Rating Factor 4: Achieving Results and Program Evaluation....         10
ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½ï¿½
------------------------------------------------------------------------

VI. Award Administration Information

A. Award Notices

    1. Successful applicants will receive a letter from the Office of 
Healthy Homes and Lead Hazard Control Grant Officer indicating that 
they have been selected for an award. This letter will provide 
additional details regarding the effective start date of the grant and 
any additional data and information to be submitted to execute a grant 
agreement. This letter is not an authorization to begin work or incur 
costs under the grant. A fully executed grant agreement is the 
authorizing document. Unsuccessful applicants will also be notified 
that their application was not selected for an award and will be 
afforded an opportunity to request a debriefing on the unsuccessful 
application according to the procedures outlined in the SuperNOFA.
    2. Negotiation. Refer to the General Section of the SuperNOFA for 
additional details.
    3. Adjustments to Funding. Refer to the General Section of the 
SuperNOFA for additional details.
    4. Performance and Compliance Actions of Funding Recipients. HUD 
will measure and address the performance and compliance actions of 
funding recipients in accordance with the applicable standards and 
sanctions of their respective programs.

B. Administrative and National Policy Requirements

    1. Environmental Requirements: Certain activities assisted under 
this program may be subject to HUD environmental review to the extent 
required under 24 CFR part 50. An award under the Lead Elimination 
Action Program (LEAP) does not constitute approval of specific sites 
where activities that are subject to environmental review may be 
carried out. Following grant award execution, HUD will be responsible 
for ensuring that any necessary environmental reviews are completed. 
You may not rehabilitate, convert, or repair property, or commit or 
expend grant funds or HUD-leveraged funds for any eligible property 
until you receive written notification from the appropriate HUD 
official that completed its environmental review and the property has 
been approved. The results of the environmental reviews may require 
that proposed activities be modified or proposed sites rejected. For 
assistance, contact Karen Choi, the Office of Healthy Homes and Lead 
Hazard Control Environmental Officer at (213) 894-8000, extension 3015 
(this is not a toll-free number) or the HUD Environmental Review 
Officer in the HUD field office serving your area. If you are a 
hearing- or speech-impaired person, you may reach the telephone number 
via TTY by calling the toll-free Federal Information Relay Service at 
800-877-8339. Recipients of a grant under this funded program will be 
given additional guidance in these responsibilities.
    2. HUD Reform Act. Applicants must comply with the requirements for 
funding competitions established by the HUD Reform Act of 1989 (42 
U.S.C. 3531 et seq.) as defined in the General Section of the 
SuperNOFA.
    3. Other Requirements. Please review the General Section of the 
SuperNOFA for information on Statutory and Regulatory Requirements, 
Affirmatively Furthering Fair Housing, Economic Opportunities for Low- 
and Very Low-Income Persons (Section 3), ensuring the Participation of 
Small Businesses, Small Disadvantaged Businesses, and Woman-Owned 
Businesses, OMB Circulars and Governmentwide Regulations Applicable to 
Financial Assistance Programs, Conflicts of Interest, Prohibition 
Against Lobbying Activities, Accessible Technology, Improving Access to 
Services for Persons with Limited English Proficiency, Compliance with 
Fair Housing and Civil Rights Laws, and Executive Orders pertaining to 
this NOFA.
    a. Participation in HUD-Sponsored Program Evaluation. As a 
condition of the receipt of financial assistance under this NOFA all 
successful applicants will be required to cooperate with all HUD staff 
or contractors performing HUD funded research and evaluation studies.

C. Reporting

    Successful applicants will be required to submit quarterly, annual, 
and final program and financial reports according to the requirements 
of the Office of Healthy Homes and Lead Hazard Control. Specific 
guidance and additional details will be provided to successful 
applicants.

VII. Agency Contact(s)

    1. For Further Information and Technical Assistance: You may 
contact Linda J. Ciancio, Acting Director, Program Management and 
Assurance Division, Office of Healthy Homes and Lead Hazard Control; 
451 7th Street, SW., Washington, DC 20410. Or by telephone, fax, or 
email: 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 number via TTY by calling the toll-free Federal

[[Page 27329]]

Information Relay Service at 800-877-8339; fax: (202) 755-1000; or e-
mail: [email protected].

VIII. Other Information

    Refer to the General Section of the SuperNOFA for details regarding 
other information on submitting application that meets HUD 
requirements.

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2539-0015. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 80 hours per application and 16 hours per grant award. This 
includes the time for collecting, reviewing, and reporting the data. 
The information will be used for grantee selection & monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

B. Other Office of Healthy Homes and Lead Hazard Control Information

    For additional general, technical, and grant program information 
pertaining to the Office of Healthy Homes and Lead Hazard Control, 
visit: http://www.hud.gov/offices/lead.
BILLING CODE 4210-32-P

[[Page 27330]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.151


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27331]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.152


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27333]]



Brownfields Economic Development Initiative (BEDI)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Brownfields Economic Development 
Initiative.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number is FR-
4900-N-07. The OMB approval number is 2506-0153.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 
Brownfields Economic Development Initiative (BEDI), 14.246.
    F. Dates: The application due date is July 15, 2004.
    G. Optional, Additional Overview Content Information:
    BEDI funds are used to enhance the security of a loan guaranteed by 
HUD under section 108 of the Housing and Community Development Act of 
1974, as amended, for the same brownfields economic development 
project, or to improve the viability of a brownfields economic 
development project financed with the section 108-guaranteed loan, in 
order to stimulate economic development by local governments and 
private sector parties at brownfields sites and to return those sites 
to productive, economic reuse. All BEDI grants must be used in 
conjunction with a new section 108-guaranteed loan commitment.
    HUD encourages brownfields economic development projects that 
propose the redevelopment of a brownfields site through new investments 
by identified private sector parties and that will directly result in 
new business or job creation, increases in the local tax base or other 
near-term, measurable economic benefits.
    Those interested in applying for funding under this program should 
review carefully the General Section of the SuperNOFA and the following 
additional information.

Full Text of Announcement

I. Funding Opportunity Description

A. Authority

    BEDI is authorized pursuant to section 108(q), Title I, Housing and 
Community Development Act of 1974, as amended, (42 U.S.C. 5301); 24 CFR 
part 570.

B. Program Description

    BEDI is designed to help local governments redevelop brownfields, 
defined in this NOFA as abandoned, idled, or underutilized real 
property, including industrial and commercial facilities, where 
expansion or redevelopment is complicated by the presence or potential 
presence of environmental contamination. A BEDI grant award will be 
conditioned upon, and must be used in conjunction with, a new (i.e., 
not previously approved) section 108-guaranteed loan commitment. Both 
section 108 loan guarantee proceeds and BEDI grant funds are initially 
made available by HUD to units of general local government eligible for 
assistance under HUD's Community Development Block Grant (CDBG) program 
(specifically, the Entitlement and State programs and for certain 
jurisdictions in the state of Hawaii, the Small Cities program). A 
local government may re-loan the section 108 loan proceeds and provide 
BEDI funds to a business or other public entity eligible to carry out a 
specific approved brownfields 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 to support the same eligible BEDI project.
    Under this program, communities (and states, as applicable) pledge 
their continuing CDBG allocations as security for the section 108 loans 
guaranteed by HUD. BEDI grant funds are intended to reduce grantees' 
potential loss of future CDBG allocations by:
    1. Strengthening the economic feasibility of a project financed 
with section 108 funds (and thereby increasing the probability that the 
project will generate enough cash to repay the guaranteed loan);
    2. Directly enhancing the security of the section 108-guaranteed 
loan; or
    3. Employing a combination of these or other risk mitigation 
techniques. BEDI funds are to be used as the stimulus for local 
governments and private sector parties to commence redevelopment or 
continue phased redevelopment efforts of brownfields sites where 
contamination is present or potentially present and a redevelopment 
plan exists. HUD desires to see BEDI and section 108 funds used to 
finance projects and activities that involve investment in the 
brownfields site by an identified private sector party and that will 
provide near-term results and measurable economic benefits, such as job 
creation and increases in the local tax base.

C. Program Definitions

    Unless otherwise defined herein, terms defined in this NOFA shall 
have the same respective meanings as provided for in 24 CFR part 570.
    Act means Title I, Housing and Community Development Act of 1974 
(42 U.S.C. 5301 et seq.).
    Application means a single set of documents, including a request 
for Section 108 loan guarantee assistance, submitted by an eligible 
applicant for BEDI grant funds, in accordance with the provisions of 
this NOFA to finance a brownfields economic development project. 
Section IV.B.1(e) of this NOFA provides additional information on the 
nature and forms of section 108 loan guarantee requests that must 
accompany each BEDI application.
    Brownfields means abandoned, idled, or under-used real property 
(including industrial and commercial facilities) where expansion or 
redevelopment is complicated by the presence or potential presence of 
contamination.
    Brownfields Economic Development Initiative (BEDI) funds means the 
appropriated funds made available for the competition under this NOFA 
from any available appropriation.
    Brownfields Economic Development Initiative (BEDI) project or 
brownfields economic development project means an activity or 
activities (including mixed use projects with housing components) that 
are eligible under section 108(q) of the Act and under 24 CFR 570.703, 
and that will increase economic opportunity for persons of low- and 
moderate-income, stimulate or retain businesses or jobs, or otherwise 
lead to near-term, measurable economic benefits in connection with 
brownfields redevelopment.
    CDBG funds means those funds collectively so defined at 24 CFR 
570.3, including grant funds received pursuant to section 108(q) and 
this NOFA.
    Economic Development Initiative (EDI) grant 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).
    EPA means the U.S. Environmental Protection Agency.
    Firm Commitment means either a written agreement or letter of 
understanding by which an applicant or a third party:
    (1) Agrees to perform an activity or provide resources as specified 
in the application, and demonstrates their relationship to the proposed 
BEDI/Section 108 project;

[[Page 27334]]

    (2) Specifies the dollar value of the commitment and demonstrates 
that it has the financial and organizational capacity to deliver the 
resources necessary to successfully complete the activity; 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 BEDI grant. Funds expended 
prior to the submission of the BEDI application will not be considered 
as firmly committed funds for purposes of this NOFA.
    Additional information related to firm commitments of other 
resources is provided in Section V.A.1 of this NOFA, Rating Factor 4 
(Leveraging of Other Financial Resources).
    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. A list 
of the federally designated Brownfield Showcase Communities is provided 
in Appendix B in Section VIII of this NOFA and is also available from 
the SuperNOFA Information Center or through the HUD Web site, http://www.hud.gov.
    Strategic Plan means a strategy or course of action 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, Enterprise Community, or a Renewal Community, 
designated pursuant to 24 CFR parts 597, 598 or 599.

D. Program Background

    HUD has multiple programs that are intended to stimulate economic 
and community development and promote economic revitalization of 
distressed areas, and which 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.
    1. CDBG. The CDBG program provides grant funds by formula to local 
governments (either directly or through states) to carry out community 
and economic development activities ($4.338 billion appropriated in 
FY2004). The section 108 loan guarantee program provides CDBG-eligible 
communities 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 CDBG 
States' program, as well as certain non-entitlement units of general 
local government in the state of Hawaii funded under 24 CFR part 570, 
subpart F. The section 108 program is subject to the regulations 
applicable to the CDBG program at 24 CFR part 570 as described in 24 
CFR part 570, subpart M. BEDI grants must support section 108 loan 
guarantees as generally described in this NOFA.
    2. Section 108 Loan Guarantees. For FY2004, the loan guarantee 
authority for the section 108 program is estimated at $510,337,000 
including $236,960,000 in loan guarantee authority that will continue 
be to available in FY2004 under the FY2003 appropriation and 
$273,377,000 in loan guarantee authority for FY2004. 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) are required to 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. Additional Security for Section 108 Loan Guarantees. Applicants 
should be aware 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 allocations as security for the section 108 loan guarantee, it 
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 and the related 
mortgage from the business). 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.
    4. Integration of Other Government Economic Development and 
Brownfields Programs. HUD encourages local governments which are 
assisted by (a) other Federal or State economic development programs, 
(b) other Federal brownfields programs (e.g., the federal Brownfields 
Showcase Community program, EPA's Assessment, Revolving Loan Fund 
Cleanup or Grant programs), or (c) State-supported brownfields 
programs, 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 in section V.A.1 of this NOFA 
(e.g., ``Capacity of the Applicant,'' ``Soundness of Approach,'' or 
``Leveraging Resources''--Rating Factors 1, 3, and 4 respectively.)

II. Award Information

A. Available Funds

    HUD has available approximately, $25,352,500 for grant awards under 
this
    BEDI NOFA. This amount consists of $24,725,130 in appropriations 
under the ``Brownfields Redevelopment'' heading in the Consolidated 
Appropriations Act, 2004 (Pub. L. 108-199, approved January 23, 2004, 
referred to as the FY2004 Appropriations Act); $127,370 of unobligated 
appropriated funds from the FY2003 HUD Appropriations Act (Pub. L. 108-
7, approved February 20, 2003) under the ``Brownfields Redevelopment'' 
heading; and $500,000 of unobligated appropriated funds from the FY2001 
HUD Appropriations Act (Pub. L. 106-377, approved October 27, 2000) 
under the ``Brownfields'' Redevelopment heading. All such funds are 
authorized by section 108(q) of the Act (as described above). If any 
additional funds become available for the BEDI program during FY2004, 
including through the deobligation and recapture of previous BEDI 
awards, HUD may either fund additional applicants in accordance with 
this NOFA, or may add these funds to funds available for future 
competitions pursuant to section 108(q) of the Act.

B. Maximum Award

    The maximum amount of a BEDI award under this competition is $2 
million per project. An application in excess of $2 million will be 
reduced to the extent HUD determines that such a reduction is 
appropriate and the project remains feasible.

[[Page 27335]]

C. 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 for the same project, but the 
minimum ratio must be $1.00 of section 108 loan guarantee commitments 
for every $1.00 of BEDI grant funds in order to receive consideration 
for funding. Section V.A.1, Rating Factor 4 (Leveraging of Resources), 
provides additional information on the required ratio of BEDI to 
section 108 funds.
    2. After selection, but prior to grant award, if HUD determines 
that an application can be funded at a lesser BEDI 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 BEDI award and/or increase the required section 108 loan 
guarantee commitment.
    3. In the event a BEDI grant is awarded and has been reduced below 
the original request (e.g., the 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), the applicant will be required to modify the project 
plans and application to conform to the terms of HUD approval before 
HUD will execute a grant agreement.
    4. HUD also may proportionately reduce or deobligate the BEDI award 
if a grantee does not submit an approvable section 108 loan guarantee 
application, issue section 108-guaranteed obligations and receive loan 
guarantee proceeds 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.B.1(e)(2) of this NOFA).
    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.B.1(e)(4) below), the 
BEDI assistance approved will be based only on the additional amount of 
section 108 loan guarantee assistance requested.

III. Eligibility Information

A. Eligible Applicants

    Any public entity eligible to apply for section 108 loan guarantee 
assistance in accordance with 24 CFR 570.702 may apply for BEDI grant 
assistance under section 108(q). Eligible applicants are CDBG 
entitlement units of general local government and non-entitlement units 
of general local government eligible to receive loan guarantees under 
24 CFR part 570, subpart M. Urban Counties, as defined at 24 CFR 570.3 
and 570.307, are eligible applicants for BEDI funds; units of general 
local government that participate in an Urban County program are not 
independently eligible applicants. For non-entitlement applicants other 
than those subject to 24 CFR part 570, subpart F (which applies only to 
the state of Hawaii), applicants are required to provide evidence in 
the BEDI application from an authorized official of the state agency 
responsible for administering the State CDBG program stating that it 
supports the related section 108 loan with a pledge of its CDBG 
allocations pursuant to the requirements of 24 CFR 570.705(b)(2). Such 
evidence must be provided by form HUD-40122, titled ``Section 108 Loan 
Guarantee: State Certifications Related to Nonentitlement Public 
Entities'' included in section VIII of this NOFA, or which may be 
obtained by downloading from the Internet at http://www.grants.gov. 
Note that effective January 25, 1995, non-entitlement public entities 
in the state of Hawaii are 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, with assistance of the state's or 
commonwealth's pledge of CDBG allocations.
    For application submission requirements, see section IV.B of this 
NOFA regarding mandatory submission requirements. See also section 
III.C of this NOFA regarding eligible and ineligible uses of grant 
funding.

B. Cost Sharing or Matching

    As described further in section V.A.1 of this NOFA, under Rating 
Factor 4 (Leveraging of Resources), applications which evidence a 
greater level of other funds firmly committed to the BEDI project will 
receive more points under Rating Factor 4, to the extent consistent 
with the points available under Rating Factor 4. In addition, a BEDI 
grant is required to be used with at least an equal amount of section 
108 loan guarantee proceeds for the same brownfields economic 
development project.

C. Other

1. Eligible Activities and National Objectives
    a. 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 NOFA and 
meet the CDBG requirements at 24 CFR 570.200. Applicants 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 threshold requirements found in 
section III.C.2 of the General Section of the SuperNOFA and the program 
requirements of this NOFA will not be rated, ranked, or otherwise 
considered by HUD.
    b. 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. All applicants must clearly identify in their 
narrative statement (as described in section IV.B.1(c) of this NOFA) 
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.
    c. A grantee's aggregate use of its CDBG funds, including any 
section 108 loan guarantee proceeds and section 108(q) (BEDI) funds 
provided pursuant to this NOFA, must comply with the CDBG primary 
objective requirements as described in section 101(c) of the Act and 24 
CFR 570.200(a)(3) for entitlement grantees, or 570.484 in the case of a 
recipient under a State's program, requiring that, over the period of 
time specified in the applicant's CDBG certification, not less than 70 
percent of the aggregate expenditures of CDBG funds be expended for 
activities benefiting low- and moderate-income persons under the 
criteria of 24 CFR 570.208(a) or 570.208(d)(5) or (6).
    d. The following examples are offered only to illustrate some of 
the ways in which BEDI funds may be used to support section 108-
guaranteed loans:
    (1) 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 that could be used as collateral for other sources of 
funding and those other sources of financing could then be used to 
finance environmental remediation or other development costs. In such a

[[Page 27336]]

circumstance, the level of BEDI assistance could approximate the 
difference between the original cost of the site and its remediation in 
comparison to the market value of the remediated property.
    (2) 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 to meet 
operating expenses and debt service obligations. The BEDI grant could 
be used by the grantee to either establish a debt service reserve held 
by a bank in a security account for the benefit of the grantee and HUD 
to cover interest on the section 108 loan, or as a grant to a business 
for working capital. In either case, the BEDI funds enhance the 
economic feasibility of the project.
    (3) Provision of Financing to For-Profit Businesses at a Below 
Market Interest Rate. 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, non-profit groups or public entities in severely 
economically distressed neighborhoods. The BEDI grant can be used to 
make section 108 financing affordable by serving to ``buy down'' the 
interest rate up front, or make full or partial interest payments on 
the section 108 loan. This might increase the financial viability of 
the businesses or other entities 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 or retail project in a brownfields area in order to act as a 
catalyst for other development in the area.
    (4) Site Remediation Costs. Local governments may use BEDI funds in 
any of several ways to address site remediation costs. If the local 
government proposes to use section 108 funds to acquire real property, 
BEDI funds could be used to address assessment and site remediation 
costs as part of eligible demolition, clearance, or site preparation 
activities. If the local government uses section 108 funds to make a 
loan to a developer, BEDI funds could be granted or loaned to the 
developer for the purpose of addressing remediation costs as part of an 
economic development activity.
    (5) Combination of Techniques. A combination of the above could be 
employed to implement a BEDI project successfully. BEDI is governed by 
Federal regulations applicable to the CDBG program and the section 108 
Loan Guarantee program and this NOFA contains many specific references 
to those regulations. The full text of the CDBG and section 108 Loan 
Guarantee regulations can be accessed through the HUD Web site at 
www.hud.gov/offices/cpd/communitydevelopment/rulesandregs/regulations.
2. Ineligible Activities
    Certain restrictions shall apply to the use of BEDI and section 108 
funds, including those ineligible activities listed at 24 CFR 570.207 
and those provided for in this NOFA:
    a. BEDI grant funds must not be used as a resource immediately to 
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 the principal 
prove to be unavailable.
    b. 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.
    c. 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 own 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 will be required in the BEDI 
Narrative Statement described in section IV.B.1(c) of this NOFA to 
indicate that the proposed BEDI project will not be used to provide 
assistance as prohibited herein.
    d. Applicants may not propose projects on sites which are: (i) 
Listed or proposed to be listed on EPA's National Priority List (NPL); 
(ii) subject to unilateral administrative orders, court orders, 
administrative consent orders or judicial consent decrees issued or 
entered into by parties under the Comprehensive Environmental Response, 
Compensation, and Liability Act of 1980, as amended (CERCLA); or (iii) 
subject to the jurisdiction, custody, or control of the United States 
Government. Applicants will be required in the BEDI Narrative Statement 
described above in section IV.B.1(c) of this NOFA to indicate that the 
proposed BEDI project will not be undertaken at an ineligible site as 
provided herein.
    e. 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, unless the applicant requests to 
deobligate previously approved commitment authority as provided in 
section IV.B.1(e)(5) of this NOFA. In no event, however, may a 
previously approved section 108 commitment to be used with a prior BEDI 
or EDI award be subject to such deobligation. In an instance where a 
pending application for section 108 assistance is to be leveraged by 
the proposed BEDI grant, the BEDI 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.
    f. A BEDI award will not be made if the section 108 request 
contained in the application (see section IV.B1(e) of this NOFA) calls 
for the use of the section 108-guaranteed obligation solely as security 
for other financing on the project.
3. Threshold Requirements
    a. Applicants for BEDI grant funds must comply with the statutory, 
regulatory, threshold, and public policy requirements listed in the 
General Section of the SuperNOFA, except as otherwise specifically 
provided in this NOFA. In particular, applicants should carefully 
review those provisions that could result in the failure to receive 
funding, including the DUNS Number Requirement at section II.C.2(b) of 
the General Section of the SuperNOFA, provisions relating to Delinquent 
Federal Debts (Section II.C.2(e)), and the Name Check Review (section 
II.C.2(g)).
    b. The maximum number of points to be awarded under this NOFA is 
104. To be eligible for funding, a BEDI application must obtain a total 
score of at least 75 points. All applications meeting threshold 
requirements and BEDI program requirements will be rated under the 
selection criteria provided in section V.A.1 below.
4. Program Requirements
    a. BEDI Funding Request. A single BEDI application must contain a 
request for funds for a single BEDI/108 project. An applicant may 
submit an additional application for each additional unrelated BEDI/108 
project, but in no event will HUD rate and rank more than one BEDI 
project per application.
    b. Related Section 108 Loan Guarantee Request. Each BEDI

[[Page 27337]]

application must be accompanied by a request for new section 108 loan 
guarantee assistance as described in section IV.B.1(e) of this NOFA. 
The request for section 108 Loan Guarantee assistance must provide for 
a minimum ratio of $1.00 of requested section 108 loan guarantee 
commitments for every $1.00 of BEDI grant funds requested, or a higher 
ratio, as needed for the project.
    c. CDBG National Objectives and Eligible Activities. Each BEDI 
application must include citations to the specific regulatory 
subsections supporting eligibility of activities and compliance with 
National Objectives (see section III.C.1 of this NOFA).
    d. Nonentitlement Applications. Applications submitted by 
nonentitlement public entities must provide for the state or 
commonwealth's certification agreeing to pledge its CDBG allocations to 
receive funding consideration, as evidenced by form HUD-40122, 
available in section VIII of this NOFA.
    e. Narrative Response to Rating Factors. Each BEDI application must 
provide narrative statements in response to each of the rating factors 
below in section V.A.1 of this NOFA.
    f. Time Frame for Submission of Section 108 Applications. All 
applications for Section 108 Loan Guarantee Assistance required for 
approved BEDI projects must be submitted within 60 days of written 
notice of BEDI selection, as provided for in section IV.B.1(e)(2) of 
this NOFA.
    g. HUD Environmental Requirements. Beginning with the submission of 
a BEDI application through 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. This 
includes limitations on the commitment of HUD and non-HUD funds by the 
BEDI grantee and section 108 public entity, as well as other 
participants in the development process, 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 non-entitlement 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.
    h. Compliance with Environmental and Other Laws. 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 and regulations, 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 applicable law, including voluntary 
clean up programs.
    i. CDBG Program Regulations. In addition to 24 CFR 570.701 
(Definitions), 570.702 (Eligible applicants), and 570.703 (Eligible 
activities), the CDBG regulatory requirements cited in 24 CFR 570.707, 
including subparts J (Grant Administration), K (Other Program 
Requirements), and O (Performance Reviews), also govern the use of BEDI 
funds, as applicable.
    j. Obligation to Affirmatively Further Fair Housing. All BEDI 
grantees are obliged to affirmatively further fair housing, even when 
the proposed activities do not appear to be directly related to 
housing. Therefore, applicants that propose to use BEDI funds must 
include in their applications an explanation of how they propose to 
further fair housing opportunities for persons on the basis of race, 
color, national origin, sex, religion, familial status, or disability. 
Applicants should respond to this requirement in section V.A.1, of this 
NOFA, under Rating Factor 3, subfactor (1)(c). Affirmative activities 
include, but are not limited to: initial and periodic assessments of 
the extent to which affordable and accessible housing opportunities are 
provided or denied to persons by race, color, national origin, sex, 
religion, familial status, or disability; outreach to persons in 
underserved population groups or advocacy organizations representing 
such persons; affirmative fair marketing of job or housing 
opportunities; furthering housing choice; addressing environmental 
justice concerns; or ensuring that employment, housing and other 
benefits of the BEDI grant are made available to those individuals and 
families living at or near the brownfields site prior to its 
redevelopment.
    k. Policy Priorities. Applicants are reminded of the Department's 
Policy Priorities for FY2004 found in section V.B.2 General Section of 
the SuperNOFA, several of which apply to this NOFA, as described in 
section V.A.1 below, under Rating Factor 5 (Achieving Results and 
Program Evaluation).

IV. Application and Submission Information

A. Addresses to Request Application Package

    1. For All Applicants. All information and forms necessary to 
complete and submit a valid application are contained in the General 
Section and this NOFA, and the appendices to the General Section and 
this NOFA. Copies of the NOFA and forms are also available on the 
Internet through the Web site http://www.grants.gov.
    2. Further Information. Applicants may request general information 
and copies of the General Section and Program NOFAs of the SuperNOFA 
from the SuperNOFA Information Center (800-HUD-8929 or 800-HUD-2209 
(TTY)) between the hours of 9 a.m. and 8 p.m. (eastern time) Monday 
through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program that is of 
interest. Those requesting information should be sure to provide their 
name, address (including zip code), and telephone number (including 
area code). To ensure sufficient time to prepare an application, 
requests for copies of this SuperNOFA can be made immediately following 
publication of the SuperNOFA. The SuperNOFA Information Center opens 
for business simultaneously with the publication of the SuperNOFA. 
Application and other information on the SuperNOFA can also be obtained 
and downloaded through the Web site www.grants.gov.
    3. Satellite Broadcasts. HUD will hold informational broadcasts via 
satellite for potential applicants to learn more about the BEDI program 
and the preparation of BEDI application(s). For more information about 
the date and time of the broadcast, consult the Web site http://www.hud.gov.

B. Content and Form of Application Submission

1. Content of Application
    A complete application for a BEDI grant under this NOFA must 
contain the following items listed below to be complete. The standard 
forms, certifications, and assurances, which are required for the BEDI 
application (and listed in section IV.B.2 below) can be found in the 
General Section of the SuperNOFA. 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 section VIII 
of this NOFA.
    a. Transmittal Letter signed by the authorized representative of 
the eligible

[[Page 27338]]

applicant indicating that it is submitting the application for funding 
under the Brownfields Economic Development Initiative Program and is 
requesting funding consideration for a BEDI project.
    b. Checklist and Submission Table of Contents indicating the page 
numbers where the submission items can be found in the application 
(form HUD-40076-A EDI/BEDI).
    c. BEDI Narrative Statement (not to exceed three double-spaced, 
8\1/2\ x 11 inch pages, with one inch margins, combined) describing 
BEDI-funded eligible activities within the proposed project and 
indicating that funding will not be used for a prohibited purpose and 
that the proposed site for the project as described in paragraph (3) 
below, is not ineligible under the BEDI program. The BEDI narrative 
statement should:
    (1) Describe the activities that will be carried out with the BEDI 
grant funds, and explain the nature and extent of the brownfields 
problem(s) actually or potentially affecting the site and/or 
structure(s) already on the site;
    (2) Describe how the proposed uses of BEDI funds will qualify as 
eligible activities under 24 CFR 570.703 and meet the National 
Objectives under 24 CFR 570.208 of the CDBG program. In describing how 
the proposed uses will meet the National Objectives of the CDBG program 
and the activity eligibility requirements of the section 108 program, 
applications must also include citations to the specific regulatory 
subsections supporting eligibility of activities and compliance with 
National Objectives. (See Section III.C.1 of this NOFA) and;
    (3) Indicate that:
    (a) the proposed assistance will not be used to provide funding to 
parties to remediate conditions caused by their own actions for which 
they have been determined to be legally responsible, as specified in 
section III.C.2(c) of this NOFA; and
    (b) that the proposed brownfields site is not ineligible as 
provided in Section III.C.2(d) of this NOFA.
    d. EDI/BEDI/Section 108 Funding Eligibility Statement. A completed 
EDI/BEDI section 108 Funding Eligibility Statement (form HUD-40076-E 
EDI/BEDI).
    e. Request for Loan Guarantee Assistance. A request for loan 
guarantee assistance under Section 108, as further described below. 
Full application requirements for the section 108 program are found at 
24 CFR 570.704. Nonentitlement applicants must accompany this request 
with the State Certifications Related to Nonentitlement Public Entities 
(form HUD-40122) in order to be considered for BEDI funding.
    The request for loan guarantee assistance may take any of the five 
forms defined in paragraphs (1), (2), (3), (4) or (5) below. 
Notwithstanding the form of the request for new section 108 loan 
guarantee assistance, the applicant must include citations to the 
specific regulatory subsection supporting activity eligibility and 
National Objectives compliance for the section 108 funds described in 
the application. (See section III.C.1 of this NOFA.) Both the BEDI and 
section 108 funds must be used in conjunction with the same BEDI 
project. The request for new section 108 guarantee assistance may be 
presented through a:
    (1) Concurrent Application. A complete application for new section 
108 loan guarantee(s), including the documents listed at 24 CFR 
570.704(b). Any full application must also be submitted to the 
appropriate HUD field office concurrently with its submission to 
Headquarters. As described further in section V.A.1, in Rating Factor 3 
(Soundness of Approach), two points will be awarded for the submission 
of a full section 108 loan guarantee application with a BEDI 
application.
    (2) Subsequent Application. A brief description (not to exceed 
three pages) of the project to be applied for in a subsequent new 
section 108 loan guarantee application(s). Such a 108 application(s) 
shall be submitted within 60 days of written notice of BEDI 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. BEDI awards 
will be conditioned on approval of actual section 108 loan commitments 
and loan guarantee proceeds in a specific ratio of BEDI funds to 
section 108 funds as approved by HUD in the BEDI award. The description 
provided in the BEDI application must be sufficient to support the 
basic eligibility of the proposed project and activities for section 
108 assistance. (See section III.C.1 of this NOFA.)
    (3) Pending, Unapproved Application. 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.
    (4) Increase to a Project Assisted Under a Previously Approved 
Application. A request for section 108 loan guarantee assistance 
(analogous to section IV.B.1(e)(1) or (2) above of this section) that 
proposes to increase the amount of section 108 assistance for a project 
assisted under a previously approved section 108 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 NOFA.
    (5) Deobligation of Previously Approved section 108 Authority. A 
request to deobligate a previous commitment of section 108 loan 
guarantee authority to the applicant that is no longer to be used by 
the applicant (except for an amount required as a condition of a 
previously approved BEDI or EDI award), combined with a new request or 
application for section 108 loan guarantee assistance. Such request or 
application may either be a full application as provided for in 
paragraph (1) above or a request for 108 assistance submitted within 60 
days as provided for in paragraph (2) above.
    (6) In no event may a section 108 loan guarantee amount that is 
required to be used in conjunction with a previously approved BEDI or 
EDI grant award as of the date of the submission of the application, 
whether or not the section 108 loan guarantee has been approved as of 
the date of this SuperNOFA, be used in conjunction with a new 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 a BEDI grant of $1 million and had 
agreed to submit a section 108 loan application for $10 million in 
support of that BEDI grant, the public entity's application under this 
NOFA must propose to increase the amount of its total section 108 loan 
guarantee commitments beyond those amounts to which it has previously 
agreed. (i.e., the $12 million or $10 million section 108 loan 
guarantee commitments in this example).
    f. Narrative Responses to Factors for Award (not to exceed 15 
double-spaced, 8\1/2\ x 11 inch pages, with one inch margins, 
combined):
    (1) Rating Factor 1: Capacity and Relevant Organizational 
Experience. Provide a narrative indicating the capacity of the 
applicant's organization and staff and any known third parties to 
perform the work for which it is requesting funding.

[[Page 27339]]

    (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, accompanied by a 
completed form HUD-40076-B EDI/BEDI.
    (3) Rating Factor 3: Soundness of Approach. Include the activities, 
budget and time frame for conducting activities and providing project 
benefits in the narrative response, accompanied by Form HUD-40076-C 
EDI/BEDI.
    (4) Rating Factor 4: Leveraging Resources. The response must 
include a completed copy of Form HUD-40076-D EDI/BEDI, ``Rating Factor 
4: Leveraging Resources--Sources and Uses Statement,'' accompanied by 
any letters of firm commitment as defined in Section I.C of this NOFA.
    (5) Rating Factor 5: Achieving Results and Program Evaluation: 
Provide a narrative response to this factor, accompanied by the logic 
model provided in the General Section of the SuperNOFA (form HUD-
96010).
2. Forms, Certifications, and Assurances
    a. In addition to any forms that have been submitted in response to 
Section IV.B.1 above (which may be found in Section VIII of this NOFA), 
the following forms and certifications must also be submitted in 
accordance with the General Section of the SuperNOFA and may be found 
in the General Section of the SuperNOFA:
    (1) Application for Federal Assistance (SF-424);
    (2) Applicant Assurances and Certifications (HUD-424-B);
    (3) Applicant/Recipient Disclosure/Update Report, HUD-2880; and, if 
applicable,
    (4) Certification of Consistency With EZ/EC Strategic Plan, HUD-
2990.
    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 (HUD-2993).
BILLING CODE 4210-32-P

[[Page 27340]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.153

BILLING CODE 4210-32-C?>

[[Page 27341]]

    In addition, within 30 days after the due date for this NOFA 
applicants are invited, on a voluntary basis, to submit duplicate 
applications via the use of http://www.grants.gov. For FY2004 BEDI 
applications, use of http://www.grants.gov/apply is strictly voluntary 
and intended to help HUD test the system to ensure that future 
applications can be received at HUD without problems and also to help 
applicants become familiar with the use of the system. It is HUD's 
intent to move to electronic submissions in FY2005 and beyond. 
Applicants can help HUD in its planning by voluntarily submitting 
applications electronically within 30 days after the submission of 
paper copies of the application by the due date and time per the 
mailing instructions in this NOFA and the General Section of the 
SuperNOFA.

C. Submission Dates and Times

1. Application Due Date
    Please submit your completed applications (one original and three 
copies) on or before July 15, 2004, to the addresses shown below. 
Applications must be postmarked on or before midnight eastern time of 
July 15, 2004, and be received within 15 days of such date in order to 
be considered.
2. Proof of Timely Submission
    Please see the General Section of the SuperNOFA for information 
regarding proof of timely submission.

D. Intergovernmental Review

    BEDI is not subject to the provisions of Executive Order 12372, 
``Intergovernmental Review of Federal Programs.''

E. Funding Restrictions

    BEDI grant funds and Section 108 loan guarantee funds may be used 
only for activities listed at 24 CFR 570.703, provided such activities 
are carried out as part of a BEDI project as described in this NOFA and 
meet the CDBG requirements at 24 CFR 570.200, 570.207, 570.208 and 
570.209.

F. Other Submission Requirements

1. Address for Submitting Applications
    a. Applications to HUD Headquarters. Submit the completed 
application (an original and two copies) by mail or permitted delivery 
service to: HUD Headquarters; Robert C. Weaver Federal Building; 451 
Seventh Street, SW., Room 7251; Washington, DC 20410, Attention: BEDI.
    When submitting the application, please specify BEDI on any label 
or mailing container, and include the applicant's name, mailing address 
(including ZIP code), street address (if different from mailing 
address), and ZIP code, and voice and facsimile telephone numbers 
(including area code), along with the contact person's name, and voice 
and facsimile telephone numbers (including area code), and email 
address, if available.
    b. Applications to HUD Field Offices. 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. HUD strongly suggests that applications submitted to HUD 
field offices be mailed via the United States Postal Service, as access 
by other delivery services cannot be guaranteed.
2. Application Submission Procedures
    See the General Section of the SuperNOFA for specific procedures 
governing the submission and receipt of applications.

V. Application Review Information

A. Criteria

1. Factors for Award Used To Evaluate and Rate Applications
    a. Response to Factors for Award. The applicant must provide in 
narrative form responses to each of the rating factors below. 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 BEDI funds in accordance with the purposes of the Act.
    b. Responses to Rating Factors 1-5. Responses to Rating Factors 1-5 
below shall not exceed 15 double-spaced, 8\1/2\ x 11 inch pages, with 
one-inch margins, combined.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience (20 Points Maximum)
    This Factor addresses the extent to which the applicant has 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'' will include any 
subcontractors, consultants, and sub-recipients that are firmly 
committed (see definition in section I.C above) to participate in the 
activities described in the application. In responding to subfactors 
(1) and (2) of this Factor, applications that merely summarize the 
amount of funds received, spent, or managed will receive fewer points 
than those providing specific measurable information on program 
activities undertaken, outcomes of these activities and their 
accomplishments. In rating this Factor, HUD will consider the 
following:
    (1) Applicant Capacity (Up to 10 points). The applicant should 
demonstrate that it has the organization, the staff, and the financial 
resources in place to implement the specific steps required to 
successfully carry out its proposed BEDI/Section 108 project. The 
applicant should offer evidence of this capacity through a description 
that includes:
    (a) Performance in the administration of its CDBG, HOME, or other 
HUD programs, including a description of successfully completed 
projects and other outcomes or accomplishments under these programs. In 
addition to citing specific projects, outcomes, or accomplishments, 
CDBG entitlement recipients must also indicate the extent to which the 
applicant has met the HUD standard that the total amount of its 
undisbursed entitlement grant funds may not be more than 1.5 times the 
entitlement grant amount for the current program year (see 24 CFR 
570.902(a)(1)(i)).
    (b) Performance, if any, in carrying out economic development 
projects similar to that proposed, including brownfields economic 
development or redevelopment projects, if any, and if applicable, the 
ability to conduct prudent underwriting;
    (c) If applicable because the applicant has such designation, the 
capacity to achieve state and local commitments identified in its local 
implementation plan, including maximizing the federal tax benefits made 
available as a result of a federal Renewal Community/Empowerment Zone/
Enterprise Community designation (including Enhanced Enterprise 
Community (EEC) designation). Applicants that have been designated as a 
Renewal Community (RC), Empowerment Zone (EZ), or Enterprise Community 
(EC/EEC) must respond to this subfactor even if the proposed 
brownfields economic development project is not to be located within 
the boundaries of the designated RC/EZ/EC; and
    (d) An applicant that has previously received a BEDI or a 
competitive EDI grant award or, within the past five years, a section 
108-guaranteed loan commitment, must describe the status of the 
implementation of those project(s) assisted with any BEDI or 
competitive EDI funds or with any section 108-guaranteed loan funds so 
approved

[[Page 27342]]

within the last five years. An applicant must address any delays that 
have been encountered and the actions it is taking to overcome any such 
delays in carrying out the project(s) in a timely manner. For any such 
previously funded BEDI or competitive EDI grant projects, or for those 
section 108-guaranteed loan projects committed within the past five 
years, HUD will award more rating points for applications providing 
evidence of achievement of specific measurable outcomes in carrying out 
approved activities funded with such guaranteed loan or grant funds.
    If any of the rating criteria listed under (a) through (d) above do 
not apply to an application, the rating for this subfactor (1) shall be 
based solely upon the other applicable criteria.
    (2) Partner Capacity (Up to 10 points). In response to this 
subfactor (2), the applicant should describe the experience and 
performance of subrecipients, private developers and other businesses, 
nonprofit organizations (including grassroots faith-based and other 
community-based organizations), and other entities, if any, that have a 
role in implementing the proposed BEDI/108 program. Applicants are 
encouraged to identify specific economic development or other projects 
undertaken by each entity, which reflect the capacity of each entity to 
fulfill its responsibilities under the proposed brownfields economic 
development project, including the location, scale, and timeframe for 
completion of other relevant projects. If there are no third parties 
participating with the applicant in the proposed project, the 10 points 
available under this subfactor (2) will be added to the 10 points 
available under subfactor (1), with a maximum of 20 possible points 
then available under subfactor (1).
    Experience will be judged in terms of recent (i.e., within the past 
5 years) 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.
    In addition to the application, HUD also may rely on information at 
hand or available from public sources such as newspapers, from 
performance and/or monitoring reports, Inspector General or Government 
Accounting Office reports or findings, hotline complaints that have 
been proven to have merit, audit reports, and other reliable public 
information in rating this Factor.
Rating Factor 2: Distress/Extent of the Problem (15 Points Maximum)
    This Factor addresses the extent to which there is need for funding 
the proposed activities based on levels of distress in both the 
jurisdiction of the public entity that is the applicant and the 
geographic or target area that will benefit from the project. 
Applications will be evaluated on the extent to which the level of 
distress for the target area is documented and compared with national 
data and data for the jurisdiction.
    (1) In applying this Factor, HUD will consider current levels of 
distress in the target area, as defined in standard geographic terms by 
the applicant. This may be Census Tract(s) or Block Groups immediately 
surrounding the project site up to a radius of one-half mile, or it may 
be the target area to be served by the proposed project. HUD will also 
consider the current levels of distress in the applicant public 
entity's jurisdiction, if different from the target area. The applicant 
should describe the nature of the distress that the project is designed 
to address and the rationale for its definition of the area to be 
benefited. Examples of project beneficiaries may include: (a) Those 
receiving or using products or services produced by the project, and 
(b) those employed by the project.
    To the extent that the applicant's Consolidated Plan, its Analysis 
of Impediments to Fair Housing choice (AI), and/or its Anti-Poverty 
Strategy found therein identify the level of distress in the 
jurisdiction and the target area in which the project is to be carried 
out, references to such documents should be included in preparing the 
response to this Factor. Applications that fail to reference these 
sources will receive fewer points under this Factor.
    Notwithstanding the above, an applicant proposing a project to be 
located outside the target area for which benefit is claimed could 
still receive points under this Factor if a clear rationale is provided 
linking the proposed project location and the benefits to be derived by 
persons living in the target area.
    (2) Applicants should provide data that address the following 
specific indicators of distress:
    (a) Poverty Rate (Up to 5 points). Data should be provided in both 
absolute and percentage form (i.e., whole numbers and percents) for 
both the target area and the applicant's 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) Less than the national average, but with a poverty rate in the 
target area that is greater than the applicant's jurisdiction: 2 
points;
    (ii) At least equal to, but less than twice, the national average: 
3 points;
    (iii) Twice or more the national average: 5 points.
    (b) Unemployment Rate (Up to 5 points). An application that 
compares the local unemployment rate for the applicant's jurisdiction 
and the target area in the following manner to the national average at 
the time of submission will receive points under this Section as 
follows:
    (i) Less than the national average, but with an unemployment rate 
in the target area that is greater than the applicant's jurisdiction: 2 
points;
    (ii) At least equal to, but less than twice, the national average: 
3 points;
    (iii) Twice or more the national average: 5 points.
    (c) Other Indicators of Social and/or Economic Decline (Up to 5 
points). Applicants should provide other indicators of social or 
economic decline that best capture the applicant's local situation. 
Examples that could be provided under this section include information 
demonstrating the target area and the jurisdiction's stagnant or 
falling tax base, including recent (within the last three years) 
commercial or industrial closings, downturns or layoffs; 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. The response to this subfactor (c) should paint a 
picture of the extent of need and distress in the target area and 
jurisdiction.
    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: Unemployment rates are estimated monthly for 
counties, with a two-month lag, while census tract unemployment rates 
are available through the 2000 U.S. Census;
    Poverty rate: Poverty rates are provided through the 2000 U.S. 
Census and are estimated every two years, with a three-year lag. Census 
and other relevant data can be accessed through http://www.ffiec.gov. 
In rating

[[Page 27343]]

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, in order to compare such data to those 
provided by applicants.
Rating Factor 3: Soundness of Approach (35 Points Maximum)
    This Factor addresses the quality and cost-effectiveness of the 
proposed plan for the brownfields economic development project. 
Applications that do not propose the productive reuse of a specific, 
identified site or sites and that do not result in near-term, 
measurable economic benefits, such as projects that involve only the 
preparation of a site for potential future reuse by an unidentified 
party, or the capitalization of a loan pool for loans to unidentified 
borrowers, will receive fewer points under this Factor. The 
relationship between the proposed site or sites, the proposed eligible 
activities and the community needs and purposes of the program funding 
must be clearly described, as set forth below, in order to receive 
points for this Factor. In rating this Factor, HUD will consider the 
following:
    (1) Consistency/Appropriateness of Proposed Activities with 
Identified Needs (Up to 8 points). The applicant should address:
    (a) The extent to which the proposed plan for use of BEDI 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 target area or area to be benefited and the long-term benefit 
for current residents of the target area. The applicant should provide 
a clear and quantified explanation of this relationship.
    (b) How the project will achieve one of the National Objectives 
under the Community Development Block Grant program (see 24 CFR 
570.208) and the eligible activities that will be carried out under 24 
CFR 570.703, including citations to the specific regulatory subsections 
supporting eligibility of activities and compliance with National 
Objectives; and
    (c) Any unmet needs identified in the jurisdiction's Consolidated 
Plan and pursuant to section III.C.4(j) of this NOFA, any impediments 
to fair housing identified in the jurisdiction's Analysis of 
Impediments to Fair Housing Choice, that will be directly addressed by 
the proposed project. In order to receive full points under this 
subfactor, applicants must address the unmet needs addressed in both 
its Consolidated Plan and in the Analysis of Impediments to Fair 
Housing Choice. See section III.C.4(j) of this NOFA for examples of 
general affirmative fair housing actions that may be undertaken to 
address a jurisdiction's Analysis of Impediments to Fair Housing 
Choice.
    (2) Project Readiness (Up to 15 points). In responding to this 
subfactor (2), the applicant should demonstrate the extent to which the 
redevelopment plan for the brownfields site is logical, feasible, and 
likely to achieve its stated purpose and the extent to which the 
project will directly result in the productive reuse of the site and 
the delivery of near-term, measurable economic benefits. The 
applicant's response should demonstrate the extent to which the project 
is likely to be completed within a maximum of five years from the date 
of the BEDI award and will produce near-term, measurable economic 
benefits. Points for this subfactor will be awarded based upon the 
extent to which the following critical benchmarks for the redevelopment 
plan have been met or are approaching completion. The applicant's 
response to this subfactor should address:
    (a) Environmental Investigation. This subfactor (a) will consider 
the extent to which the presence or potential presence of environmental 
contamination of the project site is known or understood. Proposed 
projects on sites where the nature and degree of environmental 
contamination is not well-quantified, where no environmental 
investigation has commenced, or that are the subject of on-going 
litigation or environmental enforcement actions will receive fewer 
points under this subfactor (a). Similarly, fewer points will be 
awarded to proposed projects at sites with exceptionally expensive 
contamination problems that may be beyond the scope of the BEDI and 
section 108 programs' financial resources or other resources firmly 
committed to the project as described in the application, and sites 
subject to pending and current litigation that may not be available for 
remediation and development or redevelopment in a time frame that will 
produce near-term and measurable economic benefits through the use of 
BEDI and section 108 funds. Alternatively, any applicant indicating the 
completion of environmental assessment or review and the issuance of 
HUD approval for a Request for Release of Funds for the project under 
24 CFR part 58 will receive more points under this subfactor.
    (b) Site Control. This subfactor (b) will consider the extent to 
which control of the proposed project site has been secured or is being 
sought. Points for this subfactor (b) will be awarded based upon the 
degree of site control secured by the applicant or its development 
partner. Projects, for instance, in which negotiation or litigation 
related to site control are underway or continuing will receive fewer 
points than projects in which an option to purchase has been secured. 
Projects in which the applicant or its development partner has secured 
site control through acquisition, eminent domain or other means at the 
time of application will receive full points under this subfactor (b). 
In responding to this subfactor (b), applicants are encouraged to 
accompany their narrative response with a map indicating the boundaries 
of the proposed site or sites on which BEDI-assisted improvements are 
proposed. Any map included by the applicant will not be counted in the 
fifteen page limitation on the narrative response to the Rating Factors 
as provided in section V.A.1(b) of this NOFA.
    (c) Legislative, Regulatory, and Other Approvals. This subfactor 
(c) will consider the extent to which any required local legislative 
approvals, regulatory permits, zoning classifications, environmental 
regulatory approvals, waivers, general, and special use permits, 
assessment district designations, public easements or rights-of-way, or 
other similar approvals have been secured or are being sought. The 
greater the number of outstanding legislative, regulatory, or other 
approvals required and not yet secured, the fewer points will be 
awarded. In the case of a CDBG entitlement unit of general local 
government, such as a county, proposing to undertake a BEDI project 
within the jurisdiction of another CDBG entitlement unit of general 
local government, such as a city or other jurisdiction within that 
county, the applicant should also include a letter of support from the 
jurisdiction in which the BEDI project would be located.
    (d) User Agreements. This subfactor (d) will consider the extent to 
which any development agreements, tenant leases, memoranda of 
understanding, or other agreements integral to returning the site to 
productive reuse and producing near-term measurable economic benefits, 
have been secured or are being sought. Applicants proposing projects 
that do not provide for new investment by an identified, committed 
private entity and the return of a brownfields site to productive 
reuse, with accompanying near-term, measurable economic benefits, will 
receive fewer points under this subfactor (d).

[[Page 27344]]

    (e) Delivery of Economic Benefits. The response to this subfactor 
(e) must include the time frame in which the measurable economic 
benefits are to be delivered. For multi-phase projects, the response to 
this subfactor (e) must clearly delineate the different phases of the 
project and indicate whether or not they are to be funded by BEDI/
section 108 funds. Brownfields economic development projects that 
provide near-term, measurable economic benefits directly through the 
creation or retention of jobs will receive a greater number of points 
under this subfactor (e). In response to this subfactor (2), the 
applicant should also provide a specific time schedule (with both 
beginning and end dates) for carrying out the project and identify all 
interim measurable benchmarks (acquisition, demolition, site 
improvements, relocation, construction, etc.) to be accomplished. The 
applicant should also include a proposed schedule for drawing down all 
funds necessary to complete the project, including BEDI and section 108 
funds.
    A timeline form is provided in Appendix A to this NOFA for the 
purpose of illustrating the project schedule (form HUD-40076-C EDI/
BEDI), but HUD will consider the timeline form only as an illustration 
of the narrative response to this subfactor (e).
    (3) Section 108 Application (Up to 2 points). BEDI applications 
accompanied by a request for new section 108 Loan Guarantee assistance 
as evidenced by a full and complete section 108 application will 
receive up to two points for this subfactor (3). BEDI applications 
accompanied by a copy of a currently pending but unapproved section 108 
loan guarantee application for the same project described in the BEDI 
application will also receive up to two points under this subfactor 
(3).
    (4) Financial Feasibility/Need (Up to 10 points). The applicant 
should demonstrate the economic necessity of the proposed BEDI and 
section 108 funds and the extent to which the project is not 
financially feasible in the absence of such funds. In responding to 
this subfactor (4), applicants are encouraged to accompany their 
narrative response, as appropriate, with a development and operating 
``pro forma'' or similar analysis of the proposed project financing. 
Such pro forma or other financial analysis will not be counted in the 
fifteen page limitation on the narrative response to the Rating Factors 
as provided in section V.A.1(b) of this NOFA. In the narrative 
response, applicants must clearly address the question of why the BEDI 
funds are critical to the success of this project by providing the 
following items:
    (a) Use of BEDI and section 108 Funds to Fill Financing Gaps. The 
applicant must provide an economic rationale that demonstrates how the 
use of the BEDI and section 108 funds will directly impact the 
financial feasibility of the proposed project. The response should 
discuss the critical gaps that exist in financing the proposed project, 
why those gaps exist and how the BEDI and section 108 funds will be 
used to fill those gaps. The narrative response, including any pro 
forma or similar analysis, should demonstrate how the proposed BEDI and 
section 108 financing will yield economic benefits critical to the 
success of the project, including, for example, increased rates of 
return or debt coverage ratios, reduced rents or other similar 
financial outcomes necessary to attract private investment.
    (b) Project Costs and Financial Requirements. A funding sources and 
uses statement must also be provided that specifies the source of funds 
for each identified use or activity, along with the derivation of 
project costs.
Rating Factor 4: Leveraging Resources (15 Points Maximum)
    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. Points for this Factor will be awarded in two 
parts, for the following:
    (1) Leverage of section 108 funds (Up to 8 points). The minimum 
ratio of section 108 funds to BEDI funds in any project may not be less 
than 1:1. Points will be awarded based upon the extent to which the 
proposed project leverages an amount of section 108 funds greater than 
a 1:1 ratio. If the application has a ratio of 1:1, it will not receive 
any points under this subfactor. The higher the ratio of additional new 
section 108 funds to BEDI funds proposed in an application, the more 
points it will receive under this subfactor, within the points 
available hereunder. (See Sections III.C.3(b) and Section VI.B.1(a) of 
this NOFA. regarding the conditioning of BEDI awards on achievement of 
a specific BEDI/section 108 leveraging ratio.)
    (2) Leverage of Other Financial Resources (Up to 7 points). HUD 
will evaluate the extent to which other funds (public or private) are 
leveraged by BEDI grant 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 nonprofits or other sources. In order to receive points for 
other public and privately committed funds under this subfactor (2):
    (a) Applicants must provide evidence that such funds are ``firmly 
committed'' as defined in section I.C. of this NOFA.
    (b) Each agreement or letter of commitment must include the name of 
the organization making the commitment, the proposed total level of 
commitment, and the responsibilities of the organization as they relate 
to the proposed BEDI project.
    (c) Each commitment--including the donation or purchase of real 
property or the provision of in-kind services--must be assigned a 
monetary value by the party making the commitment, accompanied by an 
indication of the basis for that assigned value.
    (d) The commitment must be signed by an official of the 
organization legally authorized to make commitments on behalf of the 
organization, with a statement confirming that authority, and remain in 
effect for a period stated in the commitment.
    (e) If a commitment is to be self-financed, such as a commitment by 
a private developer to provide a specified amount of equity investment 
in the project, the party making that commitment must evidence its 
financial capacity through the submission of a corporate or personal 
financial statement or other appropriate means in order to receive 
points under this subfactor (2).
    (f) For Applicants Committing CDBG Funds: In order for an 
applicant's commitment of CDBG funds to be accepted by HUD as 
additional financing for a BEDI project, a resolution from the local 
governing body (e.g., city/borough council) authorizing the amount and 
permitted uses of the funds must be provided.
    All such funds may also be committed subject to completion of a 
satisfactory environmental review required under 24 CFR part 58 for the 
project for purposes of this section.
Rating Factor 5: Achieving Results and Program Evaluation (15 Points 
Maximum)
    This Factor emphasizes HUD's commitment to ensuring that applicants 
maintain commitments made in their application and assess their 
performance to ensure that performance goals are met. This Factor also 
evaluates the extent to which the results of the proposed BEDI project 
address the policy priorities of the Department. In

[[Page 27345]]

addition to a narrative response, applicants must complete the logic 
model provided in the General Section of the SuperNOFA (form HUD-96010) 
in order to receive points under this Factor.
    (1) Performance Measurement Plan (Up to 12 points). HUD requires 
applicants to develop an effective, quantifiable, outcome oriented 
performance measurement plan for measuring performance and determining 
that BEDI project goals have been met. The applicant's response to this 
subfactor (1) should identify: (a) Each of the specific project 
outcomes for the proposed BEDI project, i.e., the near-term, measurable 
economic benefits to be achieved; (b) all interim benchmarks of the 
project and the associated time frames for meeting each interim 
benchmark; and (c) the performance indicators selected by the applicant 
to measure its achievement of the identified interim benchmarks and 
project outcomes. The performance indicators selected by the applicant 
should be objectively quantifiable and measure actual achievements 
against anticipated results. The response to this subfactor (1) should 
identify what will be measured, how it will be measured, and the 
procedures or plans that are in place to make adjustments to the 
project redevelopment plan if performance targets are not met within 
established time frames.
    In response to this subfactor (1), applicants should address any of 
the following applicable outcomes or ultimate goals identified by HUD 
for BEDI projects: the number of jobs to be created or retained; the 
amount of increased wages resulting from the creation or retention of 
jobs; the number of housing units to be constructed or rehabilitated; 
the total square feet of commercial and industrial space to be created; 
the total number of low- and moderate-income persons to benefit from 
the project; the total number of businesses assisted by the project; 
the number of acres of brownfields returned to productive economic use; 
and the amount of any increased land value that results from the BEDI 
project. Applicants may also propose additional quantifiable outcomes 
or goals related to other benefits expected for the neighborhood or for 
persons assisted, as part of the evaluation plan.
    (2) Policy Priorities (Up to 3 points). The applicant's response to 
this subfactor (2) should address how the project will address the 
following policy priorities of the Department, as further detailed in 
section V.B.2 of the General Section of the SuperNOFA. The number of 
points to be awarded for each applicable policy priority addressed by 
the proposed BEDI project is indicated below:
    (a) For BEDI projects that propose only housing activities:
    (i) The extent to which the project will increase affordable 
housing and homeownership opportunities for low- and moderate-income 
persons, the disabled, the elderly, minorities, and families where 
English may be the second language, whether through the provision of 
housing or employment which will enable residents to access affordable 
housing and have a choice of such housing in environmentally healthy 
and revitalized neighborhoods (1 point); and
    (ii) The extent to which the project will assist in breaking down 
regulatory barriers that impede the availability of affordable housing 
(up to 2 points).
    (b) For all other BEDI projects:
    (i) The extent to which the proposed project will improve the 
quality of life in the nation's communities, by bringing private 
capital to distressed communities (1 point);
    (ii) The extent to which the proposed project will finance business 
investments that will grow new businesses or maintain and expand 
existing businesses (1 point); and
    (iii) The extent to which the proposed project will create decent 
jobs for low-income persons (1 point).
Bonus Points
    An application may receive up to four bonus points, until the 
maximum of four points are achieved. Two bonus points may be awarded 
for each of the following:
    (1) Projects that are located either in federally designated 
Empowerment Zones, Enterprise, or Renewal Communities (see the General 
Section of the SuperNOFA for advice on locating a list of designated 
communities);
    (2) Projects that are located in Brownfields Showcase Communities 
designated by EPA. A list of the federally designated Brownfields 
Showcase Communities is listed in Appendix B of section VIII of this 
NOFA and is also available from the SuperNOFA Information Center or 
through the HUD Web site, http://www.hud.gov.

B. Reviews and Selection Process

    1. Reviews and Selection Process. All applications meeting BEDI 
program and threshold requirements will be rated under the selection 
criteria in section V.A. of this NOFA. Applications will be selected 
for funding as follows:
    a. Fundable BEDI grant applications must meet the program and 
submission requirements of this NOFA and the threshold requirements 
stipulated in section III.C.2 of the General Section of the SuperNOFA 
or they will not be ranked.
    b. All BEDI grant applications that meet threshold requirements 
will be ranked separately in order of points assigned with the 
applications receiving more points ranked above those receiving fewer 
points.
    c. In the event two or more applications are given the same score, 
but there are insufficient funds to fund all of the tied applications, 
the application(s) with the highest score(s) on Rating Factor 3 
(Soundness of Approach) shall be selected. If there is still a tie, the 
following Factors will be considered sequentially, with the application 
having the high score on each Factor in the following order taking 
precedence until the tie is broken: Rating Factor 1 (Capacity and 
Experience), Rating Factor 2 (Distress/Extent of the Problem), Rating 
Factor 4 (Leveraging Resources), and Rating Factor 5 (Achieving Results 
and Program Evaluation).
    d. Fundable BEDI applications will be funded in rank order until 
the total aggregate amount of the approvable applications funded is 
equal to the maximum amount available in the competition (subject to 
the limitations described in section II.C above).
    2. Corrections to Deficient Applications. The General Section of 
the SuperNOFA provides the procedures for corrections to deficient 
applications.
    3. Applicant Debriefing. The General Section of the SuperNOFA 
provides information on applicant requests for a debriefing. Applicants 
requesting to be debriefed must send a written request to the contact 
person for the BEDI program, Mr. Frank McNally, at the address listed 
in section VII of this NOFA.

C. Anticipated Announcement and Award Dates

    Historically, BEDI awardees have been notified of the approval of 
BEDI applications within approximately 90 days of the application 
deadline.

VI. Award Administration Information

A. Award Notices

1. Notice of Award and Obligation
    BEDI award recipients will receive written notice of approval of 
their applications and the related terms and conditions of the award. 
An authorized official of the applicant receiving a BEDI award will be 
required to sign and return an acceptance of the BEDI award.

[[Page 27346]]

BEDI funds shall be obligated for an approved application upon the 
return of a signed acceptance of the award to HUD and a 
countersignature of that acceptance by an authorized HUD official.
2. Award Disbursements and Amendments
    a. Timing of Section 108 Approval and BEDI Grant Disbursements.
    (1) To the extent a full and complete Section 108 application is 
submitted with the BEDI grant application, HUD will evaluate the 
Section 108 application immediately following the competition for BEDI 
grant funds. Note that the 108 application must be submitted to the 
appropriate HUD field office concurrently with submission to 
Headquarters.
    (2) Notwithstanding any earlier obligation or award of BEDI funds 
to a grantee, or execution of a grant agreement, HUD will not permit 
the grantee to draw down BEDI funds before the issuance and at least 
partial funding of the obligations evidencing the related section 108-
guaranteed loan.
    (3) Pursuant to the FY2004 HUD Appropriations Act (under the 
``Brownfields Redevelopment'' heading) and 31 U.S.C. 1552, FY 2004 BEDI 
funds must be obligated (i.e., awarded) by HUD by September 30, 2005, 
and must be disbursed by HUD to the grantee by September 30, 2010. 
FY2003 BEDI funds must be obligated by September 30, 2004, and must be 
disbursed by HUD to the grantee by September 30, 2009. FY2001 BEDI 
funds are not subject to statutory obligation or disbursement 
deadlines. In all cases, however, HUD reserves the right to require 
earlier disbursement under a BEDI grant agreement. Accordingly, a BEDI 
awardee must ensure the timely submission of its section 108 Loan 
Guarantee application, the execution of the section 108 Contract for 
Loan Guarantee Assistance and BEDI Grant Agreement, and the issuance of 
the section 108 Loan Guarantee Note.

B. Administrative and National Policy Requirements

1. Terms and Conditions
    a. Ratio of BEDI to section 108 Loan Guarantee Funds. Because the 
proposed ratio of BEDI funds to section 108 funds presented in an 
approved BEDI application represents an applicant's financial 
commitment to a BEDI project, HUD will condition the BEDI grant award 
on the grantee's achievement of that specific ratio. The failure of the 
grantee 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.
    b. Approval of section 108 Loan Guarantee Application and 
Disbursement of Funds. As a condition of any award under this NOFA, if 
the related section 108 application has not been submitted and approved 
within 10 months of written HUD notification of selection for potential 
funding under this NOFA, HUD may deobligate the BEDI funds. BEDI grant 
awards and grant agreements will contain conditions requiring grantees 
to adhere to time frames mutually agreed on by the applicant/grantee 
and HUD for implementing proposed projects and drawing section 108 and 
BEDI funds. If BEDI grant funds and section 108 loan proceeds are not 
disbursed to the applicant within the time frames specified in the BEDI 
grant agreement, HUD reserves the right to cancel the award and 
recapture all or a portion of the BEDI funds, as applicable under the 
grant agreement.
    c. BEDI Application Amendments. Any modifications or amendments to 
an application approved pursuant to this NOFA, whether requested by the 
applicant 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 the revised application remains within the 
competitive range and is otherwise approvable under this NOFA. In 
addition, if the applicant proposes an amendment after the period 
during which appropriated funds are available for obligation (for 
FY2004 BEDI funds, after September 30, 2005), HUD will be unable to 
approve any amendment which materially changes the scope, purpose, or 
need for the original award. In such a case, the unused BEDI funds must 
be deobligated and returned to the U.S. Treasury.
    a. 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.
    b. HUD expects that projects presented for BEDI funding will 
integrate environmental justice concerns and provide measurable 
economic benefits for affected communities and their current residents 
for the long term.
    3. Other National Requirements. BEDI applicants are directed to the 
Section III.C of the General Section of the SuperNOFA, which provides 
the statutory, regulatory, threshold, and public policy requirements 
applicable to all HUD grantees. In particular, BEDI applicants should 
carefully review provisions relating to Executive Order 13202 
(Preservation of Open Competition and Government Neutrality) and 
Federal laws governing the procurement of recovered materials.

C. Reporting

    Post Award Reporting Requirements. CDBG regulations at 24 CFR 
570.507 (for metropolitan city and urban counties) and 24 CFR 570.491 
(for State grantees) require the submission of a Consolidated Annual 
Performance Evaluation Report (CAPER) describing the use of CDBG funds 
during the program year. 24 CFR 570.3 defines CDBG funds to include 
BEDI grants, and accordingly, grantees must report specifically on the 
use of BEDI grant funds and section 108 loan guarantee proceeds in the 
CAPER. For each reporting period, as part of the required report to 
HUD, grant recipients must include a completed Logic Model (form HUD 
96010), which identifies output and outcome achievements.

VII. Agency Contact

    For Technical Assistance. Contact: Frank McNally, Economic 
Development Specialist, Office of Economic Development, U.S. Department 
of Housing and Urban Development, 451 Seventh Street, SW., Room 7140, 
Washington, DC 20410; telephone (202) 708-0614, extension 7100 (this is 
not a toll-free number). Hearing or speech challenged persons may call 
the Federal Information Relay Service at 800-877-8339 (this is a toll-
free number). Before the application due date, HUD staff will be 
available to provide general guidance and technical assistance about 
this BEDI NOFA. However, HUD staff are not permitted to assist in 
preparing a BEDI 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 by HUD. In addition, 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 that do not 
permit HUD staff to assist in the preparation of applications. HUD 
staff are available to

[[Page 27347]]

provide advice and assistance to develop Section 108 loan applications.

VIII. Other Information

Appendices

1. Appendix A--Non-Standard BEDI Forms
    The non-standard forms for the BEDI application follow.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27349]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.154


[[Page 27350]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.155


[[Page 27351]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.156


[[Page 27352]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.157


[[Page 27353]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.158


[[Page 27354]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.159


[[Page 27355]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.160


[[Page 27356]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.161


[[Page 27357]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.162


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27359]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.163


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27361]]



Self-Help Homeownership Opportunity Program (Shop)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Self-Help Homeownership Opportunity 
Program (SHOP).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-N-15. The OMB paperwork approval number for this 
program is 2506-0157.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.247 
Self-Help Homeownership Opportunity Program
    F. Dates: The application due date is on or before July 20, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.
    G. Optional, Additional Overview Content Information: SHOP funding 
is awarded to national and regional nonprofit organizations and 
consortia demonstrating experience in administering self-help housing 
programs in which the homebuyers contribute a significant amount of 
sweat-equity toward construction or rehabilitation of the dwelling.
    The amount available for SHOP in Fiscal Year 2004 (FY) is 
approximately $26,840,700 to be awarded to eligible applicants.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    SHOP funding is intended to facilitate and encourage innovative 
homeownership opportunities on a national geographically-diverse basis 
through self-help housing programs that require a significant amount of 
sweat-equity by the homebuyer toward the construction or rehabilitation 
of the dwelling.
    SHOP programs are administered by national and regional nonprofit 
organizations and consortia. Units developed with SHOP funds must be 
decent, safe, and sanitary non-luxury dwellings and must be made 
available to eligible homebuyers at prices below the prevailing market 
prices. Eligible homebuyers are low-income individuals and families 
(i.e., those whose annual incomes do not exceed 80 percent of the 
median income for the area, as established by HUD) who would otherwise 
be unable to purchase a dwelling but for the provision of sweat equity. 
Housing assisted under this notice must involve labor contributed by 
homebuyers and volunteers in the construction of dwellings and by other 
activities that involve the community in the project.

B. 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'').

II. Award Information

    The amount available for this program is $26,840,700 in FY2004. Any 
unobligated funds from previous competitions or additional funds that 
may become available due to deobligation or recapture from previous 
awards or budget transfers may be added to the FY2004 appropriation to 
fund applications submitted in response to this NOFA. Awards will be 
made to successful applicants in the form of a grant.

III. Eligibility Information

A. Eligible Applicants

    You must be a national or regional nonprofit public or private 
organization or consortium that has the capacity and experience to 
provide or facilitate self-help housing homeownership opportunities. 
Your organization or consortium must undertake eligible SHOP activities 
directly and/or provide funding assistance to your local affiliates to 
carry out SHOP activities.
    ``National organization'' is defined as an organization that 
carries out self-help housing activities or funds affiliates that carry 
out self-help housing activities on a national scope. A national 
organization must propose in its application to use a significant 
amount of SHOP funds in at least two states.
    Regional organization is defined as an organization that carries 
out self-help housing activities or funds affiliates that carry out 
self-help housing activities on a regional scope. ``Regional'' is an 
area, such as the Southwest or Northeast, that must include at least 
two states. The regional organization must propose to use a significant 
amount of SHOP funds in at least two states. The states in the region 
need not be contiguous, and the service area of the organization need 
not precisely conform to state boundaries. Affiliates working under 
regional organizations must be located within the regional 
organization's service area.
    ``Consortium'' is defined as two or more nonprofit organizations 
located in at least two states that individually have the capacity and 
experience to carry out self-help housing activities or fund affiliates 
that carry out self-help housing activities on a national or regional 
scope and enter into an agreement to submit a single application for 
SHOP funding on a national or regional basis. The consortium must 
propose to use a significant amount of SHOP funds in each state 
represented in the consortium. One organization must be designated as 
the lead entity. The lead entity must submit the application and, if 
selected for funding, execute the SHOP Grant Agreement with HUD and 
assume responsibility for the grant on behalf of the consortium in 
compliance with all program requirements.
    A consortium agreement, executed, and dated by all consortium 
members, for the purpose of applying for and using FY2004 SHOP funds 
must be submitted with your application. All consortium members must be 
identified in your application. Your application must be one integrated 
document that demonstrates the consortium's comprehensive approach to 
self-help housing. If individual consortium members will use different 
program designs, your application must describe the program design of 
each consortium member. Upon being funded, the lead entity must enter 
into a separate agreement with each consortium member. The agreement 
must incorporate the requirements of the FY2004 SHOP Grant Agreement 
between HUD and the consortium and outline the individual consortium 
member's responsibilities for compliance with HUD's 2004 SHOP program.
    ``Affiliate'' is defined as:
    (1) A local public or private non-profit self-help housing 
organization which is a subordinate organization (i.e., chapter, local, 
post, or unit) of a central organization and covered by the group 
exemption letter issued to the central organization under section 
501(c)(3) of the Internal Revenue Code;
    (2) A local public or private non-profit self-help housing 
organization with which the applicant has an existing relationship 
(e.g., the applicant has provided technical assistance or funding to 
the local self-help housing organization); or
    (3) A local public or private non-profit self-help housing 
organization with which the applicant does not have an existing 
relationship, but to which the applicant will provide necessary 
technical assistance and mentoring as part of funding under the 
application.
    You must carry out eligible activities or you must fund affiliates 
to carry out

[[Page 27362]]

eligible activities. If you are a consortium, each of your affiliates 
must be linked to an individual consortium member.
    Your application may not propose to fund any affiliate or 
consortium member that is also included in another SHOP application. 
You must ensure that any affiliate or consortium member under your 
FY2004 application is not also seeking FY2004 SHOP funding from another 
SHOP applicant. If an affiliate applies for funds through more than one 
applicant, it may be disqualified for any funding.

B. Cost Sharing or Matching

    There is no match requirement for the SHOP funds. However, you are 
expected to leverage resources for the construction of self-help 
housing assisted with SHOP. Failure to provide documentation of 
leveraged resources as described in rating factor 4 will result in a 
lower application score.

C. Other

1. Eligible Activities
    Eligible activities are:
    a. Land acquisition (including financing and closing costs), which 
may include reimbursing an organization, consortium, or affiliate, upon 
approval of any required environmental review, for non-grant amounts 
expended by the organization, consortium, or affiliate to acquire land 
before completion of the review;
    b. Infrastructure improvements (installing, extending, 
constructing, rehabilitating, or otherwise improving utilities and 
other infrastructure, including removal of environmental hazards); and
    c. Administration, planning, and management development, including 
the costs of general management, oversight, and coordination of the 
SHOP grant; staff and overhead costs of the SHOP grant; costs of 
providing information to the public about the SHOP grant; cost of 
providing civil rights training to local affiliates as well as any 
expenses involved in affirmatively furthering fair housing; and 
indirect costs (such as rent and utilities) of the grantee or affiliate 
in carrying out the SHOP activities.
2. Threshold Requirements
    In addition to the statutory, regulatory, threshold, and public 
policy requirements listed in section III.C of the General Section of 
the SuperNOFA, each applicant must meet and comply with the following 
SHOP threshold requirements:
    a. You must be eligible to apply under SHOP (see section III.A. of 
this program section).
    b. The amount of funding you request must be sufficient to complete 
a minimum of 30 self-help housing units and may not exceed an average 
investment of $15,000 per unit of SHOP funding.
    c. The population you propose to serve must be eligible for SHOP 
assistance. Eligible homebuyers are low-income individuals and families 
(i.e., those whose incomes do not exceed 80 percent of the median 
income for the area, as established by HUD). You must identify the 
definition of ``annual income'' to be used in your proposed program. 
You may use one of the following three definitions of ``annual income'' 
to determine whether a homebuyer is income eligible under SHOP:
    (1) ``Annual income'' as defined at 24 CFR 5.609; or
    (2) ``Annual income'' as reported under the Census long-form for 
the most recent available decennial Census; or
    (3) ``Adjusted gross income'' as defined for purposes of reporting 
under Internal Revenue Service (IRS) Form 1040 series for individual 
Federal annual income tax purposes.
    You may also adopt or develop your own definition of annual income 
for use in determining income eligibility under SHOP subject to review 
and approval by HUD.
    d. You must demonstrate that you have successfully completed at 
least 30 self-help homeownership units in a national or regional area 
within the 24-month period immediately preceding the publication of 
this NOFA. To qualify as self-help homeownership units, the homebuyers 
must have contributed a significant amount of sweat-equity toward the 
construction of the dwellings as set forth in section III.C.2.e.
    e. Your program must require homebuyers to contribute a minimum of 
100 hours of sweat equity toward the construction or rehabilitation of 
their own homes. However, in the case of a household with only one 
adult, the requirement is 50 hours of sweat equity toward the 
construction of the home. This includes training for construction on 
the dwelling units, but excludes homebuyer counseling and home 
maintenance training. Reasonable accommodation must be permitted in the 
provision of sweat equity for persons with disabilities.
    f. Your program must involve community participation in which 
volunteers assist in the construction of dwellings. Volunteer labor is 
work performed by an individual without promise, expectation or 
compensation for the work rendered. A homebuyer, who contributes sweat 
equity to his/her own home, counts as volunteer labor when working on 
other homes.
    g. You must propose to use the SHOP funds for eligible activities 
(see sections III.C. and IV.E.). You must carry out the activities or 
you must fund affiliates to carry out the activities.
    h. DUNS Number Requirement. All applicants must provide a DUNS 
number pursuant to the DUNS number requirement specified in section 
III.C.2.b. of the General Section. Failure to provide a DUNS number 
will be treated as a technical deficiency. Failure to correct the 
deficiency will result in your application not being eligible to 
receive funding.
3. Threshold Submission Requirements
    You must describe how you qualify as an eligible applicant and 
provide evidence of your public or private non-profit status, such as 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. If you are a consortium, each 
participant in your consortium must be a nonprofit organization. Each 
consortium member must submit evidence of its nonprofit status to the 
lead entity for inclusion in the consortium's application package. In 
addition, your consortium agreement must be submitted.
    Threshold requirements (b) through (g) do not require separate 
submissions. In order for your application to be rated and ranked, 
these requirements must be addressed under the submission requirements 
for the rating factors listed below in section V, Application Review 
Information Criteria, of this SHOP NOFA.
4. Statutory and Program Requirements
    The operation of SHOP is governed by the statute, Public L. 104-
120, Sec.  11, 110 Stat. 841 (March 28, 1996), as amended; 42 U.S.C. 
12805 note, and this NOFA. There are no program regulations. You must 
comply with all statutory requirements applicable to SHOP as cited in 
section I., Funding Opportunity Description, of this SHOP NOFA and the 
program requirements cited in this SHOP NOFA. Pursuant to these 
requirements, you must:
    a. Develop, through significant amounts of sweat-equity by each 
homebuyer and volunteer labor, at least 30 dwelling units at an average 
cost of no more than $15,000 per unit in SHOP funds for land 
acquisition and infrastructure improvements;

[[Page 27363]]

    b. Use your grant to leverage other sources of funding, including 
private or other public funds, to complete construction of the housing 
units;
    c. Develop quality dwellings that comply with local building and 
safety codes and standards, that will be made available to homebuyers 
at prices below the prevailing market price;
    d. Schedule SHOP 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 of the date that 
grant funds are first made available for draw-down in a line of credit 
established by HUD for the Grantee, except that grant funds provided to 
affiliates that develop five or more units must be expended within 36 
months; and
    e. Not require a homebuyer to make an up-front financial 
contribution to a housing unit other than cash contributed for 
downpayment or closing costs at the time of acquisition.

IV. Application and Submission Information

A. Address To Request Application Package

    Application. There is no application kit. This notice contains all 
the information necessary for national and regional nonprofit 
organizations and consortia to submit an application for SHOP funding. 
Copies of the standard forms are located in the General Section of the 
SuperNOFA or you may request copies by calling HUD's NOFA Information 
Center at: 800-HUD-8929. If you have a hearing or speech impairment, 
please call the Center's TTY number at 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 IV.B.2., Assembly Format, for application submission 
requirements. You may also access the application requirements on the 
Internet through HUD's Web site at: http://www.grants.gov.

B. Content and Form of Application Submission

    Your application should consist of the items listed in the section 
below called Assembly Format. The standard forms, certifications, and 
assurances applicable to this funding (collectively, referred to as the 
``standard forms'') can be found in the Appendices to the General 
Section of the SuperNOFA.
    1. Page Limits. There are page limits for your responses to the 
five rating factors. A national or regional organization is limited to 
60 pages of narrative for responding to the five rating factors. A 
consortium is permitted up to 10 additional pages total to accommodate 
the requirement to address the capacity and soundness of approach of 
its individual consortium members if they are different. All pages must 
be numbered sequentially from 1 through 60 or 70, for factors 1 through 
5, and tabs must be inserted to separate each factor. Your application 
may contain only the narrative statements that address the five rating 
factors and the required forms, certifications, assurances, and 
appendices listed in Assembly Format below to be submitted for review. 
Any additional information provided outside the narrative statements to 
further explain information required in the five factors will not be 
considered in the scoring of the application. In responding to the five 
factors, information must be included in your narrative response to the 
factor, unless this NOFA states that it should be included as an 
appendix. Applicants are discouraged from submitting unnecessary 
documentation.
    2. Assembly Format. Your FY2004 application should be assembled 
with tabs designating Application Overview, Narrative Statements 
(rating factors), Forms, and Appendices. In order to receive full 
consideration for funding, your application should be assembled 
according to the following checklist to ensure that all of the required 
items have been submitted.
    a. Application Overview: (Not subject to the page limitations.)
    ------ SF-424, Application for Federal Assistance (signed by the 
authorized representative of the organization eligible to receive 
funds).
    ------ SF-424 Supplement, Survey on Ensuring Equal Opportunity for 
Applicants.
    ------ HUD-424B, Applicant Assurances and Certifications.
    ------ Narrative describing qualification as an eligible applicant 
and evidence of non-profit status.
    ------ Consortium Agreement, if applicable.
    ------ Program Summary.
    b. Narrative Statements Addressing: (Subject to the page 
limitations described above.)
    ------ 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--Achieving Results and Program Evaluation. Program 
Outcome Logic Model, HUD-96010 (Evaluation Plan).
    c. Forms, Certifications and Assurances: (Not subject to the page 
limitations.)
    ------ HUD-424CB, Grant Application Detailed Budget.
    ------ SF-LLL, Disclosure of Lobbying Activity, as applicable.
    ------ HUD-2880, Applicant/Recipient Disclosure/Update Report.
    ------ HUD-2990, Certification of Consistency with the RC/EZ/EC 
Strategic Plan.
    ------ HUD-2993, Acknowledgment of Application Receipt.
    d. Appendices: (Not subject to the page limitations.)
    ------ Recent audit, if available.
    ------ A copy of your code of conduct and a narrative description 
of the methods you will use to ensure that all officers, employees and 
agents of your organization become aware of your code of conduct.
    ------ Leveraging documentation--firm commitment letters.
    ------ Survey of potential affiliates, if applicable (see Factor 2, 
element ``a'').
    ------ Demonstration of past performance for new applicants (see 
Factor 1).
    ------ HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers.
    ------ Evaluative criteria for Removal of Regulatory Barriers to 
Affordable Housing in affiliate selection process, if applicable.
    3. Technical Deficiencies. Section V.B.4 of the General Section of 
the SuperNOFA provides the procedures for corrections to deficient 
applications.

C. Submission Dates and Times

    To apply for SHOP funding, please follow these procedures and those 
noted in the General Section of this SuperNOFA.
    1. Application Deadline. Applications for SHOP grants are due on or 
before 12 midnight eastern time on July 20, 2004. Please follow the 
specific Mailing and Receipt Procedures and Proof of Timely Submission 
located in section IV.F of the General Section as failure to comply 
with these procedures may disqualify your application.
    2. Acceptance of Hand-Carried Submissions. Please follow the 
procedures for hand-carried submissions located in Section IV.F. of the 
General Section as failure to comply with these procedures may 
disqualify your application.

[[Page 27364]]

D. Intergovernmental Review

    Executive Order 12372 review does not apply to SHOP.

E. Funding Restrictions

    1. Administrative costs. Administrative costs may not exceed 20 
percent of any SHOP grant. Indirect costs may only be charged to the 
SHOP grant under a cost allocation plan prepared in accordance with OMB 
Circular A-122.
    2. Pre-agreement costs. After submission of the application, but 
before the effective date of the SHOP Grant Agreement, an applicant may 
incur costs which may be charged to its SHOP grant provided the costs 
are eligible (see section III.C.1.) and in compliance with the 
requirements of this NOFA (including environmental review requirements) 
and the application. Applicants incur costs at their own risk, because 
applicants that do not receive a SHOP grant cannot be reimbursed.
    3. Ineligible Costs. Costs associated with the rehabilitation, 
improvement, or construction of dwellings and any other costs not 
identified in section III.C.1. are not eligible uses of program funds. 
Acquiring land for land banking purposes (i.e., holding land for an 
indefinite period) is an ineligible use of SHOP funds.

F. Other Submission Requirements

    1. Application Mailing Procedures. Applicants must follow the 
specific Mailing and Receipt Procedures and Proof of Timely Submission 
located in section IV.F.1 and 2. of the General Section of this 
SuperNOFA.
    2. Address for Submitting Applications. Submit one original and two 
copies of the application to: HUD Headquarters, Robert C. Weaver 
Federal Building, 451 Seventh Street, SW., Room 7251, Washington, DC 
20410-7000, ATTN: Self-Help Homeownership Opportunity Program (SHOP).

V. Application Review Information Criteria

1. Rating Factor l: Capacity of the Applicant and Relevant 
Organizational Staff (30 points)

    This factor examines the extent to which you, as a single applicant 
or consortium (including individual consortium members), have the 
experience and organizational resources necessary to carry out the 
proposed activities effectively and in a timely manner. Any applicant 
that does not receive at least 20 points under this factor will not be 
eligible for funding.
    In evaluating this factor, HUD will consider your recent and 
relevant experience in carrying out the activities you propose, and 
your administrative and fiscal management capability to administer the 
grant, including the ability to account for funds appropriately. All 
applicants, including individual consortium members, must have capacity 
and experience in administering or facilitating self-help housing. If 
you are sponsoring affiliate organizations that do not have experience 
in developing self-help housing, HUD will assess your organization's 
experience in providing technical assistance and the ability to mentor 
new affiliates. For applicants that currently have open SHOP grants, 
HUD will assess your organization's past performance based upon 
performance reports that demonstrate your organization's completion of 
eligible SHOP activities, the number of families provided housing, 
financial status information focusing on timely use of funds, and other 
program outcomes. HUD will consider whether you have had funds 
deobligated for failure to meet your drawdown and construction 
schedules or funds were returned because of monitoring findings. HUD 
will also rely on monitoring reports, audit reports and other 
information available to HUD in making its determination under this 
factor. For applicants that currently have open SHOP grants from 
previous years, HUD will assess your pattern of meeting benchmarks in 
the most recent three years of participation in the program. If you are 
not a current recipient of SHOP funds, you must summarize your past 
performance in undertaking similar or the same activities during the 
past three years. You may supplement your narrative with existing 
internal or external performance reports or other information that will 
assist HUD in making this determination and submit it as an appendix. 
Failure to provide this information will result in a lower score.
Submission Requirements for Rating Factor 1
    a. (10 points) Past Experience. You must describe your past 
experience in carrying out self-help housing activities (specify the 
time frame during which these activities occurred) that are the same 
as, or similar to, the activities you propose for funding, and 
demonstrate reasonable success in carrying out and completing those 
activities. You must include the average number of sweat-equity hours 
provided per family, and volunteer labor. You may demonstrate 
reasonable success by showing that your previous activities were 
carried out as proposed, consistent with the time frame you proposed 
for completion of all work. You must provide evidence regarding your 
performance in meeting established benchmarks for acquiring properties 
and completing housing construction and indicate that performance 
reports were submitted, as required. New applicants furnishing 
supplemental material should refer to the introduction to this rating 
factor. To the extent that you encountered delays that were beyond your 
control, please describe the circumstances causing the delays and the 
mitigating actions taken to overcome them to successfully complete your 
program.
    b. (8 points) Management Structure. You must provide a description 
of your organization's or consortium's management structure. You must 
also describe your key staff and their specific roles and 
responsibilities for day-to-day management of your proposed SHOP 
program. If you elect to work with affiliates that do not have capacity 
and experience, you must describe how you will provide technical 
assistance and mentor these organizations to develop capacity either 
directly or indirectly.
    c. (8 points) Financial Control. You must demonstrate your 
organization's ability to track financial resources with adequate 
financial control and accounting procedures. You must describe your 
financial control procedures for SHOP and how they meet 24 CFR 84.21, 
``Standards for Financial Management Systems.'' Under 24 CFR 84.21, 
your financial management system must provide:
    (1) Accurate, current, and complete disclosure of the financial 
results;
    (2) Adequate identification of the source and application of funds 
including information pertaining to Federal awards, authorization, 
obligations, unobligated balances, assets, outlays, income and 
interest;
    (3) Effective control over the accountability for all funds, 
property and other assets and adequately safeguards all such assets and 
assures they are used solely for authorized purposes;
    (4) Written procedures to minimize the time elapsing between the 
transfer of funds to your organization from the U.S. Treasury and the 
issuance or redemption of checks, warrants, or payments by other means 
for program purposes by your organization;
    (5) Written procedures for determining the reasonableness, 
allocability, and allowability of costs in accordance with the 
provisions of the applicable Federal cost principles and

[[Page 27365]]

the terms and conditions of the award; and
    (6) Accounting records including cost accounting records that are 
supported by source documentation.
    You should submit a copy of your most recent audit, if one is 
required to be performed for your organization. A consortium only needs 
to submit an audit of the lead entity.
    d. (4 points) Experience Developing Accessible Housing. You must 
demonstrate your experience in and ability to construct and alter homes 
by describing the kinds of features that you have used to design homes 
in accordance with universal design and visitability standards, or 
otherwise make homes accessible to the elderly or persons with 
disabilities. You must provide data on the number of accessible units 
you have completed and the timeframe during which units were 
constructed and/or altered.

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

    This factor examines the extent to which you demonstrate an urgent 
need for SHOP funds in your proposed target areas based on the need for 
affordable housing, and the quality of the data submitted to 
substantiate 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 community need or needs that your proposed SHOP activities are 
designed to address. If you plan to select some or all affiliates after 
application submission, you must demonstrate how the selection of 
affiliates will help to address the needs identified in the proposed 
target areas.
Submission Requirements for Rating Factor 2
    a. (5 points) Extent of Need. Describe the extent of need for SHOP 
funds in the communities or areas in which your proposed activities 
will be carried out. You must specifically address the need for 
acquisition and/or infrastructure assistance for self-help housing 
activities in these areas. National and regional organizations and 
consortia that select affiliates after application submission must 
submit a list of affiliates surveyed upon which they are basing their 
need for SHOP funding and the specific criteria to be used to select 
communities or projects based on need.
    b. (5 points) Documentation of Need. Information you submit to 
demonstrate the need or needs in the target areas must include, but is 
not limited to, the following:
    (1) (3 points) Data describing:
    (a) The housing market data in the proposed target areas including, 
but not limited to, low-income, minority, and disability populations; 
number of home sales and median sales price; and homeownership, rental 
and vacancy rates. This information can be obtained from state or 
regional housing plans, the American Housing Survey, the United States 
Census, Home Mortgage Disclosure Act data or other local data sources, 
such as Consolidated Plans, comprehensive plans, local tax assessor 
databases or relevant realtor information. Data included in your 
application must be specific to your proposed target areas.
    (b) The housing problems in the proposed target areas such as 
overcrowding, cost burden, housing age or deterioration, low 
homeownership rate (especially among minority families, families with 
children, and families with members with disabilities) and lack of 
adequate infrastructure or utilities.
    (2) (2 points) Data demonstrating:
    (a) Need for accessible homes in the target area(s).
    (b) Evidence of housing discrimination in the target area(s).
    (c) Any need for housing shown in the local Analysis of Impediments 
to Fair Housing Choice, if addressed.

3. Rating Factor 3: Soundness of Approach (40 Points)

    This factor examines the quality and soundness of your plan to 
carry out a self-help housing program. In evaluating this factor HUD 
will consider:
    a. Your proposed use of SHOP funds, including the number of units 
and the type(s) of housing to be constructed, the use of sweat equity 
and volunteer labor; your schedule for expending funds and completing 
construction; including interim milestones; the appropriateness of 
proposed housing to the specific needs of target area(s); the proposed 
budget and cost effectiveness of your program; and your plan to reach 
all potentially-eligible homebuyers, including those with disabilities 
and others least likely to apply, and your criteria for selecting 
homebuyers.
    b. How your planned activities further the Department's FY2004 
policy priorities noted in section V.B.2 of the General Section. For 
FY2004, the four policy priorities that apply to SHOP are:
    (1) Providing increased homeownership opportunities for low- and 
moderate-income persons, persons with disabilities, the elderly, 
minorities, and families with limited English proficiency.
    (2) Encouraging accessible design features: Visitability in new 
construction and substantial rehabilitation and universal design.
    (3) Providing full and equal access to grassroots faith-based and 
other community-based organizations in HUD program implementation; and
    (4) Removal of regulatory barriers to affordable housing.
Submission Requirements for Factor 3
    Activities. Describe the types of activities that you propose to 
fund with SHOP and the proposed number of units to be assisted with 
SHOP funding, the housing type(s) (single family or multifamily, or 
both) to be assisted and the form of ownership (fee simple, 
condominium, cooperative, etc.) you propose to use.
    a. (5 points) Sweat Equity. Describe the individual sweat equity 
requirements (i.e., types of tasks and numbers of hours required of 
homebuyers) of your program, and describe how your program will provide 
reasonable accommodations for persons with disabilities by identifying 
sweat equity assignments that can be performed by the homebuyer 
regardless of the disability, such as doing administrative, clerical, 
organization, or other office work or minor tasks on site. Reasonable 
accommodation can include sweat equity by the homebuyer that can be 
performed regardless of the disability or substitution of a non-
homebuyer designee(s) to perform the sweat equity assignments on behalf 
of the homebuyer. Include the dollar value of the sweat equity and 
volunteer labor contribution and specify the amount by which this 
contribution will reduce the sales price to the homebuyer. Applicants 
showing a larger reduction of the sales price as a result of the 
homebuyer's sweat equity and volunteer labor contributions will receive 
a higher score.
    b. (5 points) Funds Expenditure, Construction, and Completion 
Schedules. Submit a construction and completion schedule that expends 
SHOP funds and substantially fulfills your obligations. You must define 
``substantially fulfills'' by stating the percentage or number of 
properties that you propose to be completed and conveyed to homebuyers 
at the time all grant funds are expended. Your construction schedule 
must include the number of dwelling units to be completed within 24 
months, or in the case of affiliates that develop five or more units, 
within 36 months, and a time frame for completing any unfinished units.
    Your schedule must also include milestones or benchmarks against 
which HUD can measure your progress in

[[Page 27366]]

selecting local affiliates if they are not specifically identified in 
the application, expending funds, and completing acquisition, 
infrastructure, and housing construction activities within these 
schedules. These milestones or benchmarks should be established at 
reasonable intervals (e.g., monthly, quarterly).
    c. (3 points) Need. Describe how your proposed SHOP activities 
address the need or needs you identified under Rating Factor 2 above.
    d. (6 points) Budget. Provide a detailed budget including a break 
out for each proposed task and each budget category (acquisition, 
infrastructure improvements, and administration) funded by SHOP in the 
HUD-424C and 424CB. If SHOP funds will be used for administration of 
your grant, you must include the cost of monitoring consortium members 
and affiliates at least once during the grant period. Your budget must 
also include leveraged funding to cover costs of completing 
construction of the proposed number of units.
    e. (3 points) Cost Effective. Describe how the cost of your 
proposed SHOP units compare to similar units in the target area(s) that 
are not funded with SHOP. You must demonstrate that your SHOP costs 
will not exceed an average of $15,000 per unit, and that your proposed 
self-help housing activities are cost effective. Applicants should 
address costs of land, infrastructure, and housing construction for 
non-SHOP units.
    f. (5 points) Policy Priorities. Describe how each of the four 
Department's policy priorities identified specifically for SHOP is 
furthered by your proposed activities. You will receive one point for 
policy priorities (a), (b), and (c) above based on how well your 
proposed work activities address the specific policy. You will receive 
up to two points for addressing policy priority (d), Removal of 
Regulatory Barriers to Affordable Housing, for which you must submit 
form HUD-27300, Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers (see Section V.B.2.g. of the General Section). 
Applicants that identify affiliate organizations and jurisdictions to 
be served in their application to HUD should address the questions in 
Part A or Part B for the jurisdiction in which the majority of services 
will be performed. Applicants that do not identify affiliates and 
communities to be served in their application to HUD, but select 
affiliates competitively or through another method after application 
submission to HUD, may address this policy priority by including it as 
an evaluative criterion in their affiliate selection process. Such 
applicants may receive up to two points by either requiring affiliate 
applicants for the awarded SHOP funds to complete the questions in Part 
A or Part B, as appropriate. In order to receive points, applicants 
that identify affiliates after application submission must include 
their evaluative criterion as an appendix. This does not count against 
the page limits identified in section IV.B.1., Page Limits.
    g. (3 points) Program Outreach. Describe materials or services that 
will be used to reach potential homebuyers in all protected classes. 
For example, what alternative formats will be used to reach persons 
with a variety of disabilities and what language accommodations will be 
made for persons with limited English proficiency.
    h. (5 points) Homebuyer Selection. Describe your criteria for 
selecting homebuyers, including the income range of targeted 
homebuyers, and selection procedures. If the selection criteria used by 
individual consortium members or affiliates are different from your 
criteria, you must describe the differences. Specify the definition of 
annual income that you will use to determine the income eligibility of 
homebuyers as described in section III.C.2.c. of this NOFA. If a 
consortium member's or affiliate's definition of annual income is 
different from your income definition, you must identify the consortium 
member or affiliate and its definition. For organizations that select 
affiliates after application submission, you must specify how you will 
impose this requirement in your selection of affiliates.
    i. (5 points) Performance and Monitoring. Describe your plan for 
overseeing the performance of consortium members and affiliates, 
including a plan for monitoring each consortium member and affiliate 
for program compliance at least once during the term of the grant. Your 
plan should address when and how you will shift funds among consortium 
members and affiliates to ensure timely and effective use of SHOP funds 
within the schedule submitted for item b. above.

4. Rating Factor 4: Leveraging Resources (10 Points)

    This factor addresses your ability to secure other resources that 
can be combined with HUD's program resources to fully fund your 
proposed program. When combined with the SHOP grant funds, homebuyer 
sweat equity, and volunteer labor, your leveraged resources must be 
sufficient to develop the number of units proposed in your application. 
HUD will consider only those leveraging contributions for which current 
firm commitments as described in this Factor have been provided. A firm 
commitment means a written agreement under which the applicant, a 
partner, or an entity agrees to perform services or provide resources 
for an activity specified in your application. Firm commitments in the 
form of cash funding (e.g., grants or loans), in-kind contributions, 
donated land and construction materials, and donated services will 
count as leverage. Leveraging does not include the dollar value of 
sweat equity and volunteer labor for your proposed activities. 
Leveraging does not include financing of mortgages to homebuyers. Firm 
commitments must be substantiated by the documentation described below.
Submission Requirements for Factor 4
    (10 points) Firm Commitments of Resources. Provide firm commitments 
(letters, agreements, pledges, etc.) of leveraged resources or services 
from the source of the commitment. In order to be considered, leveraged 
resources or services must be committed in writing and include your 
organization's name, the contributing organization's name (including 
designation as a Federal, state, local, or private source), the 
proposed type of commitment and dollar value of the commitment as it 
relates to your proposed activities. Each letter of commitment must be 
signed by an official of the organization legally able to make the 
commitment on behalf of the organization. Each letter of commitment 
must specifically support your FY2004 SHOP application or specific 
projects in your FY2004 application. If your organization depends upon 
fundraising and donations from unknown sources/providers you must 
submit a separate letter committing a specific amount of dollars in 
fundraising to your proposed FY2004 SHOP program. Likewise, if you have 
received funds from organizations and agencies from previous years that 
are not committed to another activity and you have the sole discretion 
to commit these funds to your FY2004 SHOP program, you must submit a 
separate letter committing these dollars to your FY2004 SHOP program. 
Letters of commitment may be contingent upon your receiving a grant 
award. Letters of commitment must be included as an appendix to your 
application, and do not count toward the page limitation noted in 
section IV.B. Letters only expressing support of your organization or 
its proposal, unsigned, undated, or outdated letters, or those not 
specifically linking the resources to

[[Page 27367]]

your FY2004 SHOP application or specific projects in your FY2004 
application do not count as firm commitments.
    To receive full credit for leveraging, an applicant's leveraging 
resources must be clearly identified for your FY2004 SHOP application 
and must total at least 50 percent of the amount needed to complete all 
properties, minus the proposed SHOP grant amount, homebuyer sweat 
equity, and volunteer labor.

5. Rating Factor 5. Achieving Results and Program Evaluation (10 
points)

    This factor emphasizes HUD's determination to track whether 
applicants meet commitments made in their applications and grant 
agreements and assess their performance in realizing performance goals. 
HUD requires SHOP applicants to develop an effective, quantifiable, 
outcome-oriented evaluation plan for measuring performance and 
determining whether goals have been met using the Logic Model, Form 
HUD-96010, provided in the General Section. ``Outcomes'' are benefits 
accruing to the families and/or communities during or after 
participation in the SHOP program. The self-help housing units 
developed are outputs as described under this Factor, not outcomes. 
Applicants must clearly identify the outcomes to be achieved and 
measured. Examples of outcomes include increasing the homeownership 
rate in a neighborhood or among low-income families by a certain 
percentage, increasing financial stability (e.g., increasing assets of 
the low-income homebuyer households through additional savings, home 
equity) or increasing housing stability (e.g., whether persons and 
families assisted remain in the home one, two, or five or more years 
after completion).
    In addition, applicants must establish interim benchmarks and 
outputs for their proposed programs that lead to the ultimate 
achievement of outcomes. ``Outputs'' are the direct products of the 
applicant's program activities. Examples of outputs include the number 
of the houses constructed, number of sweat-equity hours, or number of 
homes rehabilitated. Outputs should produce outcomes for your program. 
``Interim benchmarks'' are steps or stages in your activities that, if 
reached or completed successfully, will result in outputs for your 
program. Examples of interim benchmarks include income-qualifying 
homebuyers, obtaining building permits, or securing construction 
materials and equipment.
    Program evaluation requires that you identify program outcomes, 
outputs, benchmarks, and performance indicators that will allow you to 
measure your performance. Performance indicators should be objectively 
quantifiable and measure actual achievements against anticipated 
achievements. Your evaluation plan should identify what you are going 
to measure, how you are going to measure it, and the steps you have in 
place to make adjustments to your work plan if performance targets are 
not met within established timeframes. This factor reflects HUD's goal 
to embrace high standards of ethics, management, and accountability.
Submission Requirements for Factor 5
    (10 Points) Program Evaluation Plan. Using Logic Model, Form HUD-
96010, provided in the General Section, you must submit a program 
evaluation plan that demonstrates how you will measure your own program 
performance. Your plan must identify the interim benchmarks, outputs, 
and outcomes you expect to achieve over the term of your proposed grant 
including timeframes for accomplishing these goals. Your plan must 
demonstrate how interim benchmarks relate to outputs, and subsequently 
to outcomes in your proposed program. Your plan must include 
performance indicators to measure actual accomplishments against 
anticipated achievements. You must indicate how your plan will measure 
the performance of individual consortium members and affiliates, 
including the standards and measurement methods, and the steps you have 
in place or how you plan to make adjustments if you begin to fall short 
of established benchmarks and time frames.

B. Reviews and Selection Process

1. Factors for Award Used To Evaluate Applications
    HUD will evaluate all SHOP applications that successfully complete 
technical processing and meet threshold and submission requirements for 
Factors 1 through 5. The maximum number of points for this program is 
102, which includes two Empowerment Zones/Enterprise Communities/Urban 
Enhanced Enterprise Communities/or Renewal Communities (RC/EZ/EC) bonus 
points, as described in section V.A.1.a. of the General Section of the 
SuperNOFA.
2. Rating
    Applications that meet all threshold requirements listed in Section 
III.C. will be rated against the criteria in Factors 1 through 5 and 
given a score. Applications that do not meet all threshold factors will 
be rejected and not rated.
3. Ranking and Selection Procedures
    Applications that receive a total rating of 75 points or more 
(without the addition of RC/EZ/ECs bonus points) will be eligible for 
selection. RC/EZ/EC bonus points will be awarded as follows: Two points 
to an applicant with over 25 percent of its proposed units in RC/EZ/
ECs; one point for 10 to 25 percent of units in RC/EZ/ECs, and 0 points 
below 10 percent of units in zones. After adding any bonus points for 
RC/EZ/ECs, HUD will place applications in rank order. HUD will consider 
rank order, funds availability, and past performance in the selection 
and funding of applications.
    a. HUD reserves the right to:
    (1) Fund less than the amount requested by any applicant based on 
the application's rank, the applicant's past performance, and the 
amount of funds requested relative to the total amount of available 
funds; and
    (2) Fund less than the full amount requested by any applicant to 
ensure a fair distribution of the funds and the development of housing 
on a national, geographically-diverse basis as required by the statute; 
and/or
    (3) Not award funds to an applicant with significant performance 
problems.
    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 this SHOP section of the SuperNOFA. The minimum grant 
award shall be the amount necessary to complete at least 30 units at an 
average investment of not more than $15,000 per unit or a lesser amount 
if lower costs are reflected in the application. If any funds remain 
after all selections have been made, these funds may be available for 
other competitions.

VI. Award Administration Information

A. Award Notices

    Upon selection and public announcement of grant award, successful 
applicants will receive an award letter stating that they were selected 
and the award amount. Following this award letter, grantees will 
receive a letter transmitting a grant agreement and financial documents 
to set up their lines of credit. The grant agreement must be signed and 
returned to HUD. Upon receipt of the executed grant agreement, HUD will 
establish a line of credit for the grantee. Grantees

[[Page 27368]]

will be notified when they may begin to draw funds. The 24- and 36-
month grant periods for grantees to expend funds begin at the time HUD 
makes funds available to grantees in their lines of credit.

B. Applicant Debriefing

    In accordance with the requirements of Section VI.A.3. of the 
General Section of the SuperNOFA, applicants requesting a debriefing 
must send a written request to Ms. Lou Thompson, Office of Affordable 
Housing Programs, U.S. Department of Housing and Urban Development, 451 
Seventh Street, SW., Room 7164, Washington, DC 20410-7000.

C. Administrative and National Policy Requirements

1. 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 activity or project may be undertaken, or Federal 
or non-Federal funds or assistance committed, if the project or 
activity would limit reasonable choices or could produce a significant 
adverse environmental impact 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. Not withstanding the preceding sentence, 
in accordance with section 11(d)(2)(A) of the Housing Opportunity 
Extension Act of l996 and HUD Notice CPD-01-09, an organization, 
consortium, or affiliate receiving SHOP assistance may advance non-
grant funds to acquire land prior to completion of an environmental 
review and HUD's approval of a request for release of funds and 
environmental certification. Any advances to acquire land prior to such 
approval are made at the risk of the organization, consortium or 
affiliate and reimbursement from SHOP funds for such advances will 
depend on the result of the environmental review.
2. HUD Reform Act of 1989
    The provisions of the HUD Reform Act of 1989 that apply to this 
NOFA are explained in the General Section of the SuperNOFA at Section 
VIII.F.

D. Reporting

    Grantees are required to submit quarterly and annual reports 
providing data on the construction status, unit characteristics, and 
income and racial and ethnic composition of homeowners in SHOP-funded 
properties. For each reporting period, as part of the required report 
to HUD, grant recipients must include a completed Logic Model (form HUD 
96010), which identifies output and outcome achievements.

VII. Agency Contact

    Further Information and Technical Assistance. You may contact Ms. 
Lou Thompson; Office of Affordable Housing Programs; U.S. Department of 
Housing and Urban Development; 451 Seventh Street, SW., Room 7164, 
Washington, DC 20410-7000; telephone (202) 708-2684 (this is not a 
toll-free number). This number can be accessed via TTY by calling the 
toll-free Federal Information Relay Service Operator at 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.

VIII. Other Information

A. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2506-0157. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 60 hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, quarterly, and annual report, 
and final report. The information will be used for grantee selection 
and monitoring the administration of funds. Response to this request 
for information is required in order to receive the benefits to be 
derived.
BILLING CODE 4210-32-P

  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27369]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.164


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27371]]



Youthbuild

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Youthbuild.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The OMB approval number for this 
program is 2506-0142.

The Federal Register number for this NOFA is FR-4900-N-20.

    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.243, 
Youthbuild Program
    F. Dates: The application due date is on or before July 2, 2004. 
Please see the General Section of the SuperNOFA for application 
submission, delivery, and timely receipt requirements.
    G. Additional Overview Content Information:
    1. Purpose of the Program. The purpose of the Youthbuild program is 
to assist disadvantaged young adults in distressed communities in 
completing 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, to further opportunities 
for placement in apprenticeship programs, and to promote economic self-
sufficiency.
    2. Available Funds. Approximately $ 59,397,475 in appropriated 
funds and carry over is available for Fiscal Year (FY) 2004, plus any 
funds available through recapture, minus any amount needed to correct 
errors.
    3. Eligible Applicants. Eligible applicants are public or private 
nonprofit agencies, including grassroots faith-based and other 
community-based organizations, 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.
    4. Match. None
    If you are interested in applying for funding under this program, 
please carefully review the General Section of the SuperNOFA and the 
following additional information.

Full Text of Announcement

I. Funding Opportunity Description

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 that 
will 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 possible, job training, employment, 
contracting and other economic opportunities to low-income young 
adults.

B. 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. Providing increased homeownership and rental opportunities for 
low- and moderate- income persons, persons with disabilities, the 
elderly, minorities, and families with limited English proficiency;
    2. Improving our nation's communities;
    3. Encouraging accessible design features;
    4. Providing full and equal access to grassroots faith-based and 
other community based organizations in HUD program implementation; and
    5. Ending chronic homelessness within ten years.

C. 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.

II. Award Information

A. Available Funds

    Approximately $59,397,475 in Fiscal Year (FY) 2004 funding and 
carry over will be made available through this program section of this 
SuperNOFA for the Youthbuild program. The breakdown of funding is 
discussed below.

B. The FY2004 HUD Appropriations Act

    The Department of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, 2004 (the 
``FY 2004 HUD Appropriations Act'') made $64,616,500 available of which 
$59,397,475 is allocated for grants.

C. Funding Categories

    HUD will award up to $59,397,475 on a competitive basis. Funds will 
be divided among three categories of grants as described below. In each 
fiscal year, the Secretary shall reserve five percent of the amounts 
available for technical assistance activities under this subtitle 
pursuant to section 402 to carry out subsections (b) and (c), (Subtitle 
D-Hope for Youth: Section 458 (42 U.S.C. 12899g).
    1. Category 1 Grants. New Applicants. HUD will award up to 
$10,000,000 for new applicants that have not previously received 
implementation grants since the inception of the Youthbuild Program and 
that have elected not to apply under Category 2 or 3. The maximum 
amount that may be awarded to a successful applicant in this category 
is $400,000, for a period not to exceed 30 months.
    2. Category 2 Grants. Grants up to $700,000. HUD will award up to 
$39,456,475 for grants up to $700,000 for a period not to exceed 30 
months. The maximum amount that may be awarded to a successful 
applicant in this category is $700,000. Any eligible applicant can 
apply in Category 2.
    3. Category 3 Grants. Underserved and Rural Areas. HUD will award 
up to $ 9,941,000 (includes $10,000,000 in appropriated funds, less .59 
percent rescission) for grants to organizations serving clients in 
underserved and rural areas as defined in this NOFA for a period not to 
exceed 30 months. The maximum amount that may be awarded to a 
successful applicant in this category is $400,000. Rural and 
Underserved areas are defined as follows:
    a. Rural Area. A rural area is defined in one of five ways:
    (1) A place having fewer than 2,500 inhabitants (within or outside 
of metropolitan areas).

[[Page 27372]]

    (2) A county with an urban population of 20,000 inhabitants or 
fewer.
    (3) Rural portions of extended cities, as identified by the U.S. 
Census Bureau.
    (4) 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.
    (5) 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:
    (1) A census tract where the unemployment remains high (50 percent 
or more above the nation's unemployment rate) and
    (2) A census tract where high rates of poverty (50 percent or more 
above the national average) persists.
    Applicants must indicate on their transmittal/cover letter which 
funding category they are applying for.
    4. Grant Period. You must expend funds awarded within 30 months of 
the effective date of the grant agreement.
    5. Maximum Awards. Under the competition established by this 
Youthbuild program section of the SuperNOFA, the maximum award for a 
Youthbuild grant is $700,000.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants are public or private nonprofit agencies, 
including grassroots faith-based and other community-based 
organizations, State or local housing agencies or authorities, states 
or units of local government, or any entity eligible to provide 
education and employment training under other Federal employment 
training programs.

B. Cost Sharing or Matching

    Under the Youthbuild program, there is no match required. 
Applicants that submit evidence of leveraging dollars under Rating 
Factor 4 ``Leveraging Resources'' will receive points under that 
factor.

C. Other

1. Eligible Activities
    a. Work and activities associated with the acquisition, 
architectural and engineering work, rehabilitation or construction of 
housing, as defined in HUD's regulations at 24 CFR 585.309, 585.310, 
and 585.311.
    b. Relocation payments and other assistance required to comply with 
HUD's regulation at 24 CFR 585.308;
    c. Costs of ongoing training and technical assistance needs related 
to carrying out a Youthbuild program;
    d. Education, job training, counseling, employment, leadership 
development services, and optional activities that meet the needs of 
the participants including entrepreneurial training, driver education, 
apprenticeship opportunities, financial literacy, credit counseling, 
assistance programs for those with learning disabilities, and in-house 
staff training;
    e. Outreach to potential participants;
    f. Wages, benefits, and need-based stipends for participants; and
    g. Pursuant to the FY2004 HUD Appropriations Act, administrative 
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 participants that facilitate program implementation. 
Please refer to HUD's regulation at 24 CFR 585.305 for further details 
on eligible activities.
2. Threshold Requirements
    a. Eligible Participants. Participants in a Youthbuild program must 
be very low-income high school dropouts between the ages of 16 and 24, 
inclusive, at the time of enrollment. Up to 25 percent of participants 
may be above very low-income, or may be high school graduates (or 
equivalent), but must have educational needs (such as lack of reading, 
writing, and communication skills) that justify their participation in 
the program.
    b. 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; 
and
    (3) On-site training through actual housing rehabilitation and/or 
new construction work. (New construction may be subject to the 
accessible design and construction requirements of the Fair Housing Act 
(see the General Section of the SuperNOFA), including the provision of 
alternative training experiences that are necessary as a reasonable 
accommodation for students with disabilities.)
    c. Identification of and Access to Property. Your application must 
identify the location of the site(s) or property(ies) (e.g., addresses, 
parcel numbers, etc.) that will be used for on-site construction. Your 
application MUST contain a letter from the property owner or property 
management company(ies) allowing access to the housing site(s) for on-
site construction training. HUD may deem as ineligible any application 
that fails to specifically identify the location of the on-site 
construction. Guidance on evidence of site access is as follows:
    (1) If the applicant or joint applicant has a contract or option to 
purchase the property, you should include a copy of the contract or 
option; and
    (2) 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.
    d. Minimum Score. In order to be considered eligible for funding, 
your application must receive a minimum score of 75, including a 
minimum of 10 points in Factor 1.
    3. Program Requirements
    a. 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.
    b. Site Selection--In determining the site or the location of a 
federally assisted facility, the applicant may not select sites that 
will exclude qualified persons with disabilities, or otherwise subject 
them to discrimination under the Youthbuild program.
    c. New Construction--Substantial Alterations--Other Alterations. If 
the applicant undertakes to participate in New Construction, 
Substantial Alterations, or Other Alterations, it must conform to the 
accessibility standards outlined in the regulations implementing the 
Rehabilitation Act of 1973 at 24 CFR part 8, Sec. Sec.  8.22, 8.23(a) 
and Sec.  8.23(b).
    d. 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.
    e. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 of the Housing and Urban

[[Page 27373]]

Development Act of 1968, (12 U.S.C. 1701u) is applicable to the 
Youthbuild program. Please see the General Section of the SuperNOFA.
    f. Participation in Local Workforce Investment Act One-Stop Center. 
Youthbuild grantees are mandatory partners in one-stop centers 
authorized by the Workforce Investment Act of 1998 (Public Law 105-
220).
    g. First time applicants. If you are a first-time applicant 
applying for funding under Category 1, you must have a graduating class 
of not more than 20 participants.
    h. 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 the 
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.
    i. Environmental Reviews. Environmental procedures apply to HUD 
approval of grants when you propose to use Youthbuild funds to cover 
any costs for the lease, acquisition, rehabilitation, or new 
construction of real property proposed for housing project development. 
Environmental procedures do not apply to HUD approval of your 
application when you propose to use your Youthbuild funds solely to 
cover costs for classroom and/or on-the-job construction training and 
support services.
    If you propose to use your Youthbuild funds to cover any costs of 
the lease, acquisition, rehabilitation, or new construction of real 
property, you must submit all relevant environmental information in 
your application to support HUD decisionmaking in accordance with the 
environmental procedures and standards set forth in HUD's regulation at 
24 CFR 585.307.
    j. DUNS Requirement. Refer the General Section of the SuperNOFA for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD.
    k. Consistency with Consolidated Plan. 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 the General Section of the SuperNOFA. Youthbuild 
applicants will be rated on this certification under Rating Factor 2, 
subfactor (d).
    l. Category 3 applicants only. You must state that the proposed 
project to be established will be located in an underserved and rural 
area as defined in Section II.C. of this program section of the 
SuperNOFA.
    m. Funding Restrictions. Administrative costs must not exceed 10 
percent of the grant award.

IV. Application and Submission Information

A. Addresses To Request Application Package

    There is no application kit for the FY2004 Youthbuild NOFA. This 
SuperNOFA 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 Youthbuild 
Sections of the SuperNOFA.

B. Content and Form of Application Submission

    1. Response to NOFA--Page Limitation. The total narrative response 
to all factors identified in Section V of this program NOFA must not 
exceed 15 pages, and must be submitted on 8.5 by 11 inch paper, using a 
standard 12 point font, 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.
    2. Application Items. 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 
A to the General Section of the SuperNOFA.

----------------------------------------------------------------------------------------------------------------
                                                         Required form or
         What to submit             Required content          format                  When to submit it
----------------------------------------------------------------------------------------------------------------
Transmittal Letter..............  Category applying    None...............  On or before July 2, 2004.
                                   for Location of
                                   project; Number of
                                   participants;
                                   Number of houses
                                   to be constructed;
                                   Number of houses
                                   to be rehabbed;
                                   Major partners.
Application.....................  ...................  SF-424.............
Survey on Ensuring Equal          ...................  SF-424 supplement..
 Opportunity for Applicants.
Budget information..............  Total Youthbuild     Youthbuild Form 4A.
                                   Grant Budget.
Rating Factors: Narrative plus    Described in
 Exhibit 4B plus Logic Model       Section V of this
 Form.                             announcement.
Assurances......................  (per required form)  HUD-424B...........
Applicant/Recipient Disclosure/   (per required form)  HUD-2880...........
 Update Form.
Disclosure of Lobby Activities    ...................  SF-LLL.............
 (if necessary).
Certification of Consistency      ...................  HUD-2990...........
 with RC/EZ/EC Strategic Plan.
Certification of Consistency      ...................  HUD-2991...........
 with Consolidated Plan.
Acknowledgment of Application     ...................  HUD-2993...........
 Receipt.
Client Comments and Suggestions.  ...................  HUD-2994...........
Youthbuild Program Specific       ...................  HUD-40211..........
 Forms*.
Exhibit 2C (Housing Site
 Description)

[[Page 27374]]

 
Exhibit 2C10 (Individual Housing
 Project Site Estimate)
*Exhibit 2C13a (Housing Project
 Certifications for Residential
 Rental Units)
*Exhibit 2C13b (Housing Project
 Certifications for Transitional
 Housing)
*Exhibit 2C13c (Housing Project
 Certifications for
 Homeownership)
*Exhibit 2C15 (Environmental
 Threshold Information for a
 Property Proposed for YB
 Funding)
Exhibit 4B (Non-Housing Program
 Resources)
Logic Model Form................  ...................  HUD-96010..........
Site Access Letters
----------------------------------------------------------------------------------------------------------------
*These forms are required only if the applicant proposes to use Youthbuild funds for any part of acquisition,
  construction, or rehabilitation costs.

C. Submission Dates and Times

    The application due date shall be on July 2, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.

D. Other Submission Requirements

    1. Address for Submitting Applications. Completed applications (one 
original signed application and two copies) must be submitted to: HUD 
Headquarters, Robert C. Weaver Federal Building, U.S. Department of 
Housing and Urban Development, 451 Seventh Street, SW., Room 7251, 
Washington, DC 20410; Attention: Youthbuild Program. When submitting 
your application, please include your name, mailing address (including 
Zip code), telephone number, and fax number (including area code). 
Also, please submit one copy of your complete application to the 
Community Planning and Development office that has jurisdiction for 
your program project area (refer to Appendix C to find your appropriate 
CPD office and address).
    2. Application and Submission Information. Please refer to General 
Section of the SuperNOFA for information.

V. Application Review Information

    The factors for rating and ranking applicants, and maximum points 
for each factor, are provided below. The maximum number of points for 
the program is 102. This includes two RC/EZ/EC bonus points, as 
described in the General Section of the SuperNOFA. The minimum fundable 
score is 75, including a minimum of 10 points in Factor 1.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience (20 Points, Minimum 10 Points)
    This factor addresses the qualifications and experience of the 
applicant and participating parties to implement a successful young 
adult education training program in accordance with your work plan as 
further described in Factor 3. HUD will review and evaluate information 
provided documenting recent capability. Experience within the last 5 
years will be considered recent. In addition, as described in the 
General Section of the SuperNOFA, HUD will take into account the 
applicant's past performance and may deduct points in this rating 
factor for previous inability to demonstrate performance. In reviewing 
this rating factor, HUD will evaluate the following sub-factors:
    1. Team Member Composition and Experience (5 points). 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. Organizational Structure (5 points). The structure of your 
organization (include an organizational chart), 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 relationship, 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. Achievement of Performance Outcomes (10 points). The objectives 
and accomplishments of your past experience in conducting similar 
activities. You must describe your past project objectives and 
accomplishments that 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 the effectiveness of your administration, including 
timeliness and meeting performance results from performance reports. 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 specific measurable outcome objectives: number 
of youths recruited, trained, and received GEDs; number of youths 
obtaining jobs (i.e., those that are a part of a career path or 
apprenticeship program); number of youths participating in 
apprenticeships and number of housing units rehabilitated or 
constructed and made available for low- and very low-income persons (1) 
percent entered employment or enrolled in education and/or training 
first quarter after program exit, (2) percent of participants that 
earned a diploma, GED, or certificate, (3) percent that have attained 
literacy and numeracy skills by

[[Page 27375]]

participants, (4) annual cost per participant.
    Also, you must describe the extent to which you or participating 
partners have been successful in past education, training and 
employment programs and activities, including federally funded 
Youthbuild programs. If you have received a Youthbuild grant, you must 
submit copies of your last two progress reports or, if applicable, a 
closeout report. In applying the rating criteria, HUD will take into 
consideration your performance (including meeting target dates and 
schedules) as reported.
    The more recent, relevant, and successful the experience of the 
proposed team members, organization and other participating entities in 
relation to the work plan, the greater the number of points that you 
will receive. For previous and existing Youthbuild grantees, applicants 
that can demonstrate a closer and greater linkage between the expected 
outcomes and the previously generated outcomes will receive a higher 
amount of points for this Factor. Previous and existing Youthbuild 
grantees' semi-annual reports will also be used to evaluate and score 
this subfactor.
Rating Factor 2: Need/Extent of the Problem (23 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 to the target 
area and national data.
    1. In applying this Factor, HUD will consider current levels of 
distress for 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, and 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 (5 points)--data should be provided in both absolute and 
percentage form (i.e., whole numbers and percentages) for the target 
area(s); 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) Less than the national average--0 points.
    (2) Equal to but less than twice the national average--1 points.
    (3) Twice but less than three times the national average--3 points.
    (4) Three or more times the national average--5 points.
    b. Unemployment (5 points)--for the project area;
    (1) Less than the national average--0 points.
    (2) Equal to but less than twice the national average --1 point.
    (3) Twice but less than three times the national average-- 2 
points.
    (4) Three but less than four times the national average--3 points.
    (5) Four but less than five times the national average--4 points.
    (6) Five or more times the national average--5 points.
    c. High School Dropouts (10 points)--for the project area;
    (1) Less than the national average--0 points.
    (2) Equal to but less than twice the national average--2 points.
    (3) Twice but less than three times the national average--4 points.
    (4) Three but less than four times the national average--6 points.
    (5) Four but less than five times the national average-- 8 points.
    (6) Five or more times the national average--10 points.
    d. Concrete examples of social and/or economic decline that best 
capture the applicant's local situation (3 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 the target area and 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, such as the U.S. 
Census, 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 the project site.
    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, with a two-month lag;
    b. High School Dropout rate;
    c. Poverty rate--2001--data being the most recent available.
Rating Factor 3: Soundness of Approach (35 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 and how well your program outcomes result in increased 
independence and empowerment to your beneficiaries at the conclusion of 
the grant period. HUD will evaluate the extent to which your 
application meets the following three elements:
    A. Coordination Elements--5 points as distributed below.
    1. Coordination of activities (2 points). The extent to which you 
have coordinated your activities with other known organizations that 
are not directly in your proposed work activities, but with which you 
share common goals and objectives and are working toward meeting these 
objectives in a holistic and comprehensive manner. The goal of 
coordination is to ensure that programs do not operate in isolation. 
The more your activities are coordinated with other agencies in your 
service area, the more points you will receive. HUD will consider your 
signed Certification of Consistency with the Consolidated Plan in 
evaluating this subfactor. An example of coordination of activities 
would be the applicant's partnership with an existing child day care 
facility (which is not funded by program) that provides day care 
services to the Youthbuild participants during the hours they are being 
trained or receiving education.
    2. Self-Sufficiency (1 point). The extent to which your application 
implements practical solutions within the grant term that result in 
assisting beneficiaries of grant program funds in achieving independent 
living, economic empowerment, educational opportunities, housing choice 
or improved environments which are free from environmental hazards such 
as lead hazards, brownfields, overcrowded

[[Page 27376]]

housing, etc. Applicants that clearly describe the extent to which 
proposed activities result in increased independence and empowerment 
for their beneficiaries will receive higher points in this sub-factor.
    3. Sustainability (2 points). The extent to which your program 
exhibits the potential to be financially self-sustaining by decreasing 
dependence on Youthbuild funding and relying more on state, local, and 
private funding so your activities can be continued after your grant 
award is complete. Applicants that demonstrate a reduced dependence on 
Youthbuild funds over the life of their award will receive a greater 
number of points for this sub-factor.
    B. Youthbuild Program Work Plan. For each component, HUD will 
consider the overall quality and feasibility of your proposed work plan 
and budget that must be consistent with the Youthbuild program as 
measured by your specific activities and outcomes. You will receive a 
greater number of points if the program components are consistent with 
the purpose of the Youthbuild program and your project goals and the 
resources provided. Letters describing specific resources or services 
to be contributed by non-applicant organizations must be included in 
your application.
    Specifically, HUD will consider the following categories when 
assessing your proposed work plan:
    1. Program Components. (15 points)
    a. Outreach strategy, recruitment strategy and selection 
activities. 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 youths to be 
recruited including eligible participants who are harder to reach and 
comprehensiveness of the local selection process.
    In evaluating this category, HUD will consider your selection 
strategies and your specific outreach efforts to recruit or contact:
    (1) (Potential eligible participants who are unlikely to be aware 
of this program (because of race, color, national origin, religion, 
ethnicity, sex or disability);
    (2) Young women, young women with dependent children, and persons 
receiving public assistance; and
    (3) Public agencies, courts, homeless shelters, local school 
systems, local workforce development systems, one-stop centers and 
community-based organizations, etc.
    b. Educational and job training services and activities.
    Points will be awarded based upon the qualifications of instructors 
and proposed wages and stipends for youth participants. In evaluating 
this category, HUD will consider:
    (1) The types of in-class academic and vocational instruction you 
will provide;
    (2) The number and qualifications of program instructors and ratio 
of instructors to participants;
    (3) Scheduling plan for classroom and on-the-job training needed to 
meet program requirements and ensure timely completion of your program; 
and
    (4) Reasonable payments of participants' wages, stipends, and 
incentives. Amounts must be at least federal minimum wage.
    c. Leadership development. Points will be awarded based upon 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.
    d. Support services.
    You must assess the need for counseling and referral services 
during each stage of program implementation: Outreach strategy, 
recruitment strategy, youths interviewed and not selected for the 
program, program participants, youths 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.
    e. Follow-up assistance and support activities to program 
graduates. 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.
    f. On-site training. Points will be awarded based upon the 
experience of proposed instructors, number of youth to be trained and 
wages or stipends for participants. HUD will consider:
    (1) 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;
    (2) The qualification and number of on-site supervisors;
    (3) The ratio of trainers to participants;
    (4) The number of participants per site; and
    (5) The amounts, wages, and/or stipends you will pay to 
participants during on-site work.
    Amounts must be at least federal minimum wage.
    2. Strategy for Job Placement. (2 points). HUD will evaluate the 
quality and feasibility of your proposed strategy to place youth 
participants in permanent jobs.
    You will be rated on the following factors: (a) Proposed number of 
youth to obtain jobs that promote economic self-sufficiency (i.e., 
those that are a part of career paths or apprenticeship programs); (b) 
proposed number of youths who will continue post-secondary or secondary 
education; and (c) proposed number of youths to receive 
entrepreneurship training. 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.
    C. Housing Program Priority. (10 points). HUD will assign Housing 
Program Priority points to all applications that contain evidence that 
housing resources from other federal, state, local, or private sources 
are available and firmly committed to cover all costs, in full, for the 
following housing activities for the proposed Youthbuild program: 
acquisition, architect and engineering fees, construction, and 
rehabilitation. Applications that do not include proper documentation 
of firm financial commitments of non-Youthbuild resources or propose to 
use Youthbuild grant funds, in whole or in part, or do not evidence 
site control, for any one of the housing activities listed above will 
not be entitled to housing program priority points. For all applicants 
to receive the housing program priority points, each letter of 
commitment to cover the costs of the above activities must include the 
organization's name, the applicant's name, the proposed program, and 
the proposed level of commitment. The commitment letter 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, the applicant's partner(s) or contributing entity (if the 
contribution is cash) must:
    1. 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

[[Page 27377]]

contributing entity must evidence its financial capability through a 
corporate or personal financial statement or other appropriate means. 
If any portion of the committed activity is to be financed through a 
lending institution, the participant must evidence the institution's 
commitment to fund the commitment.
    2. State the amount and use of the commitment, and the relationship 
of the commitment to the proposed investment; and
    3. Affirm that its investment is contingent only upon receipt of 
FY2004 Youthbuild funds and state a willingness on the part of the 
signatory to sign a legally binding commitment not earlier than the 
date this NOFA is published and (conditioned on HUD's environmental 
review and approval of a property, where applicable) upon award of the 
grant. Forms 2C, Housing Site Description, and 2C10, Youthbuild Grant 
Individual Housing Project Site Estimate, must be completed to receive 
the Housing Program Priority points.
    D. Policy Priorities. (3 points). Policy Priorities are further 
defined in the General Section of the SuperNOFA. Applicants should 
document the extent HUD's policy priorities are enhanced by the 
proposed activities. Applicants that include activities that can result 
in the achievement of these departmental policy priorities, as 
described below and the General Section of this SuperNOFA, will receive 
higher rating points in evaluating their application for funding. Two 
departmental policy priorities are listed below. Policy Priorities 
include:
    1. Ending chronic homelessness within ten years (1 point);
    2. Removal of regulatory barriers to affordable housing (up to 2 
points) (see the General Section of the SuperNOFA for further 
explanation);
Rating Factor 4: Leveraging Resources (10 Points)
    (Exhibit 4B Non-Housing Program Resources must be completed and you 
must provide letters of firm commitment from the donor with the amount 
of cash or in-kind contribution). Applicants submitting letters of 
commitment without the Exhibit 4 completed, will not receive points for 
this Rating Factor. 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 on 
Exhibit 4B for this Factor must have a firm commitment letter. Grantees 
who leverage significant resources will receive a greater number of 
points.
    HUD will evaluate the extent to which firm commitments of resources 
are obtained from federal, state, local, private and nonprofit sources. 
HUD will award a greater number of points based upon a comparison of 
the extent of leveraged funds and the requested Youthbuild grant. 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 resources obtained for cash or in-kind 
contributions to cover the following kinds of areas:
    1. Social services (i.e., counseling and training);
    2. Use of existing vocational, adult, and bilingual educational 
courses;
    3. Donation of labor, resource personnel, supplies, teaching 
materials, classroom, and/or meeting space; and
    4. Other commitments. Leveraging will only be counted if you have 
secured a current firm financial commitment. A firm commitment letter 
means an agreement by which an applicant, an applicant's partner or 
contributing entity agrees to perform an activity specified in the 
application 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 FY2004 Youthbuild grant.
    For all applicants, each letter of commitment must 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 letter 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.
    5. 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 (48 U.S.C. 1601 et seq.).
Rating Factor 5: Achieving Results and Program Evaluation (12 Points)
    This factor emphasizes HUD's commitment to ensuring that applicants 
keep promises made in their application to rigorously assess their 
performance and ensure performance goals are met. Achieving results 
means you, the applicant, have clearly identified the benefits, or 
outcomes of your program. Outcomes are ultimate goals. Benchmarks or 
outputs are interim activities or products that lead to the ultimate 
achievement of your goals. Performance measurement requires that you, 
the applicant, identify program outcomes, interim products or 
benchmarks, and performance indicators that will allow you to assess 
your performance. Performance indicators must be quantified and measure 
actual achievements against anticipated achievements. You should 
identify what you are going to measure, how you are going to measure 
it, and the steps you have in place to make adjustments to your work 
plan if performance targets are not met within established timeframes. 
Applicants are required to address this factor as a narrative as well 
as complete the Logic Model form (see appendix to the General Section). 
This rating factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability.
    An applicant should agree to cooperate with any HUD-approved 
evaluation by making staff available for interview, providing lists of 
participants and their contact information, and making available files 
under appropriate assurance of confidentiality of records.
    At a minimum, your Logic Model must include the following program 
outcomes:
    (1) Number of participants enrolled in the program;
    (2) Number of participants that graduate;
    (3) Number of housing units constructed;
    (4) Number of housing units rehabilitated;
    (5) Number and percent of GED's or certificates attained by 
participants (for percentage calculation, numerator: the number of 
participants who attain a diploma, GED or certificate; denominator: 
those who are participating in the Youthbuild program).
    (6) Number and percent of participants placed in employment or 
education (for percentage calculation, numerator: the number of 
participants who have entered employment or enrolled in post secondary 
education;

[[Page 27378]]

denominator: the number of graduates from the Youthbuild program); and
    (7) Number and percentage of participants who made literacy and 
numeracy gains (measures the increase in literacy and numeracy skills 
of participants through a common assessment tool administered at 
program registration and regular intervals thereafter); for percentage 
calculation, numerator: the number of Youthbuild program participants 
who increase one or more education functioning levels; denominator: the 
number of Youthbuild program participants who have completed a year in 
the program).
    (8) Efficiency or annual cost per participant (numerator: grant 
amount; denominator: number of Youthbuild participants.)

B. Reviews and Selection Process

    1. Rating and Ranking. a. 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. In evaluating applications for 
funding, HUD will take into account an applicant's past performance in 
managing funds, including the ability to account for funds 
appropriately, timely use of funds received either from HUD or from 
other Federal, State or local programs and meeting performance targets 
for completion of activities and number of persons served or targeted 
for assistance. HUD may use information relating to these items based 
on information at hand or available from public sources such as 
newspapers, Inspector General, or Government Accounting Office Reports 
or Findings, hotline complaints that have been proven to have merit, or 
other such sources of information.
    b. Rating. All applications for funding will be evaluated against 
the rating factors described in Section V. of this NOFA.
    c. Ranking. Applications will be ranked separately within each of 
the three funding categories. Applications will be selected for funding 
in accordance with their rank order in each category.
    2. Eligibility for Selection. To be eligible for funding, an 
application must have an overall minimum score of 75 points, including 
a minimum score of 10 points in Factor 1. If two or more applications 
are rated fundable and have the same score, but there are insufficient 
funds to fund all of them, HUD will select the application(s) with the 
highest score for Rating Factor 3 (Soundness of Approach). 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 1 (Capacity of the Applicant and 
Relevant Organization); Rating Factor 4 (Leveraging of Resources) and 
Rating Factor 2 (Need/Extent of the Problem).
    3.  Adjustments to Funding. HUD reserves the right to utilize this 
year's funding to fund previous years' 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. 
Any available funds that remain after all applications within funding 
range have been selected or obligated will be reallocated between 
categories 1 and 2 by rank order between applications at the discretion 
of the selecting official or designee.
    4. Corrections to Deficient Applications. The General Section of 
the SuperNOFA provides the procedures for corrections to deficient 
applications.

C. Anticipated Announcement and Award Dates

    HUD anticipates making award announcements no later than four 
months after the application submission deadline date.

VI. Award Administration Information

A. Award Notices

    1. 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 CONDITIONAL approval, 
subject to negotiation and execution of the grant agreement by HUD.
    2. Application Debriefing. Applicants requesting to be debriefed 
must send a written or email request (see the General Section of the 
SuperNOFA) to: Mr. Marty Horwath, Director; Youthbuild Program; Office 
of Economic Development; Office of Community Planning and Development, 
451 Seventh Street, SW., Room 7218, Washington, DC 20410-7000. 
Debriefing information can be found in the General Section of the 
SuperNOFA.

B. Administrative and National Policy Requirements

    1. Applicable OMB Circulars. Please refer to the General Section of 
the SuperNOFA for information regarding applicable OMB Circulars.
    2. Applicable Executive Orders. Please note that Executive Order 
13202 may apply to your program (see the General Section of the 
SuperNOFA) and section 6002 of the Solid Waste Disposal Act covering 
the procurement of recovered materials may also be applicable (the 
General Section of the SuperNOFA. Also, refer to the General Section of 
the SuperNOFA for applicable Executive Orders.

VII. Agency Contact(s)

    For information concerning the HUD Youthbuild program, contact Ms. 
Phyllis Williams, Community Planning and Development Specialist, Office 
of Economic Development, Office of Community Planning and Development, 
U.S. Department of Housing and Urban Development, 451 Seventh Street, 
SW., Room 7218, Washington, DC 20410-7000; telephone (202) 708-2290 
(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 800-877-8339. For Technical 
Assistance. Prior to the application deadline, HUD's staff will be 
available to provide general guidance on the application submission 
process and location of information, but not guidance 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 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.
    Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2506.0142. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 45 hours per annum per respondent 
for the application and grant administration. This includes the time 
for collecting, reviewing, and reporting the data for the application, 
semi-annual reports, and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.

[[Page 27379]]

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 described 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;
    (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. This course of action is recommended 
in view of the fact that most, if not all of 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 questions:
    (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. Key terms used in these instructions are defined in the 
following section. 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. Please 
attach a letter supporting the information from each qualified data 
source to Exhibit 2C(15).
    (b) Minor rehabilitation refers to proposed repairs and 
renovations to
    (1) A building for residential use (with one to four units):
    A. Where the density is not increased beyond four units;
    B. Where the land use is not changed; and
    C. Where the footprint of the building is not increased in a 
floodplain or in a wetland; or
    (2) A multifamily residential building (with more than four 
units):
    A. Where the unit density is not changed more than 20 percent;
    B. Where the land use is not changed to non-residential; and
    C. Where the estimated cost of rehabilitation is less than 75 
percent of the total estimated cost of replacement after 
rehabilitation.
    (c) Major rehabilitation refers to proposed repairs and 
renovations to an existing building:
    (i) Where the estimated cost of the work is 75 percent or more 
of the property value after completion;
    (ii) That involves changes in land use from residential to 
nonresidential, or from nonresidential to residential;
    (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.
    (f) 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.
    (g) 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.
    (h) 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 in order 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, 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. 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. 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.

[[Page 27380]]

    2. Site contaminated with toxic chemicals and radioactive 
materials:
    Threshold: Under HUD policy, as described in 24 CFR 50.3 (i), 
HUD will not approve the provision of financial assistance to 
residential properties on sites where contamination could affect the 
health and safety of occupants or conflict with the intended 
utilization of the property. 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 hazardous 
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: (a) Property 
that is located within a floodway or coastal high hazard area; and 
(b) substantial improvement. Substantial improvement for flood 
hazard purposes means any property rehabilitation which: (i) 
Increases the unit density of the property; or (ii) 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 that the property is located within the Special Flood Hazard 
Area (SFHA) and indicating if 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 an SFHA, you must provide HUD with estimates of: (1) The 
property value before rehabilitation, and (2) 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 that extends to future years, the grant agreement will 
require that the insured have 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 applicant's 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 
Interior's Standards and Guidelines for Evaluation, make a 
determination whether the property is:

[[Page 27381]]

    (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 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: (a) Construction of a building; (b) conversion 
of a non-residential land use to a residential land use including 
making habitable a building condemned for habitation; or (c) 
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 describes the condition of the property, and report the option 
selected in item 7 of section G.
    A. The proposed project does not include: (1) Construction of a 
building; (2) conversion of a non-residential land use to a 
residential land use including making habitable a building condemned 
for habitation; or (3) rehabilitation that increases the density of 
a residential structure by increasing the number of dwelling or 
rooming units.
    B. The proposed project includes: (1) Construction of a 
building; (2) conversion of a non-residential land use to a 
residential land use including making habitable a building condemned 
for habitation; or (3) 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: (1) Construction of a building; (2) 
conversion of a non-residential land use to a residential land use 
including making habitable a building condemned for habitation; or 
(3) rehabilitation that increases the density of a residential 
structure by increasing the number of dwelling or rooming units. 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 part 
51, subpart C.
    8. Site near high noise source:
    Threshold: For new construction that 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: (1) 1,000 feet of a major 
noise source, road, or highway; (2) 3,000 feet of a railroad; or (3) 
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: (1) 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; (2) stating whether the property is located within a 
``Normally Unacceptable'' or ``Unacceptable'' noise zone; and (3) 
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 that can 
affect the coastal zone must be carried out in a manner consistent 
with the approved state coastal zone management program under 
section 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 coastal zone 
management 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 that can affect 
aquifers designated by the Environmental Protection Agency (EPA) 
must be reviewed for impact on such designated aquifer sources. The 
Safe Drinking Water Act of 1974 requires protection of drinking 
water systems that 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 the 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

[[Page 27382]]

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 or the Department of Commerce 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 
effect, and/or a finding made by the Fish and Wildlife Service of 
the Department of the Interior or the National Marine Fisheries 
Service of the Department of Commerce 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 
the Department of the Interior 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 either:
    (1) Major rehabilitation of:
    1. Multifamily residential buildings (with more than four units) 
that would: increase unit density by more than 20 percent, change 
the land use, or cost 75 percent or more of the total estimated cost 
of replacement after rehabilitation; or
    2. Buildings for residential use (with one to four units) that 
would increase density beyond four units, change the land use, or 
increase the footprint of the building in a floodplain or in a 
wetland;
    (2) New construction except for (A) and individual action on up 
to four dwelling units where there is a maximum of four units on any 
one site (the units can be four one-unit buildings or one four-unit 
building or any combination in between); and (B) an individual 
action on a project of five or more housing units developed on 
scattered sites, when the sites are more than 2,000 feet apart and 
there are not more than four housing units on any one site. It is 
the policy of the Department to reject proposals that 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 regulations 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 these 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. The Youthbuild forms were approved under OMB 
Approval No. 2506-0142 (expiration 12/31/06).
BILLING CODE 4210-32-P

[[Page 27383]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.165


[[Page 27384]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.166


[[Page 27385]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.167


[[Page 27386]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.168


[[Page 27387]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.169


[[Page 27388]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.170


[[Page 27389]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.171


[[Page 27390]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.172


[[Page 27391]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.173


[[Page 27392]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.174


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27393]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.175


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27395]]



HOUSING CHOICE VOUCHER FAMILY SELF-SUFFICIENCY PROGRAM COORDINATORS

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing, Office of Public 
Housing and Voucher Programs.
    B. Funding Opportunity Title: Housing Choice Voucher Family Self-
Sufficiency (FSS) Program Coordinators.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-N-30. The OMB approval number for this program is 2577-
0178.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.871, 
Section 8 Housing Choice Vouchers.
    F. Dates: Application Deadline: The application due date is June 
22, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    G. Optional, Additional Overview Content Information: The purpose 
of the Housing Choice Voucher FSS program is to promote the development 
of local strategies to coordinate the use of assistance under the 
Housing Choice Voucher program with public and private resources to 
enable participating families to achieve economic independence and 
self-sufficiency. The FSS program and this FSS NOFA support the 
Department's strategic goals of increasing homeownership activities and 
helping HUD-assisted renters make progress toward self-sufficiency. The 
FSS program provides critical tools that can be used by communities to 
support welfare reform and help families develop new skills that will 
lead to economic self-sufficiency. As a result of their participation 
in the FSS program, many families have achieved stable, well-paid 
employment, which has made it possible for them to become homeowners. 
An FSS program coordinator assures that program participants are linked 
to the supportive services they need to achieve self-sufficiency.

FULL TEXT OF ANNOUNCEMENT

I. Funding Opportunity Description

A. Authority and Program Description

    Title II of Division G of the Consolidated Appropriations Act 2004, 
(Pub. L. 108-199, approved January 23, 2004) allows funding for program 
coordinators under the Housing Choice Voucher FSS program. Through 
annual NOFAs, HUD has provided funding to public housing agencies 
(PHAs) that are operating Housing Choice Voucher FSS programs to enable 
those PHAs to employ program coordinators to support their Housing 
Choice Voucher FSS programs. In the Fiscal Year (FY) 2004 Housing 
Choice Voucher FSS Program Coordinator NOFA, HUD is again making 
funding available to PHAs to employ FSS program coordinators and FSS 
homeownership program coordinators for one year. Funding priority under 
this NOFA will be provided to applicants that demonstrate that their 
FSS families have participated in homeownership programs. HUD will 
accept applications from both new and renewal PHAs that have HUD 
approval to administer a Housing Choice Voucher FSS program. PHAs 
funded under an FSS NOFA in FY2002, or FY2003 are considered 
``renewal'' PHAs in this NOFA. These renewal PHAs are invited to apply 
for funds to continue previously funded FSS program coordinator and FSS 
homeownership coordinator positions that they have filled. In addition, 
any renewal PHA that did not receive funding for a Housing Choice 
Voucher FSS homeownership coordinator under a previous FSS NOFA is 
invited to apply for funding for a coordinator position to support FSS 
homeownership activities. The maximum number of positions a renewal PHA 
may receive would be equal to the highest number of filled positions 
funded under the FY 2002 or FY2003 FSS NOFA, plus funding for an FSS 
homeownership coordinator if the PHA did not receive funding for a 
homeownership coordinator under a previous FSS NOFA.
    Because of the importance of the FSS program in helping families 
increase earned income and develop assets, HUD will also accept 
applications from ``new'' PHAs; PHAs that do not qualify as renewal 
PHAs under this FSS NOFA. The maximum number of positions that a new 
applicant PHA, including new PHA joint applicants, may receive is one 
full-time FSS program coordinator. Preference in funding these ``new'' 
applicant PHAs will be given to applicants with qualifying existing 
homeownership programs serving FSS program participants and graduates. 
A definition of qualifying homeownership programs is listed below.
    To support the Department's initiatives on Colonias, a selection 
preference is again included in this NOFA for ``new'' applicant PHAs 
that provide services and support to rural under-served communities in 
the Southwest Border regions of Arizona, California, New Mexico, and 
Texas. See section III.D.3.b. of this NOFA for requirements that must 
be met to qualify for the Colonias preference.
    PHAs are encouraged to outreach to disabled Housing Choice Voucher 
program participants who might be interested in participating in the 
FSS program and to include agencies on their FSS Program Coordinating 
Committee (PCC) that work with and provide services for disabled 
families.
    Applicants must administer the FSS program in accordance with HUD 
regulations and requirements in 24 CFR Part 984 which govern the 
Housing Choice Voucher FSS Program and must comply with the existing 
Section 8 Housing Choice Voucher program requirements, Notices and 
guidebooks.

B. Number of Positions for Which Eligible PHAs May Apply

    Eligible PHAs may apply for funding for Housing Choice Voucher FSS 
program coordinator positions under this NOFA as follows:
    1. Renewal PHAs. PHAs that qualify as eligible renewal PHAs under 
this NOFA, may apply for: (a) Continuation of each FSS coordinator 
position, including homeownership coordinator positions, most recently 
funded under an FSS NOFA in FY2002 or FY2003 that has been filled by 
the PHA. (b) New Position. Up to one initial full-time FSS 
homeownership program coordinator for renewal PHAs with qualifying 
homeownership programs that did not receive funding for an FSS 
homeownership coordinator under an earlier FSS NOFA.
    2. New PHAs. A PHA that meets the requirements for a new PHA under 
this FSS NOFA, may apply for Housing Choice Voucher FSS program 
coordinator positions as follows: (a) Up to one full-time FSS 
coordinator position for a PHA with HUD approval to administer an FSS 
program of 25 or more FSS slots. (b) Up to one full-time position per 
application for joint PHA applicants that together have HUD approval to 
administer a total of at least 25 Housing Choice Voucher FSS slots.

C. Definitions

    The following definitions apply to the funding available under this 
NOFA.
    1. Renewal PHA Applicant. A PHA or PHAs that received funding under 
an FSS NOFA in FY2002 or FY2003.
    2. New PHA Applicant. PHAs that did not receive funding under an 
FSS NOFA in FY 2002 or FY2003 that have HUD approval to administer a 
Housing Choice Voucher FSS program of at least 25 slots or that fulfill 
the 25 slot minimum by applying jointly with one or more other PHAs.

[[Page 27396]]

    3. FSS Program Size. The total number of Housing Choice Voucher FSS 
program slots identified in the PHA's HUD-approved FSS Action Plan. The 
total may include both voluntary and mandatory Housing Choice Voucher 
FSS program slots.
    4. Qualifying Homeownership Program. Qualifying programs include 
the Housing Choice Voucher program homeownership option or other 
programs that prepare Housing Choice Voucher program FSS participants 
for making the transition from renting to homeownership.
    5. FSS Homeownership Percentage. A percentage that will be computed 
by HUD for the purpose of establishing the order of funding of eligible 
applicants under this NOFA. It is the total number of an applicant's 
Housing Choice Voucher FSS homeownership families as a percentage of 
the PHA's Housing Choice Voucher FSS program participants.
    6. Total Number of FSS Homeownership Families. The total number of 
Housing Choice Voucher FSS homeownership families enrolled in the 
applicant's Qualifying Homeownership Program as of September 30, 2003, 
plus the number of its Housing Choice Voucher FSS graduates that moved 
to homeownership between October 1, 2000, and September 30, 2003. 
Homeownership participation of families is reported to HUD on the FSS 
program coordinator application and these numbers are subject to post 
audit.
    7. The Number of Housing Choice Voucher FSS Program Participants. A 
number that is used to calculate the FSS Homeownership Percentage of 
the applicant. It is the total number of families shown in HUD's PIC 
data system as enrolled in the applicant's Housing Choice Voucher FSS 
program on September 30, 2003, plus the number of families that 
successfully completed their Housing Choice Voucher FSS contracts in 
the applicant's program between October 1, 2002, and September 30, 
2003.
    8. Percentage of Families with Positive FSS Escrow Balances. A 
percentage that will be computed by HUD and used to determine funding 
order under this NOFA. It is the number of Housing Choice Voucher FSS 
families with positive escrow balances as a percentage of Housing 
Choice Voucher FSS families with FSS progress reports submitted to HUD 
on the Form HUD-50058 FSS addendum. The data source is HUD's PIC data 
system records of Form HUD-50058 Housing Choice Voucher FSS program 
progress reports that were effective between October 1, 2002, and 
September 30, 2003.
    9. Housing Choice Voucher Program Size. The number of Housing 
Choice Vouchers in a PHA's voucher program as determined by HUD using 
baseline data.
    10. Local HUD Field Office. In this announcement, this means the 
local HUD field office Hub, not the local HUD field office Program 
Center. A listing of HUD field offices is included as an appendix to 
the General Section of the SuperNOFA.

II. Award Information

A. Available Funds

    This NOFA announces the availability of up to $47.7 million in 
FY2004 to employ FSS program and FSS homeownership coordinators for the 
Housing Choice Voucher FSS program. If additional funding becomes 
available during FY2004, HUD may increase the amount available for 
Housing Choice Voucher FSS Program coordinators and FSS homeownership 
coordinators under this NOFA. A maximum of $63,000 is available for 
each full-time coordinator position funded. Salaries are to be based on 
local comparables.

III. Eligibility Information

A. Eligible Applicants

    PHAs eligible to apply for funding under this NOFA are:
    1. Renewal PHAs. Those PHAs that received funding under an FSS NOFA 
in FY2002 or FY2003. To continue to qualify as renewal PHAs, the FY2004 
application of joint applicants must include at least one PHA applicant 
that meets this standard. Joint applicants can change the lead PHA in 
their FY2004 application. A PHA that was originally funded as part of a 
joint application, that wishes to now apply separately would continue 
to be considered a renewal PHA applicant for funding purposes, but must 
be able to meet the FSS minimum program size requirement of a HUD-
approved Housing Choice Voucher program of at least 25 slots that 
applies to new applicant PHAs.
    2. New PHAs. PHAs that were not funded under an FSS NOFA in FY2002 
or FY2003. The new applicant PHA must be authorized through its HUD-
approved FSS Action Plan to administer a Housing Choice Voucher FSS 
program of at least 25 slots, or be a PHA with HUD approval to 
administer Housing Choice Voucher FSS programs of fewer than 25 slots 
that applies jointly with one or more other PHAs so that together they 
have HUD approval to administer at least 25 Housing Choice Voucher FSS 
slots. Joint applicants must specify a lead co-applicant that will 
receive and administer the FSS program coordinator funding.
    3. Moving to Work (MTW) PHAs. New and renewal PHAs that are under 
the MTW demonstration may qualify for funding under this NOFA if the 
PHA administers an FSS program. When determining the size of a MTW 
PHA's HUD-approved FSS program, the PHA may request that the number of 
FSS slots reflected in the PHA's MTW agreement be used instead of the 
number in the PHA's FSS Action Plan.
    4. Troubled PHAs.
    a. A PHA that has been designated by HUD as a troubled PHA under 
the Section 8 Management Assessment Program (SEMAP), or that has 
serious program management findings from Inspector General audits or 
serious outstanding HUD management review or Independent Public 
Accountant (IPA) audit findings for the PHA's Housing Choice Voucher or 
Moderate Rehabilitation programs that are resolved prior to application 
due date is eligible to apply under this NOFA. Serious program 
management findings are those that would cast doubt on the capacity of 
the PHA to administer its Housing Choice Voucher FSS program in 
accordance with applicable HUD regulatory and statutory requirements.
    b. The requirements that apply to a PHA whose SEMAP troubled 
designation has not been removed by HUD or the major program management 
findings or other significant program compliance problems resolved by 
the due date are stated in Section III.C.3.e. of this NOFA.

B. Cost Sharing or Matching

    None required.

C. Other

1. Eligible Activities
    Funds awarded to PHAs under this FSS NOFA may only be used to pay 
salaries and fringe benefits of Housing Choice Voucher FSS program 
staff. Funding may be used to employ or otherwise retain for one year 
the services of Housing Choice Voucher FSS program coordinators and FSS 
homeownership coordinators. FSS Coordinator support positions funded 
under previous FSS NOFAs that made funding available for such FSS 
positions may be continued. A part-time program coordinator may be 
retained where appropriate.
2. Threshold Requirements
    a. All Applicants.
    (1) Each applicant must qualify as an eligible PHA under Section 
III.A. of this NOFA and must have submitted their

[[Page 27397]]

FSS application by the application due date and in the format required 
in Section IV. of this NOFA.
    (2) All applications must include a Dun and Bradstreet Universal 
Numbering System (DUNS) number. (See Section III.C.2.b. of the General 
Section of this SuperNOFA for further information about the DUNS number 
requirement.)
    (3) Civil Rights Threshold, Non-discrimination, Affirmatively 
Furthering Fair Housing, and Economic Opportunities for Low- and Very 
Low-Income Persons (Section 3) requirements. For detail on these 
requirements, please see the General Section of the SuperNOFA, Section 
III.C.2.c. and C.4.a, b. and c.
    (4) The PHA must have a financial management system that meets 
federal standards. See Section III.C.2.f. of the General Section of the 
SuperNOFA regarding those applicants that may be subject to HUD's 
arranging for a pre-award survey of an applicant's financial management 
system.
    (5) Applicants must comply with the requirements for funding 
competitions established by the HUD Reform Act of 1989 (42 U.S.C. 3531 
et seq.) and other requirements as defined in the General Section of 
the SuperNOFA.
    b. Renewal Applicants.
    (1) Continued funding for existing coordinator positions. In 
addition to meeting the requirements of Section III.A.of this FSS NOFA, 
renewal PHA applicants must continue to operate a Housing Choice 
Voucher FSS program, have filled eligible FSS program coordinator 
positions for which they are seeking renewal funding, executed FSS 
contracts of participation with Housing Choice Voucher FSS program 
families and submitted reports on participant families to HUD via the 
form HUD-50058 FSS/WtW Voucher Addendum.
    (2) New position. Renewal PHAs applying for a Housing Choice 
Voucher FSS Homeownership Coordinator must meet all requirements in 
Section III.A. and III.C.2.a and b. above, must not have received 
funding for an FSS homeownership coordinator under an earlier Housing 
Choice Voucher FSS Program Coordinator NOFA and must administer or 
participate in a qualifying homeownership program that serves Housing 
Choice Voucher FSS program participants or graduates. Qualifying 
homeownership programs include the Housing Choice Voucher program 
homeownership option and other programs that prepare Housing Choice 
Voucher program FSS participants for making the transition from rental 
to homeownership.
    c. New Applicants. New applicants must meet the requirements of 
Section III.A. and Section III C.2.a of this FSS NOFA.
3. Program Requirements
    a. Salary Comparables. For all positions requested under this NOFA, 
evidence of salary comparability to similar positions in the local 
jurisdiction must be kept on file in the PHA office
    b. FSS Action Plan. The requirements for the FSS Action Plan are 
stated in 24 CFR 984.201. For a new PHA applicant to qualify for 
funding under this NOFA, the PHA's initial FSS Action Plan or amendment 
to change the number of Housing Choice Voucher FSS slots in the PHA's 
previously HUD-approved FSS Action Plan must be submitted to and 
approved by the PHA's local HUD field office prior to the application 
due date of this FSS NOFA. An FSS Action Plan can be updated by means 
of a simple one-page addendum that reflects the total number of FSS 
slots (voluntary and /or mandatory slots) the PHA intends to fill. New 
PHA applicants with previously approved Housing Choice Voucher FSS 
Action Plans may wish to confirm the number of HUD-approved slots their 
local HUD field office has on record for the PHA. A MTW PHA may request 
that the number of FSS slots reflected in its MTW agreement be used 
instead of the number of slots in the PHA's FSS Action Plan.
    c. Colonias Preference. New applicant PHAs claiming the Colonias 
preference must meet the requirements of Section III.A. and Section 
III.C.2.a and III.C.2.c. of this FSS NOFA and must operate in a 
Southwest border area that contains Colonia communities and administer 
programs that include outreach to members of those Colonia communities. 
Attachment A of this NOFA provides a listing of PHAs in Arizona, 
California, New Mexico, and Texas that HUD has identified as operating 
in areas containing Colonia communities. PHAs not listed in Attachment 
A that are claiming the Colonias preference will be required to include 
in their application submission a written request that HUD determine 
their eligibility for the preference.
    d. Homeownership Preference. To qualify for preference, a PHA must 
administer or participate in a Qualifying Homeownership Program. See 
definition at Section I.C.4.
    e. Troubled PHAs. A PHA whose SEMAP troubled designation has not 
been removed by HUD or the major program management findings or other 
significant program compliance problems resolved by the application due 
date, may apply if the PHA submits an application that designates 
another organization or entity that is acceptable to HUD that:
    (1) Includes an agreement by the other organization or entity to 
administer the FSS program on behalf of the PHA; and
    (2) In the instance of a PHA with unresolved major program 
management findings, includes a statement that outlines the steps the 
PHA is taking to resolve the program findings.
    Immediately after the publication of this NOFA, the Office of 
Public Housing in the local HUD field office will notify, in writing, 
those PHAs that have been designated by HUD as troubled under SEMAP, 
and those PHAs with unresolved major program management findings or 
other significant program compliance problems 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 
Director of the Grants Management Center.
    f. Conducting Business in Accordance with Core Values and Ethical 
Standards. To reflect core values, all PHAs shall develop and maintain 
a written code of conduct in the PHA administrative plan that:
    (1) Requires compliance with the conflict of interest requirements 
of the Housing Choice Voucher Program at 24 CFR 982.161; and
    (2) Prohibits the solicitation or acceptance of gifts or 
gratuities, in excess of a nominal value, by any officer or employee of 
the PHA, or any contractor, subcontractor, or agent of the PHA. The 
PHA's administrative plan shall state PHA policies concerning PHA 
administrative and disciplinary remedies for violation of the PHA code 
of conduct. The PHA shall inform all officers, employees, and agents of 
its organization of the PHA's code of conduct.

IV. Application and Submission Information

A. Addresses to Request Application Package

    1. Web site. A copy of this funding announcement for the Housing 
Choice Voucher FSS Program may be downloaded from the following HUD Web 
site: http://www.hud.gov/offices/adm/grants/fundsavail.cfm.
    2. Application Kit. There is no application kit for this NOFA. This 
announcement contains all the information necessary for the submission 
of your application for Housing Choice Voucher FSS program coordinator 
funding.

[[Page 27398]]

    3. Further Information. You may request general information, copies 
of the General Section and of a Program NOFA or NOFAs, from the NOFA 
Information Center (800-HUD-8929) or 800-HUD-2209 (TTY) between the 
hours of 9 a.m. and 8 p.m. (eastern time) Monday through Friday, except 
on Federal holidays. When requesting information, please refer to the 
name of the program you are interested in. 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 copies of this NOFA can be made immediately following 
publication of the SuperNOFA. The NOFA Information Center opens for 
business simultaneously with the publication of the SuperNOFA. You can 
also obtain information on this SuperNOFA and download application 
information for this NOFA through the HUD Web site, www.hud.gov.
    4. Technical Assistance. See Section VII. of this FSS funding 
announcement.

B. Content and Form of Application Submission

    1. Content of Application. Each new and renewal PHA must complete 
the form SF-424, HUD-424B, the SF-LLL, if appropriate, and the Form 
HUD-52651, the new FSS application form. A copy of the HUD-52651 
follows immediately after Attachment A of this NOFA. In completing the 
SF-424, renewal PHAs should select the continuation box on question 8, 
type of application. Both new and renewal PHA applicants should enter 
the proposed ACC amendment effective and ending dates for the FSS 
coordinator funding in 13 of the HUD-424. In section 15 of SF-424, 
estimated funding, complete only 15.a., which will be the amount 
requested from HUD in the FY2004 FSS application.
    2. Forms, Certifications, and Assurances. Each applicant is 
required to submit signed copies of Assurances and Certifications. The 
Assurances and Certifications required for this FSS NOFA are on the 
Form HUD-424B, the new FSS application Form HUD-52651, and, if 
applicable, the SF-LLL, Disclosure of Lobbying Activities.

C. Submission Date and Time

    Your completed application (an original and two copies) is due on 
or before June 22, 2004. See the paragraph titled ``Addresses and 
Application Submission Procedures'' in the General Section of the 
SuperNOFA regarding HUD's mailing, delivery and receipt procedures 
pertinent to the submission of your application.

D. Intergovernmental Review

    Applicants submitting applications under this funding announcement 
are not subject to intergovernmental review; i.e., Executive Order (EO) 
12372, Intergovernmental Review of Federal Program.

E. Funding Restrictions

    1. Salary Cap. Awards under this NOFA are subject to a cap of 
$63,000 per year per full time coordinator position funded. Under this 
NOFA, if PHAs apply jointly, the $63,000 maximum amount that may be 
requested per position applies to up to one full time coordinator 
position for the application as a whole, not to each PHA separately.
    2. Limitation on Renewal Funding Increases. For renewal coordinator 
positions, PHAs will be limited to a one percent increase above the 
amount of the most recent award for the position unless a higher 
increase is approved by the local HUD field office after review of the 
PHA's written justification and at least three comparables that must be 
submitted to the field office by the PHA with a copy of its FY2004 
Housing Choice Voucher FSS Program Coordinator application. Examples of 
acceptable reasons for increases above one percent would be need for a 
coordinator with higher level of skills or to increase the hours of a 
part time coordinator to full time. Total positions funded cannot 
exceed the maximum number of positions for which the PHA is eligible 
under this NOFA.
    3. Ineligible Activities.
    a. Funds under this NOFA may not be used to pay the salary of an 
FSS coordinator for a public housing FSS program. In FY2004, funding 
for public housing FSS program coordinators is being made available 
through the Public Housing Resident Opportunities and Self-Sufficiency 
(ROSS) NOFA for Public Housing FSS Program Coordinators that is 
included in the FY2004 SuperNOFA.
    b. Funds under this FSS NOFA may not be used to pay for services 
for FSS program participants.

F. Other Submission Requirements

    1. Submission to the GMC. Submit your original application and one 
copy with an Acknowledgement of Receipt Form to: HUD Grants Management 
Center, 2001 Jefferson Davis Highway, Suite 703, Arlington, VA 22202, 
Attention: Housing Choice Voucher Family Self-Sufficiency Program 
Coordinators. The Grants Management Center is the official place of 
receipt for all applications in response to this announcement of 
funding availability. Applications not submitted to the Grants 
Management Center will not be considered.
    2. Submission to Field Office. A copy of the application shall also 
be submitted to your local HUD field office by the application due 
date. Failure of the field office to receive the application by the due 
date will not automatically disqualify the application from further 
consideration. For ease of reference, the term ``local HUD field 
office'' as used in this announcement means the local HUD field office 
Hub, not the local HUD field office Program Center. A listing of HUD 
field office Hubs is in the General Section of the SuperNOFA.

V. Application Review Information

A. Criteria

    The funds available under this NOFA are not being awarded on a 
competitive basis. Applications are reviewed by the local HUD field 
office and GMC to determine whether or not they are technically 
adequate based on the NOFA requirements. Field offices will provide to 
the GMC in a timely manner, as requested, information needed by the GMC 
to make its determination, such as the HUD-approved Housing Choice 
Voucher FSS program size of new PHA applicants and information on the 
administrative capabilities of PHAs. Categories of applications that 
will not be funded are stated in Section V.B.6. of this FSS NOFA.

B. Reviews and Selection Process

    1. Technically Acceptable Applications. All technically adequate 
applications will be funded to the extent funds are available.
    2. Funding Priority Categories. If HUD receives applications for 
funding greater than the amount made available under this NOFA, HUD 
will divide eligible applications into priority categories as follows:
    Funding Category 1--Applications from eligible renewal PHAs with 
qualifying homeownership programs for continuation of eligible 
positions where the PHA has hired a coordinator.
    Funding Category 2--Eligible new applicant PHAs with qualifying 
homeownership programs.
    Funding Category 3--Applications from eligible renewal PHAs for an 
initial coordinator position to support FSS homeownership activities.
    Funding Category 4--Applications from renewal PHAs without 
qualifying homeownership programs.

[[Page 27399]]

    Funding Category 5--Applications from new applicant PHAs without 
qualifying homeownership programs.
    3. Order of Funding. Starting with Funding Category 1, HUD will 
first determine whether there are sufficient monies to fund all 
eligible positions requested in the funding category. If available 
funding is not sufficient to fund all positions requested in the 
category, HUD will fund applications in the following order:
    (a) Funding Category 1. HUD will calculate for each eligible 
applicant, the PHA's FSS Homeownership Percentage and Positive Escrow 
Percentage and will use these percentages in making funding decisions. 
Definitions and a description of the calculation of the FSS 
Homeownership Percentage and the Positive Escrow Percentage are 
included in Section I.C. of this NOFA.
    HUD will begin funding eligible renewal applicants with Qualifying 
Homeownership Programs starting with the PHAs with the highest FSS 
Homeownership Percentage first. If monies are not sufficient to fund 
all applicants with the same FSS Homeownership Percentage, HUD will 
fund eligible applicants in order starting with those that have the 
highest Positive Escrow Percentage first. If funding is not sufficient 
to fund all applicants with the same FSS Homeownership Percentage and/
or Positive Escrow Percentage, HUD will select among eligible 
applicants by Housing Choice Voucher program size starting with 
eligible applicants with the smallest Housing Choice Voucher program 
size first.
    (b) Funding Category 2. If funding remains after funding all 
Funding Category 1 applications, HUD will then process eligible Funding 
Category 2 applications. HUD will calculate the FSS Homeownership 
Percentage and Positive Escrow Percentage for Funding Category 2 
applicants as it did for Funding Category 1 applicants. If there are 
not sufficient monies to fund all Funding Category 2 applications, HUD 
will first fund applications from Category 2 PHAs eligible for the 
Colonias preference, starting with PHAs with the smallest Housing 
Choice Voucher program size first. If monies are still available, HUD 
will begin funding Funding Category 2 applications from PHAs with 
Qualifying Homeownership programs starting with applicants with the 
highest FSS Homeownership Percentage first. If there is not enough 
funding for all applicants with the same FSS Homeownership Percentage, 
HUD will use Positive Escrow Percentage to determine selection order, 
starting with applicants with the highest Positive Escrow Percentage. 
If monies are not sufficient to fund all applicants with the same FSS 
Homeownership Percentage and Positive Escrow Percentage, HUD will 
select eligible applicants by Housing Choice Voucher program size 
starting with eligible applicants with the smallest Housing Choice 
Voucher program size first.
    (c) Funding Category 3. If funding remains after funding all 
Funding Category 1 and 2 applications, HUD will then process requests 
of eligible renewal PHAs for an initial coordinator position to support 
FSS homeownership activities. If there are not sufficient monies to 
fund all eligible positions requested, HUD will begin funding positions 
starting with PHAs with the highest FSS Homeownership Percentage first. 
If there are not sufficient monies to fund all applications with the 
same FSS Homeownership Percentage, HUD will fund those eligible 
applicants with the highest Positive Escrow Percentage first. If monies 
are not sufficient to fund all eligible applicants with the same FSS 
Homeownership Percentage and Positive Escrow Percentage, HUD will 
select eligible applicants in order by Housing Choice Voucher program 
size starting with eligible applicants with the smallest Housing Choice 
Voucher program size first.
    (d) Funding Category 4. If funding remains, HUD will calculate the 
Positive Escrow Percentage of PHAs in Category 4 and will begin funding 
eligible applications starting with applicants with the highest 
Positive Escrow Percentage first. If monies are not sufficient to fund 
all applicants with the same Positive Escrow Percentage, HUD will 
select eligible applicants by Housing Choice Voucher program size 
starting with eligible applicants with the smallest Housing Choice 
Voucher program size first.
    (e) Funding Category 5. If funding remains after funding all 
Category 1 through 4 applicants, HUD will then process applications 
from eligible Category 5 applicants for an initial coordinator 
position. If there are not sufficient monies to fund all eligible 
Category 5 applicants, HUD will first fund applications from eligible 
Category 5 applicants qualifying for the Colonias preference. If monies 
are still available, HUD will calculate the Positive Escrow Percentage 
for the remaining Category 5 applications and will begin funding 
Category 5 applications starting with applicants with the highest 
Positive Escrow Percentage first. If monies are not sufficient to fund 
all applicants with the same Positive Escrow Percentage, HUD will 
select eligible applicants by Housing Choice Voucher program size 
starting with eligible applicants with the smallest Housing Choice 
Voucher program size first.
    4. Based on the number of applications submitted, the GMC may elect 
not to process applications for a funding priority category where it is 
apparent that there are insufficient funds available to fund any 
applications within the priority category.
    5. Corrections to Deficient Applications.
    a. The General Section of the NOFA provides the procedures for 
corrections to deficient applications. Examples of correctable 
technical deficiencies include, but are not limited to: submission of a 
Form SF-424 or FSS application Form HUD-52651 with missing information 
or that lacks an original signature by an authorized official or an 
application package that is not received by the HUD field office Hub by 
the due date.
    6. Unacceptable Applications. After the technical deficiency 
correction period (as provided in the General Section), the GMC will 
disapprove PHA applications that it determines are not acceptable for 
processing. 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 submitted by an entity that is not an eligible 
PHA as defined under Section III.A. and Section III.C. of this FSS NOFA 
or an application that does not comply with the requirements of Section 
IV.B., IV.C. and IV.F. of this FSS NOFA.
    b. An application from a PHA that does not meet the fair housing 
and civil rights compliance requirements of the General Section of the 
NOFA.
    c. An application from a PHA that does not comply with the 
prohibition against lobbying activities of this NOFA.
    d. An application from a PHA that as of the application due date 
has not made progress satisfactory to HUD in resolving serious 
outstanding Inspector General audit findings, or serious outstanding 
HUD management review or IPA audit findings for the Housing Choice 
Voucher program and/or Moderate Rehabilitation program or a 
``troubled'' rating under SEMAP, and has not designated another 
contractor acceptable to HUD to administer the FSS program on behalf of 
the PHA as required in Section III.C.3.e. of this FSS NOFA.
    e. An application from a PHA that has been debarred or otherwise 
disqualified from providing assistance under the program.
    f. An application that did not meet the application due date and 
timely receipt requirements as specified in this NOFA

[[Page 27400]]

and the General Section of the SuperNOFA.
    g. Applications will not be funded which do not meet the Threshold 
requirements identified in this NOFA and the General Section of the 
SuperNOFA.

C. Anticipated Announcement and Award Dates

    It is anticipated the announcement of Housing Choice Voucher FSS 
program coordinator awards will take place during either the month of 
September or October 2004.

VI. Award Administration Information

A. Award Notices

    Successful applicants will receive an award letter from HUD. 
Funding will be provided to successful applicants as an amendment to 
the Annual Contributions Contract (ACC) of the applicant PHA. In the 
case of awards to joint applicants, the funding will be provided as an 
amendment to the ACC of the lead PHA that was identified in the 
application.
    Unsuccessful applicants will receive a notification of rejection 
letter from that GMC that will state the basis for the decision. The 
applicant may request an applicant debriefing. Beginning not less than 
30 days after the awards for assistance are publicly announced in the 
Federal Register and for at least 120 days after awards for assistance 
are announced publicly, HUD will, upon receiving a written request, 
provide a debriefing to the requesting applicant. (See Section VI.A.3. 
of the General Section of the SuperNOFA for additional information 
regarding a debriefing.) Applicants requesting to be debriefed must 
send a written request to: Iredia Hutchinson, Director; Grants 
Management Center; U. S. Department of Housing and Urban Development, 
501 School Street, SW., Suite 800, Washington, DC 20024.

B. Administrative and National Policy Requirements

    1. Environmental Impact. 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).
    2. HUD's Strategic Goals. HUD is committed to ensuring that 
programs result in the achievement of HUD's strategic mission. The FSS 
program and this FSS NOFA support the Department's strategic goals of 
increasing homeownership activities and helping HUD-assisted renters 
make progress toward self-sufficiency by giving funding preference to 
PHAs whose FSS programs show success in moving families to self-
sufficiency and homeownership. You can find out about HUD's Strategic 
Framework and Annual Performance Plan at http://www.hud.gov/offices/cfo/reports/cforept.cfm.
    3. HUD Policy Priorities. This NOFA supports the HUD policy 
priority of providing increased homeownership opportunities to program 
participants. In this NOFA, funding priority is given to those PHA 
applicants that demonstrate that their FSS families have participated 
in homeownership programs. See Section V.B.2. of the General Section of 
the SuperNOFA for a full discussion of HUD's policy priorities.

C. Reporting

    Successful applicants must report activities of their FSS program 
participants through required submissions of the Form HUD-50058 FSS 
Addendum. HUD's assessment of the accomplishments of the FSS programs 
of PHAs funded under this NOFA will be based primarily on Public 
Housing Information Center (PIC) system data obtained from the Form 
HUD-50058. MTW PHAs that do not report to HUD on the Form HUD-50058 
will be asked to submit an annual report to HUD with the same 
information on FSS program activities that is provided to HUD by non-
MTW PHAs via the Form HUD-50058 FSS Addendum. In addition, HUD requires 
that funded recipients collect racial and ethnic beneficiary data. It 
has adopted the Office of Management and Budget's Standards for the 
Collection of Racial and Ethnic Data. In view of these requirements, 
funded recipients should use Form HUD-27061, Racial and Ethnic Data 
Reporting Form (found on http://www.HUDclips.org), a comparable program 
form, or a comparable electronic data system for this purpose.

VII. Agency Contacts

A. For Technical Assistance

    For answers to your questions, you may contact the Public and 
Indian Housing Resource Center at 800-955-2232. Persons with hearing or 
speech impairments may access this number via TTY (text telephone) by 
calling the Federal Information Relay Service at 800-877-8339. (These 
are toll-free numbers). 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.

B. Satellite Broadcast

    HUD will hold an information broadcast via satellite for potential 
applicants to learn more about the Housing Choice Voucher FSS program 
and preparation of an application. For more information about the date 
and time of this broadcast, you should consult the HUD website at 
www.hud.gov.

VIII. Other Information

A. Electronic Application System

    It is HUD's intention to move to a fully electronic application 
system in FY2005. Further information on this initiative can be found 
in the General Section of the SuperNOFA.

B. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2577-0178. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average one hour per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application and other required reporting. 
The information will be used for grantee selection and monitoring the 
administration of funds. Response to this request for information is 
required in order to receive the benefits to be derived.

C. Public Access, Documentation, and Disclosure

    See Section VIII. F. of the General Section of the SuperNOFA.
BILLING CODE 4210-32-P

[[Page 27401]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.176


[[Page 27402]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.177


[[Page 27403]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.178


[[Page 27404]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.179


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27405]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.180


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27407]]



Public Housing Neighborhood Networks Program

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title: Public Housing Neighborhood Networks 
Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is: FR-4900-N-32. The OMB approval number for this program is 
2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.870.
    F. Dates: The application due date is June 17, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of Program: The purpose of the Public Housing 
Neighborhood Networks program is to provide grants to public housing 
agencies (PHAs) to (a) update and expand existing Neighborhood 
Networks/community technology centers; or (b) establish new 
Neighborhood Networks (NN) community technology centers. Neighborhood 
Networks centers offer comprehensive services which are designed to 
help residents of public housing achieve long-term economic self-
sufficiency.
    2. Funding Available: The Department expects to award approximately 
$21.4 million under the Neighborhood Networks program in Fiscal Year 
2004. This includes $14.9 million in Fiscal Year 2004 funds and 
approximately $6.5 million in carryover funds.
    3. Award Amounts: Awards will range from $150,000 to $500,000.
    4. Eligible Applicants. Eligible applicants are Public Housing 
Authorities (PHAs) only.
    Tribes and tribally designated housing entities (TDHEs), nonprofit 
organizations, and resident associations are not eligible to apply for 
funding under the Public Housing Neighborhood Networks program.
    5. Cost Sharing/Match Requirement: At least 25 percent of the 
requested grant amount is required as a match.
    6. Grant term. The grant term for this funding category is three 
years from the execution date of the grant agreement.

--------------------------------------------------------------------------------------------------------------------------------------------------------
             Grant program                       Total funding               Eligible applicants                      Maximum grant amount
--------------------------------------------------------------------------------------------------------------------------------------------------------
Neighborhood Networks.................  $21.4 million which includes    PHAs--existing centers.......  $150,000 for PHAs with 1-780 units.
                                         $6.5 million in carryover                                     $200,000 for PHAs with 781-2,500 units.
                                         funds.                                                        $300,000 for PHAs with 2,501-7,300 units.
                                                                                                       $400,000 for PHAs with 7,301 units or more.
---------------------------------------
                                                                        PHAs--new centers............  $250,000 for PHAs with 1-780 units.
                                                                                                       $300,000 for PHAs with 781-2,500 units.
                                                                                                       $400,000 for PHAs with 2,501-7,300 units.
                                                                                                       $500,000 for PHAs with 7,301 units or more.
--------------------------------------------------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

    The Public Housing Neighborhood Networks program provides grants to 
PHAs to (1) update and expand existing Neighborhood Networks/community 
technology centers; or (2) establish new Neighborhood Networks (NN) 
community technology centers.
    An existing computer center is: (1) A computer lab, or community 
technology center already owned and operated by a PHA which serves 
residents of public housing and which has not received prior 
Neighborhood Networks funding and therefore is not officially 
designated a HUD Public & Indian Housing (PIH) Neighborhood Networks 
center; (2) a computer lab officially designated a HUD PIH Neighborhood 
Networks center by virtue of prior funding received under this grant 
program, which seeks to expand its services; or (3) a computer lab in 
development which needs funding under this grant program to become 
fully operational and serve residents of public housing.
    A new computer center is one that will be newly established (i.e., 
there is no infrastructure, space, or equipment currently in use for 
this purpose) with Neighborhood Networks grant funds.

    Note: An applicant previously funded under Neighborhood Networks 
may apply under the ``New Computer Center'' category only if it will 
develop a new center in a development which cannot be served by the 
applicant's existing NN center(s).

    Neighborhood Networks centers should be located within a public 
housing development, on PHA land, or within reasonable walking distance 
to the PHA development(s) being served by the center.
    HUD is looking for applications that implement comprehensive 
programs within the three year grant term which will result in improved 
economic self-sufficiency for public housing residents. HUD is looking 
for proposals that involve partnerships with organizations that will 
help supplement and enhance the services grantees offer to residents.
    NN centers provide computer and Internet access to public housing 
residents and offer a full range of computer and job training services. 
Applicants should submit proposals that will incorporate computer and 
Internet use to: Provide job training for youth, adults and seniors; 
expand educational opportunities for residents; promote economic self-
sufficiency and help residents transition from welfare to work; 
increase residents' use of the Internet and computer technology; assist 
school-age children and youth with homework; provide guidance and 
preparatory programming to high school students (or other interested 
residents) for post-secondary education (college or trade schools); and 
other services as deemed necessary by results obtained from resident 
surveys.
    All applicants must complete a business plan (see sample HUD-52766 
provided in the Appendix) covering the three-year grant term. 
Applicants' business plan and narrative must indicate how the centers 
will become self-sustaining after the grant term expires. Proposed 
grant activities should build on the foundation created by previous NN 
grants, Resident Opportunity and Self-Sufficiency (ROSS) grants, or 
other Federal, State and local self-sufficiency efforts.

    Note Any applicant that proposes one or more ineligible activity 
will not be funded.

B. Eligible Activities

    1. Hiring of a Qualified Project Coordinator to Administer Grant 
Program. A qualified Project Coordinator must have two years of 
experience running a community technology center. The Project 
Coordinator should be hired for the entire term of your grant. The 
project coordinator should be responsible for

[[Page 27408]]

ensuring that the center's programs achieve the proposal's goals and 
objectives. In addition, the project coordinator should be responsible 
for the following activities:
    a. Marketing the program to residents;
    b. Assessing participating residents' needs, interests, skills, and 
job-readiness;
    c. Assessing participating residents' needs for supportive 
services, e.g. childcare, transportation;
    d. Designing and coordinating grant activities based on residents' 
needs and interests; and
    e. Monitoring the progress of program participants and evaluating 
the overall success of the program. For more information on how to 
measure performance, please see Rating Factor 5 in the ``Application 
Review Information'' section of this NOFA.
    2. Literacy training and GED preparation;
    3. Computer training, from basic to advanced;
    4. College preparatory courses and information;
    5. Job Training: Oral and written communication skills; work ethic; 
interpersonal and teamwork skills; resume writing; interviewing 
techniques, creating job training and placement programs with local 
employers and placement agencies; and post-employment follow-up to 
assist residents who are new to the workplace.
    6. Physical improvements. Physical improvements must directly 
relate to providing space for a Neighborhood Networks center. 
Renovation, conversion, wiring, 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 of implementing physical improvements.
    a. Modifications to create a space that is accessible to persons 
with disabilities is an eligible use of funds. Refer to Office of 
Management and Budget (OMB) Circular A-87, ``Cost Principles for State, 
Local and Indian Tribal Governments.''
    b. The renovation, conversion, or joining of vacant dwelling units 
in a PHA development to create appropriate space for the equipment 
needs and activities of a NN center (computers, printers, and office 
space) are eligible activities for physical improvement.
    c. The renovation, conversion of existing common areas in a PHA 
development to accommodate a NN center are eligible.
    d. If renovation, conversion, or repair is done off-site, the PHA 
must provide documentation with its application that it has control of 
the proposed property for at least five years. Control can be 
demonstrated through a lease agreement, ownership documentation, or 
other appropriate documentation.
    7. Maintenance and insurance costs. Includes installing and 
maintaining the hardware and software as well as insurance coverage for 
the space and equipment.
    8. Purchase of computers, printers, software, and other peripheral 
equipment. Costs of computer hardware and software necessary to 
accommodate the needs of persons with disabilities are an eligible cost 
for this funding category;
    9. Distance Learning Equipment. Distance learning equipment 
(including the costs for video casting and purchase/lease/rental of 
distance learning equipment) is an eligible use of funds provided your 
proposal indicates that the center will be working in a virtual setting 
with a college, university or other educational organization. If you 
operate more than one center, distance learning equipment can be used 
to link one or more centers so that residents using the different 
centers can benefit from courses being offered at only one site.
    10. Security and related costs. Includes space and minor refitting, 
locks, and other equipment for safeguarding the center.
    11. Hiring Residents. Grantees may hire residents to help with the 
implementation of this grant program.
    12. Administrative costs. Administrative costs may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
local travel, and utilities. Administrative costs may not be used to 
pay for salaries of any kind. For both new and existing NN centers, 
administrative costs must not exceed 10 percent of the total grant 
amount requested from HUD. Administrative costs must adhere to OMB 
Circular A-87. Please use HUD-424-CBW to itemize your administrative 
costs. You may attach an additional sheet of paper to the HUD-424-CBW 
form if necessary in order to fully itemize your administrative costs.

C. Definition of Terms

    1. Contract Administrator means an overall grant administrator or a 
financial management agent (or both) that oversees the implementation 
of the grant and/or the financial aspects of the grant. See the 
``Program Requirements'' and ``Threshold Requirements'' sections for 
more information.
    2. Senior person means a person who is at least 62 years of age.
    3. Past Performance is a threshold requirement. Using Rating Factor 
1, HUD's field offices will evaluate applicants for past performance to 
determine whether an applicant has the capacity to manage the grant for 
which they are applying. Field offices will evaluate the past 
performance of contract administrators for applicants required to have 
a contract administrator.
    4. Person with disabilities means a person who:
    a. Has a condition defined as a disability in section 223 of the 
Social Security Act;
    b. Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance Bill of Rights Act; or
    c. Is determined to have a physical, mental, or emotional 
impairment which:
    (1) Is expected to be of long-continued and indefinite duration;
    (2) Substantially impedes his or her ability to live independently; 
and
    (3) 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 acquired immunodeficiency syndrome (HIV/AIDS) or any conditions 
arising from the etiologic agent for AIDS. In addition, no individual 
shall be considered a person with disabilities, for purposes of 
eligibility for low-income housing, solely on the basis of any drug or 
alcohol dependence.
    The definition provided above for persons with disabilities is the 
proper definition for determining program qualifications. However, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must be 
used for purposes of reasonable accommodations.
    5. Project Coordinator is a person who is responsible for 
coordinating the grantee's approved activities to ensure that grant 
goals and objectives are met. A qualified project coordinator is 
someone with at least two years of experience working on supportive 
services designed specifically for typically underserved populations. 
The project coordinator and grantee are both responsible for ensuring 
that all federal requirements are followed.
    6. Secretary means the Secretary of Housing and Urban Development.

[[Page 27409]]

D. Regulations Governing the Neighborhood Networks Grant

    The Neighborhood Networks program is governed by regulations in 24 
CFR parts 905 and 968.

II. Award Information

A. Total Funding

    The Department expects to award approximately $21.4 million under 
the Neighborhood Networks program in Fiscal Year 2004. Awards will be 
made as follows:
    1. Fifty percent of available funding for Neighborhood Networks 
will provide grants for updating and expanding existing computer 
technology centers. The other 50 percent will provide grants to 
establish and operate new Neighborhood Networks centers.
    2. PHAs must use the number of occupied conventional family public 
housing units as of September 30, 2003 per their budget to determine 
the maximum grant amount they are eligible for in accordance with the 
categories listed below. PHAs should clearly indicate on the Fact Sheet 
(HUD-52751) the number of units under management.
    a. Funding Levels For Existing Centers:

 
------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-780 units................................................     $150,000
781-2,500 units............................................     $200,000
2,501-7,300 units..........................................     $300,000
7,301 or more units........................................     $400,000
------------------------------------------------------------------------

    b. Funding Levels For New Centers:

 
------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-780 units................................................     $250,000
781-2,500 units............................................     $300,000
2,501-7,300 units..........................................     $400,000
7,301 or more units........................................     $500,000
------------------------------------------------------------------------

B. Grant Period

    Three years. The grant period shall begin the day the grant 
agreement and the form HUD-1044, ``Assistance Award/Amendment'' are 
signed by both the grantee and HUD.

C. Grant Extensions

    Requests to extend the grant term beyond the originally established 
grant term must be submitted in writing by the grantee to the local HUD 
field office. Such requests must be done prior to grant termination and 
with enough notice to give the field office a reasonable amount of time 
to fully evaluate the request. Requests must explain why the extension 
is necessary, what work remains to be completed, and what work and 
progress was accomplished to date.

D. Type of Award

    Grant agreement.

E. Subcontracting

    Subcontracting is permitted. Grantees must follow the HUD federal 
procurement regulations found at 24 CFR 85.36.

III. Eligibility Information

A. Eligible Applicants

    Public Housing Authorities are eligible to apply for this funding 
category. Tribes/TDHEs, nonprofit organizations, and resident 
associations are not eligible to apply for this funding category.

B. Cost Sharing or Matching

    All applicants are required to obtain a 25 percent cash or in-kind 
match. The match is a threshold requirement. Applicants who do not 
demonstrate the minimum 25 percent match will fail the threshold 
requirement and will not receive further consideration for funding. 
Please see the section below on threshold requirements for more 
information on what is required for the match.

C. Other

    1. Threshold Requirements: Applicants must respond to each 
threshold requirement clearly and thoroughly by following the 
instructions below. If your application fails one threshold requirement 
(regardless of the type of threshold) it will be considered a failed 
application and will not receive consideration for funding.
    a. Match. All applicants are required to have in place a firmly 
committed 25 percent match in cash or in-kind donations as defined in 
this paragraph. Joint applicants must together have at least a 25 
percent match. Applicants who do not demonstrate the minimum 25 percent 
match will fail this threshold requirement and will not receive further 
consideration for funding. If you are also applying for funding under 
the ROSS grant program, you must use different sources of match 
donations for each grant application and you must indicate which 
additional ROSS grant(s) you are applying for by attaching an 
additional page to HUD budget Form 424-CBW stating the sources and 
amounts of each of your match contributions for this application as 
well as any other HUD grant program to which you are applying. Match 
donations must be firmly committed. Firmly committed means that the 
amount of match resources and their dedication to Neighborhood 
Networks-funded activities must be explicit, in writing and signed by a 
person authorized to make the commitment. Letters of commitment and 
Memoranda of Understanding (MOU) must be on organization letterhead, 
and signed by a person authorized to make the stated commitment whether 
it be in cash or in-kind services. The letters of commitment/MOUs must 
indicate the total dollar value of the commitment, be dated within two 
months of the application deadline, and indicate how the commitment 
will relate to the proposed program. The commitment should be available 
at time of award. Applicants proposing to use their own, non-HUD grant 
funds to meet the match requirement in whole or in part, must also 
include a letter of commitment indicating the type of match (cash or 
in-kind) and how the match will be used. Grant awards shall be 
contingent upon letters of commitment being submitted with your 
application.
    Leveraging in excess of the 25 percent of the grant amount will 
receive a higher point value.
    (1) Volunteer time and services shall be computed by using the 
normal professional rate for the local area or the national minimum 
wage rate of $5.15 per hour. (Note: applicants may not count their 
staff time towards the match.) If grantees propose to use volunteers 
for development or operations work that would otherwise be subject to 
payment of Davis-Bacon or HUD-determined prevailing wage rates 
(including construction, rehabilitation or maintenance) their services 
must be computed using the appropriate Davis-Bacon or HUD-determined 
wage rates. More information on these wage rates can be found at: 
http://www.hud.gov, by contacting HUD Field Office Labor Relations 
staff, or from the PHA. Such volunteers must also meet the requirements 
of section 12(b) of the United States Housing Act of 1937 and 24 CFR 
part 70;
    (2) In order for HUD to determine the value of any donated 
material, equipment, staff time, building, or lease, your application 
must provide a letter from the organization making the donation stating 
the value of the contribution.
    (3) Other resources/services that can be committed include: in-kind 
services such as contributions of administrative services provided to 
the applicant; funds from federal sources as allowed

[[Page 27410]]

by statute, including for example Community Development Block Grant 
(CDBG); funds from any state or local government sources; and funds 
from private contributions. Applicants may also partner with other 
program funding recipients to coordinate the use of resources in the 
target area.
    b. Past Performance. HUD's field offices will evaluate data 
provided by applicants as well as applicants' past performance to 
determine whether applicants have the capacity to manage the grant for 
which they are applying. Field offices will evaluate the contract 
administrators' past performance for applicants required to have a 
contract administrator. Using Rating Factor 1, the field office will 
evaluate applicants' past performance. Applicants should carefully 
review Rating Factor 1 to ensure their application addresses each of 
the criteria requested therein. If applicants fail to address what is 
requested in Rating Factor 1, their application will fail this 
threshold and will not receive further consideration.
    c. Contract Administrator Partnership Agreement. PHAs that are 
troubled at time of application are required to submit a signed 
Contract Administrator Partnership Agreement. The agreement must be for 
the entire grant term. Grant awards shall be contingent upon having a 
signed Contract Administrator Partnership Agreement included in the 
application. Applicants required to have a Contract Administrator 
Partnership Agreement that fail to submit one will fail this threshold 
requirement and will not receive further consideration for funding.
    Troubled PHAs are not eligible to be contract administrators. Grant 
writers who assist applicants prepare their Neighborhood Networks 
applications are also ineligible to be contract administrators
    For more information on contract administrators, see the section 
``Program Requirements.''
    d. Minimum Score for All Fundable Applications. Applications that 
pass all threshold requirements and go through the ranking and rating 
process, must receive a minimum score of 75 in order to be considered 
for funding.
    e. The Dun and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section of the SuperNOFA for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD. This threshold requirement is 
curable.
    f. Ineligible Activities. Any application that proposes an 
ineligible activity will be disqualified and not considered for 
funding.
    g. Applicants that request funding in excess of the maximum grant 
which they are eligible to receive will not receive funding 
consideration.
    2. Program Requirements:
    a. Program Evaluations. A portion of grant funds should be reserved 
to ensure that evaluations can be completed for all participants who 
received training through this program. Applicants may, for example, 
propose to reserve one percent of grant funds for every 10 students 
they train for the purpose of evaluating students' success in the 
program.
    b. Physical Improvements. All renovations must meet appropriate 
accessibility requirements, including the requirements of Section 504 
of the Rehabilitation Act of 1973 at 24 CFR part 8, Architectural 
Barriers Act at 24 CFR part 40, the Americans with Disabilities Act and 
the Fair Housing Act. Compliance with the Uniform Federal Accessibility 
Standards shall be deemed to comply with the requirements of 24 CFR 
8.21, 8.22, 8.232, and 8.25 with respect to buildings.
    c. Contract Administrator. The contract administrator must assure 
that the financial management system and procurement procedures that 
will be in place during the grant term will fully comply with 24 CFR 
85. CAs are expressly forbidden from accessing HUD's Line of Credit 
Control System (LOCCS) and submitting vouchers on behalf of grantees. 
Contract administrators must also assist PHAs meet HUD's reporting 
requirements, see Section VI.(C) ``Reporting'' for more information. 
Contract administrators may be: Local housing agencies; community-based 
organizations such as community development corporations (CDCs), 
churches, temples, synagogues, mosques; nonprofit organizations; state/
regional associations and organizations. Troubled PHAs are not eligible 
to be contract administrators. Grant writers who assist applicants 
prepare their Neighborhood Networks applications are also ineligible to 
be contract administrators. Organizations that the applicant proposes 
to use as the contract administrator must not violate or be in 
violation of other conflicts of interest as defined in 24 CFR part 84 
and 24 CFR part 85.
    3. Number of Applications Permitted:
    a. General. Applicants may submit only one application for a NN 
grant.
    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. Both lead and non-lead 
applicants are subject to threshold requirements. Applicants who submit 
joint applications may not also submit separate applications as sole 
applicants under this NOFA. NOTE: The lead applicant will determine the 
maximum funding amount the applicants are eligible to receive.
    4. Eligible Participants: All program participants must be 
residents of conventional public housing. Participants in the Public 
Housing Family Self-Sufficiency (FSS) program (non Housing Choice 
Voucher FSS Program) are also eligible to participate in activities 
funded under Neighborhood Networks.
    5. Eligible Developments: Only conventional public housing 
developments may be served by Neighborhood Networks grant funds. Other 
housing/developments, including, but not limited to: private housing, 
federally-insured housing, federally subsidized or assisted (i.e., 
assisted under Section 8, Section 202, Section 811, Section 236), and 
others are not eligible to participate in Neighborhood Networks.
    6. Energy Star. HUD has adopted a wide-ranging energy action plan 
for improving energy efficiency in all program areas. As a first step 
toward implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA) and the Department of Energy (DoE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is to 
promote energy efficiency of the affordable housing stock, but also to 
help protect the environment. Applicants constructing, rehabilitating, 
or maintaining housing or community facilities are encouraged to 
promote energy efficiency in design and operations. They are urged 
especially to purchase and use Energy Star labeled products. Applicants 
providing housing assistance or counseling services are encouraged to 
promote Energy Star building by homebuyers and renters. Program 
activities can include developing Energy Star promotional and 
information materials, outreach to low- and moderate-income renters and 
buyers on the benefits and savings when using Energy Star products and 
appliances, and promoting the designation of community buildings and 
homes as Energy Star compliant. For further information about Energy 
Star, see http://www.energystar.gov or call 888-STAR-YES (888-782-7937) 
or for the hearing-impaired, 888-588-9920 TTY.

[[Page 27411]]

    7. Environmental Impact. Some activities under this Neighborhood 
Networks program section will be categorically excluded and not subject 
to environmental review under 24 CFR 58.34(a)(3), (a)(8) or (a)(9), 
58.35(b)(2) or (b)(3), 50.19(b)(3), (b)(8), (b)(9), (b)(12), or (b)(13) 
but some will be subject to environmental review. Any applicant 
proposing any long-term leasing or physical development activities, and 
its partners, are prohibited from constructing, 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:
    a. If the grantee is not a PHA or tribe/TDHE, HUD has completed an 
environmental review to the extent required by 24 CFR part 50, prior to 
grant award.
    b. 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.
    8. Wage Rates. Laborers and mechanics employed in the development 
and operation of Neighborhood Networks facilities on property that is 
subject to an Annual Contributions Contract must be paid Davis-Bacon or 
HUD-determined prevailing wage rates, respectively, unless they meet 
the qualifications of a volunteer (see section III.C.1.a of this 
program section).
    9. Compliance with Program Requirements. All applicants and 
grantees must comply with the program requirements contained in Section 
III (C) of the General Section of the SuperNOFA.

IV. Application and Submission Information

A. Addresses to Request Application Package

    There is no application kit this year. All forms and necessary 
information for applying are contained within this NOFA. Please refer 
to the General Section of the SuperNOFA for information on how to 
obtain hard copies of this NOFA. You may also visit http://www.hud.gov 
for this information.

B. Content and Form of Application Submission

    1. Application Preparation: Before preparing an application for 
Neighborhood Networks funding, applicants should carefully review the 
program description, program requirements, ineligible activities, and 
threshold requirements, which are contained in this NOFA. Applicants 
should also review each rating factor found in the ``Application Review 
Information'' section before writing a narrative response. Applicants' 
narratives should be as descriptive as possible, ensuring that every 
requested item is addressed. Applicants should make sure to include all 
requested information, according to the instructions found in this NOFA 
and where applicable, in the General Section of the SuperNOFA. This 
will help ensure a fair and accurate review of your application.
    2. Content and Format for Submission: In order to be funded, 
applicants must propose programs which meet all the requirements and 
objectives of the Neighborhood Networks program as described in this 
NOFA. Applicants are reminded that any application proposing ineligible 
activities will not be funded. Finally, applicants must submit their 
applications according to the ``Format'' section below.
    a. Content of Application:
    Applicants must write narrative responses to each of the rating 
factors which follow this section. Applicants will be evaluated on 
whether their responses demonstrate that they have the necessary 
capacity to successfully manage this grant program. Applicants should 
ensure that their narratives are written clearly and concisely so that 
HUD reviewers, who may not be familiar with the Neighborhood Networks 
program, may fully understand your proposal. HUD encourages applicants 
to carefully review each rating factor, the regulations governing the 
Neighborhood Networks program, 24 CFR parts 905 and 968, and the 
General Section of the SuperNOFA prior to responding to the rating 
factors.
    b. Format of Application:
    (1) Applications may not exceed 35 narrative pages. Narrative pages 
must be typed, double-spaced, numbered, use Times New Roman font style, 
and font size 12. Applications should be submitted in a three-ring 
binder with materials organized behind tabs according to the outline 
provided below. Supporting documentation, required forms, and 
certificates will not be counted toward the 35 narrative page limit. 
However, applicants should make every effort to submit only what is 
necessary in terms of supporting documentation.
    (2) Format for submission of SuperNOFA forms, NN forms and 
narrative responses.
    TAB 1: Required Forms from the General Section of the SuperNOFA and 
other NN forms:
    1. Application for Federal Assistance (SF-424);
    2. Supplement to SF-424--Survey on Ensuring Equal Opportunity for 
Applicants (SF-23004);
    3. Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers (HUD-27300);
    4. Fact Sheet (HUD-52751);
    5. Applicant Assurances and Certifications (HUD-424B);
    6. Grant Application Detailed Budget (HUD-424-CB);
    7. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
    8. Applicant/Recipient Disclosure/Update Report (HUD-2880);
    9. Certification of Consistency with RC/EZ/EC Strategic Plan (HUD-
2990) if applicable;
    10. Certification of Consistency with the Consolidated Plan (HUD-
2991) if applicable;
    11. Disclosure of Lobbying Activities (HUD-SF-LLL)--if applicable;
    12. Disclosure of Lobbying Activities Continuation Sheet (HUD-SF-
LLL-A)--if applicable;
    13. Acknowledgment of Application Receipt (HUD-2993); and,
    14. Client Comments and Suggestions (HUD-2994). (Optional)
    TAB 2: Threshold Requirements:
    1. Letters from Partners attesting to match;
    2. Letter from Applicant's organization attesting to match (if 
applicant is contributing to match); and
    3. Contract Administrator Partnership Agreement (required for 
troubled PHAs) (HUD-52755).
    TAB 3: Narrative for Rating Factor 1 and NN Program Forms
    1. Narrative
    2. Chart A: Program Staffing (HUD-52756)
    3. Chart B: Applicant/Administrator Track Record (HUD-52757)
    4. Resumes/Position Descriptions
    TAB 4: Narrative for Rating Factor 2
    TAB 5: Rating Factor 3
    1. Narrative
    2. Business Plan (see sample) (HUD-52766)
    TAB 6: Narrative for Rating Factor 4
    TAB 7: Narrative for Rating Factor 5 and NN Program Forms
    1. Narrative

[[Page 27412]]

    2. Logic Model (HUD-96010);
    3. Sample Performance measures/outcomes are attached for 
applicants' information

C. Submission Dates and Times

    1. Due Dates: Applications are due on June 17, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    2. Proof of Timely Submission. Please see the General Section of 
the SuperNOFA for more information about how to mail in your 
application to HUD and how HUD will determine whether your application 
is received by the deadline. Applicants that fail to meet the deadline 
for application receipt will not receive funding consideration.

D. Intergovernmental Review

    Not applicable.

E. Funding Restrictions

    1. Reimbursement for Grant Application Costs: Applicants who 
receive an award under NN are prohibited from using NN grant funds to 
reimburse any costs incurred in conjunction with preparation of their 
NN grant application.
    2. Covered Salaries:
    a. Project Coordinator: All applicants may propose to hire a 
qualified project coordinator to run the grant program. The 
Neighborhood Networks program will fund up to $ 63,000 in combined 
annual salary and fringe benefits for a full-time project coordinator. 
The project coordinator's salary and fringe benefits may not exceed 
more than 30 percent of the total grant amount. For audit purposes, 
applicants must have documentation on file demonstrating that the 
salary they pay the project coordinator is comparable to similar 
professions in their local area.
    b. Hiring Residents: Grantees may hire residents to help with the 
implementation of this grant program. No more than five percent of 
grant funds can be used for this purpose.
    c. NN funds may only be used for the types of salaries described in 
this section according to the restrictions described herein. NN funds 
may not be used to pay for salaries of any other kind.
    3. Administrative Costs. Administrative costs may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
local travel, and utilities. Administrative costs may not be used to 
pay for salaries of any kind. Administrative costs must not exceed 10 
percent of the total grant amount requested from HUD. Administrative 
costs must adhere to OMB Circular A-87. Please use HUD-424-CBW to 
itemize your administrative costs.
    4. Ineligible Activities/Costs. Grant funds may not be used for 
ineligible activities:
    a. Payment of wages and/or salaries to participants for receiving 
supportive services and/or training programs;
    b. Purchase, lease, or rental of land;
    c. Purchase, lease, or rental of vehicles;
    d. Entertainment costs;
    e. Purchasing food;
    f. Service Coordinator salary and fringe benefits;
    g. Stipends;
    h. Cost of application preparation;
    i. Costs which exceed limits identified in the NOFA for the 
following: Project Coordinator, resident salaries, physical 
improvements (see below) and administrative expenses; and
    j. Costs not eligible under section 9(d)(1)(E) of the U.S. Housing 
Act of 1937.
    5. Physical Improvements. For new centers, expenses for physical 
improvements may not exceed 20 percent of the total grant amount 
requested from HUD. For existing centers, expenses for physical 
improvements may not exceed 10 percent of the total grant amount.

F. Other Submission Requirements

    1. Mailing Applications. Applicants to the NN program should send 
their applications to: HUD Grants Management Center, Mail Stop: 
Neighborhood Networks, 2001 Jefferson Davis Hwy, Suite 703; Arlington, 
VA 22202. Please see the General Section of the SuperNOFA for detailed 
mailing and delivery instructions.
    2. Number of Copies. Applications must be submitted in triplicate 
(one original and two identical copies). The original and one identical 
copy must be sent to the Grants Management Center by the deadline. The 
other identical copy must be submitted to your local HUD field office 
by the deadline.

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications to the 
Neighborhood Networks program: The factors for rating and ranking 
applicants and maximum points for each factor are provided below. The 
maximum number of points available for this program is 102. This 
includes two RC/EZ/EC bonus points. The SuperNOFA contains a 
certification that must be completed in order for the applicant to be 
considered for RC/EZ/EC bonus points. A listing of federally designated 
RCs, EZs, ECs, and EECs is included as an appendix to the General 
Section of the SuperNOFA and is also available from the NOFA 
Information Center, and the HUD Web site, http://www.hud.gov. The 
agency certifying to RC/EZ/EC status must be listed in the appendix of 
the SuperNOFA or on the http://www.hud.gov Web site.

    Note: Applicants should carefully review each rating factor 
before writing a response. Applicants' narratives should be as 
descriptive as possible, ensuring that every requested item is 
addressed. Applicants should make sure their narratives thoroughly 
address the Rating Factors below and include all requested 
information, according to the instructions found in this NOFA. This 
will help ensure a fair and accurate application review.

a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (25 Points)
    This factor addresses whether the applicant has the organizational 
resources necessary to successfully implement the proposed activities 
within the grant period. In rating this factor HUD will consider the 
extent to which the proposal demonstrates that the applicant will have 
qualified and experienced staff dedicated to administering the program.
    (1) Proposed Program Staffing (12 Points).
    (a) Staff Experience (4 Points). The knowledge and experience of 
the proposed project coordinator, staff, and partners in planning and 
managing programs for which funding is being requested. Experience will 
be judged in terms of recent, relevant and successful experience of 
proposed 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 
proposed staff members who work on the project have in successfully 
conducting and completing similar activities, the greater the number of 
points applicants will receive for this rating factor. If proposed 
staff has experience both in providing community technology services 
and in delivering social service programs to typically underserved 
populations, applicants will receive a maximum score. If proposed staff 
has experience in only one area, applicants will receive two points. If 
proposed staff has experience in neither area, applicants

[[Page 27413]]

will receive a score of 0 for this subfactor.
    The following information should be provided in order to provide 
HUD an understanding of the proposed staff's experience and capacity:
    (i) The number of staff years (one staff year = 2080 hours) to be 
allocated to the program by each employee or expert as well as each of 
their roles in the program;
    (ii) The staff's relevant educational background and/or work 
experience;
    (iii) Relevant and successful experience running programs whose 
activities include social services and computer programs that are 
similar to the eligible program activities described in this NOFA;
    (b) Hiring Residents (3 points). Three points will be awarded if 
applicants commit to hiring one to three residents. Small PHAs should 
hire one person, medium PHAs should hire one to two people, and large 
PHAs should hire three people in order to get the maximum score.
    (c) Organizational Capacity (5 Points). Applicants will be 
evaluated based on whether they have, and/or whether their partners 
have sufficient qualified personnel to deliver the proposed activities 
in a timely and effective fashion. In order to enhance or supplement 
capacity, applicants should provide evidence of partnerships with 
nonprofit organizations or other organizations that have experience 
providing community technology services to typically underserved 
populations. Applicants' narrative must describe their ability to 
immediately begin the proposed work program. Attach resumes and 
position descriptions (where staff is not yet hired) for all key 
applicant and partner personnel. (Resumes/position descriptions do not 
count toward the 35-page limit.)
    (2) Past Performance of Applicant/ Contract Administrator (6 
Points) Applicants' narrative must describe how they (or their Contract 
Administrator) successfully implemented grant programs (including those 
listed below) designed to promote resident self-sufficiency or moving 
from welfare to work. Applicants' past experience may include, but is 
not limited to, running programs aimed at assisting residents of low-
income housing achieve economic self-sufficiency; i.e. ROSS grants and 
Youthbuild. Applicants' narrative must indicate the grants they 
received and managed, the grant amounts, and grant terms (years) of the 
grants which they are counting towards past experience. Applicants will 
be evaluated according to the following criteria:
    (a) Achievement of specific measurable outcomes and objectives in 
terms of benefits gained by participating residents. Applicants should 
describe results their programs have obtained, (e.g. higher incomes, 
improved grades, higher rates of employment, increased savings, 
improved literacy, etc.);
    (b) Description of timely grant expenditure throughout the term of 
past grants. Timely means regular drawdowns throughout the life of the 
grant, i.e. quarterly drawdowns, with all funds expended by the end of 
the grant term;
    (c) Description of past leveraging. Applicants must describe how 
they have leveraged funding or in-kind services beyond that which was 
originally proposed to be used for past projects;
    (3) Program Administration and Fiscal Management. (7 Points)
    (a) Program Administration. (4 Points). Applicants should describe 
how they will manage the program; how HUD can be sure that there is 
program accountability; and provide a description of proposed staff's 
roles and responsibilities. Applicants should also describe how grant 
staff, and partners will report to the project coordinator and other 
senior staff.
    (b) Fiscal Management. (3 Points) In rating this factor, 
applicants' skills and experience in fiscal management will be 
evaluated. If applicants have had any audit or material weakness 
findings in the past five years, they will be evaluated on how well 
they have addressed them. Applicants must provide the following:
    (i) A complete description of their fiscal management structure, 
including fiscal controls currently in place including those of a 
Contract Administrator for applicants required to have a Contract 
Administrator (i.e., troubled PHAs);
    (ii) Applicants must list any audit findings in the past five years 
(HUD Inspector General, management review, fiscal, etc.), material 
weaknesses and what has been done to address them;
    (iii) For applicants who are required to have a Contract 
Administrator, describe the skills and experience the Contract 
Administrator has in managing federal funds.
b. Rating Factor 2: Need/Extent of the Problem (20 Points)
    This factor addresses the extent to which there is a need for 
funding an applicant's proposed program. In responding to this factor, 
applicants will be evaluated on the extent to which they describe and 
document the level of need for their proposed activities and the 
urgency for meeting the need.
    Applicants should use statistics and analyses contained in data 
source(s) that are sound and reliable. Data that describes 
socioeconomic conditions at the local level can be found by going to 
the following Web sites: http://www.bls.gov (Bureau of Labor 
Statistics) or http://www.census.gov (US Census). Other types of 
sources include socioeconomic studies or reports conducted by academic, 
State, and local organizations. To the extent possible, the data 
applicants use should be specific to the area where the proposed 
activities will be carried out. Applicants should document needs as 
they apply to the area where activities will be targeted, and not the 
entire region or state.
    In responding to this factor, applicants must include:
    (1) Socioeconomic Profile (5 points). A thorough socioeconomic 
profile of the eligible residents to be served by an applicant's 
program, including education levels, income levels, the number of 
single-parent families, economic statistics for the local area, etc.
    (2) Local Training Program Information (5 points). Information on 
training programs currently available and easily accessible to 
residents either through the PHA or other local or state community 
organizations.
    (3) Local Social Services Information (5 points). Information on 
social service programs currently available and easily accessible to 
residents either through the PHA or other local or state community 
organizations.
    (4) Demonstrated Link Between Proposed Activities and Local Need (5 
points). Applicants' narrative must demonstrate a clear relationship 
between proposed activities, community needs and the purpose of the 
program funding in order for points to be awarded for this factor.
c. Rating Factor 3: Soundness of Approach (25 Points)
    This factor addresses both the quality and cost-effectiveness of 
applicants' proposed business plan. The business plan must indicate a 
clear relationship between proposed activities, the targeted 
population's needs, and the purpose of the program funding. Applicants' 
activities must address HUD's policy priorities outlined in this Rating 
Factor.
    In rating this factor HUD will consider:
    (1) Quality of the Business Plan (13 points). This factor evaluates 
both the applicants' business plan and budget

[[Page 27414]]

which will be evaluated based on the following criteria:
    (a) Specific Services and/or Activities (5 points). Applicants' 
narrative must describe the specific services, course curriculum, and 
activities they plan to offer and who will be responsible for each. In 
addition to the narrative, applicants must also provide a business plan 
which must list the specific services, activities, and outcomes they 
expect. The business plan must show a logical order of activities and 
progress and must tie to the outcomes and outputs applicants identify 
in the Logic Model (see Rating Factor 5). Please see a sample business 
plan in the Appendix (HUD-52766). Applicants' narrative must explain 
how their proposed activities will:
    (i) Involve community partners in the delivery of services; and
    (ii) Offer comprehensive services versus a small range of services 
geared toward enhancing economic opportunities for residents.
    (b) Feasibility and Demonstrable Benefits (4 points). This factor 
examines whether applicants' business plan is logical, feasible and 
likely to achieve its stated purpose during the term of the grant. 
HUD's desire is to fund applications that will quickly produce 
demonstrable results and advance the purposes of the Neighborhood 
Networks program.
    (i) Timeliness. This subfactor evaluates whether applicants' 
business plan demonstrates that their project is ready to be 
implemented shortly after grant award, but not to exceed three months 
following the execution of the grant agreement. The business plan must 
indicate timeframes and deadlines for accomplishing major activities.
    (ii) Description of the problem and solution. The business plan 
will be evaluated based on how well applicants' proposed activities 
address the needs described in Rating Factor 2.
    (c) Budget Appropriateness/Efficient Use of Grant. (4 Points) The 
score in this factor will be based on the following:
    (i) Justification of expenses. Applicants will be evaluated based 
on whether their expenses are reasonable, well-explained, and support 
the objectives of their proposal.
    (ii) Budget Efficiency. Applicants will be evaluated based on 
whether their application requests funds commensurate with the level of 
effort necessary to accomplish their goals and anticipated results.
    (2) Addressing HUD's Policy Priorities (12 points). HUD wants to 
improve the quality of life for those living in distressed communities. 
HUD's grant programs are a vehicle through which long-term, positive 
change can be achieved at the community level. Applicants' narrative 
and business plan will be evaluated based on how well they meet the 
following HUD policy priorities:
    (a) Improving the Quality of Life in Our Nation's Communities (5 
points). In order to receive points in this category, applicants' 
narrative and business plan must indicate the types of activities, 
services, and training programs applicants will offer which can help 
residents successfully transition from welfare to work and earn higher 
wages, or for elderly/disabled residents, to continue to live 
independently.
    (b) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation (5 
points). HUD encourages applicants to partner with grassroots 
organizations, e.g., civic organizations, grassroots faith-based and 
other community-based organizations that are not usually effectively 
utilized. These grassroots organizations have a strong history of 
providing vital community services such as developing first-time 
homeownership programs, creating economic development programs, 
providing job training and other supportive services. In order to 
receive points under this factor, applicants' narrative and business 
plan must describe how applicants will work with these organizations 
and what types of services they will provide.
    (c) Policy Priority for Increasing the Supply of Affordable Housing 
Through the Removal of Regulatory Barriers to Affordable Housing. (up 
to 2 points)
    Under this policy priority, higher rating points are available to 
(1) governmental applicants that are able to demonstrate successful 
efforts in removing regulatory barriers to affordable housing, and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. For applicants 
to obtain the policy priority points for efforts to successfully remove 
regulatory barriers, applicants should complete Form HUD-27300, 
``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers.'' A copy of HUD's Notice entitled America's Affordable 
Communities Initiative, HUD's Initiative on Removal of Regulatory 
Barriers: Announcement of Incentive Criteria on Barrier Removal in 
HUD's 2004 Competitive Funding Allocations'' can be found on HUD's Web 
site at http://www.hud.gov/grants/index.cfm. A description of the 
policy priority and a copy of Form HUD-27300 can be found in the 
General Section to the SuperNOFA. Applicants are encouraged to read the 
Notice as well as the general section of the SuperNOFA to obtain an 
understanding of this policy priority and how it can impact their 
score. A limited number of questions expressly request the applicant to 
provide brief documentation with their response. Other questions 
require that for each affirmative statement made, the applicant must 
supply a reference, URL, or a brief statement indicating where the 
back-up information may be found, and a point of contact, including a 
telephone number or email address.
d. Rating Factor 4: Leveraging Resources (20 Points)
    This factor addresses the applicant's ability to secure community 
resources that can be combined with HUD's grant resources to achieve 
program purposes. Applicants are required to create partnerships with 
organizations that can help achieve their program's goals. PHAs are 
required by section 12(d)(7) of the U.S. Housing Act of 1937 (entitled 
``Cooperation Agreements for Economic Self-Sufficiency Activities'') to 
make best efforts to enter into such agreements with relevant state or 
local agencies. In rating this factor, HUD will look at the extent to 
which applicants partner, coordinate and leverage their services and 
resources with other organizations serving the same or similar 
populations.
    Additionally, applicants must have at least a 25 percent cash or 
in-kind match. The match is a threshold requirement. Joint applicants 
must together have at least a 25 percent match. Applicants who do not 
demonstrate the minimum 25 percent match will fail the threshold 
requirement and will not receive further consideration for funding. 
Leveraging in excess of the 25 percent of the grant amount will receive 
a higher point value. In evaluating this factor HUD will consider the 
extent to which applicants have partnered with other entities to secure 
additional resources which will increase the effectiveness of the 
proposed program activities. The additional resources and services must 
be firmly committed, must support the proposed grant activities and 
must, in combined amount (including in-kind contributions of personnel, 
space and/or equipment, and monetary contributions) equal at least 25 
percent of the grant amount requested in this application. ``Firmly 
committed'' means that the amount of resources and their dedication to 
Neighborhood Networks-funded activities must be explicit, in writing, 
and signed by a person authorized to make the commitment.

[[Page 27415]]

Please see the section on Threshold Requirements for more information.
    Points for this factor will be awarded based on the documented 
evidence of partnerships and firm commitments and the ratio of 
requested Neighborhood Networks funds to the total proposed grant 
budget.
    Points will be assigned based on the following scale:

------------------------------------------------------------------------
          Percentage  of match                    Points awarded
------------------------------------------------------------------------
25.....................................  5 points (with partnerships) 3
                                          points (without partnerships).
26-50..................................  10 points (with partnerships) 8
                                          points (without partnerships).
51-75..................................  15 points (with partnerships)
                                          13 points (without
                                          partnerships).
76-99 or above.........................  20 points (with partnerships)
                                          18 points (without
                                          partnerships).
------------------------------------------------------------------------

e. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    An important element in this year's NOFA is the development and 
reporting of performance measures and outcomes. This factor emphasizes 
HUD's determination to ensure that applicants meet commitments made in 
their applications and grant agreements and that they assess their 
performance so that they realize performance goals. Applicants must 
demonstrate how they propose to measure their success and outcomes as 
they relate to the Department's Strategic Plan. HUD requires NN 
applicants to develop an effective, quantifiable, outcome-oriented plan 
for measuring performance and determining that goals have been met. 
Applicants must use the Logic Model Form (HUD-96010) for this purpose.
    Applicants must establish interim benchmarks, or outputs, for their 
proposed program that lead to the ultimate achievement of outcomes. 
``Outputs'' are the direct products of a program's activities. Examples 
of outputs are: the number of eligible families that participate in 
supportive services, the number of new services provided, the number of 
residents receiving counseling, or the number of households using a 
technology center. Outputs should produce outcomes for your program.
    ``Outcomes'' are benefits accruing to the residents, families and/
or communities during or after participation in the NN program. 
Applicants must clearly identify the outcomes to be achieved and 
measured. Examples of outcomes are: increasing the homeownership rates 
among residents of a development or from a particular housing 
authority, increasing residents' financial stability (e.g. increasing 
assets of a household through savings), or increasing employment 
stability (e.g., whether persons assisted obtain or retain employment 
for one or two years after job training completion). Outcomes are not 
the actual development or delivery of services or program activities.
    This rating factor requires that applicants identify program 
outputs, outcomes, and performance indicators that will allow 
applicants to measure their performance. Performance indicators should 
be objectively quantifiable and measure actual achievements against 
anticipated achievements. Applicants' narrative, business plan, and 
Logic Model should identify what applicants are going to measure, how 
they are going to measure it, and the steps they have in place to make 
adjustments to their business plan and management practices if 
performance targets begin to fall short of established benchmarks and 
timeframes. Applicants' proposal must also show how they will measure 
the performance of partners and affiliates. Applicants must include the 
standards, data sources, and measurement methods they will use to 
measure performance.
    In order to respond to this factor, applicants should use the 
sample performance measures located in the Appendix (HUD-52758) as a 
guide. Applicants will be evaluated based on how comprehensively they 
propose to measure their program's outcomes.

B. Review and Selection Process

    1. Review Process. Four types of reviews will be conducted: a 
screening to determine if you are eligible to apply for funding under 
the Neighborhood Networks category; whether your application submission 
is complete, on time and meets threshold; a review by the field office 
to evaluate past performance; and a technical review to rate your 
application based on the five rating factors provided in this NOFA.
    2. Selection Process: 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. After this ``round,'' HUD will select the second 
highest ranked application in each of the ten federal regions for 
funding (the second round). HUD will continue this process with the 
third, fourth, and so on, highest ranked applications in each federal 
region until the last complete round is selected for funding. If 
available funds exist to fund some but not all eligible applications in 
the next round, HUD will make awards to those remaining applications in 
rank order (by score) regardless of region and will fully fund as many 
as possible with remaining funds. If remaining funds are too small to 
make an award, they will be applied to funding the Fiscal Year 2005 
Neighborhood Networks program, assuming new funding is made available.
    3. Tie Scores. In the event of a tie between two applications, HUD 
will select the application that was received first.
    4. Deficiency Period. Applicants will have fourteen calendar days 
in which to provide missing information requested from HUD. For other 
information on correcting deficient applications, please see the 
General Section of the SuperNOFA.

VI. Award Administration Information

A. Award Notices

    HUD will make announcements of grant awards after the rating and 
ranking process is completed. Grantees will be notified by letter and 
will receive instructions for what steps they must take to access 
funding and begin implementing grant activities.
    Applicants who are not funded will also receive letters via U.S. 
postal mail. Applicants who are not funded may request a debriefing. 
Applicants requesting to be debriefed must send a written request to: 
Iredia Hutchinson, Director, Grants Management Center, 501 School 
Street, SW., Suite 800, Washington, DC 20024. Please refer to the 
General Section of the SuperNOFA for additional information on 
debriefings.

B. Administrative and National Policy Requirements

    1. Applicable Requirements. Grantees are subject to regulations and 
other requirements found in:
    a. 24 CFR part 85 ``Administrative Requirements for Grants and 
Cooperative Agreements to State, Local, and Federally Recognized Indian 
Tribal Governments''.
    b. 24 CFR part 905 ``The Public Housing Capital Fund Program''.
    c. 24 CFR part 968 ``Public Housing Modernization''.
    d. OMB Circular A-87 ``Cost Principles for State, Local, and Indian 
Tribal Governments''.
    e. OMB Circular A-133 ``Audits of States, Local Governments, and 
Non-Profit Organizations''.
    2. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). Section 3 of the Housing and Urban

[[Page 27416]]

Development Act of 1968 applies to the Neighborhood Networks Program. 
For further information see the General Section of the SuperNOFA.
    3. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. For further 
information see the General Section of the SuperNOFA.
    4. Fair Housing and Civil Rights Laws. 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), as applicable. Please see the General Section of the 
SuperNOFA for more information.
    5. Procurement of Recovered Materials. State agencies and agencies 
of a political subdivision of a state that are using assistance under a 
HUD program NOFA for procurement, and any person contracting with such 
an agency with respect to work performed under an assisted contract, 
must comply with the requirements of Section 6002 of the Solid Waste 
Disposal Act, as amended by the Resource Conservation and Recovery Act.
    6. Requirements Applicable to All Programs. Applicants should refer 
to ``Requirements and Procedures Applicable to All Programs'' of the 
General Section of the SuperNOFA for other requirements to which they 
may be subject.

C. Reporting

    1. Semi-Annual Performance Reports. Grantees shall submit semi-
annual performance reports to the local HUD field office. These 
progress reports shall include financial reports (SF-269A) and a 
narrative describing milestones, business plan progress, and problems 
encountered and methods used to address these problems. HUD anticipates 
that some of the reporting of financial status and grant performance 
will be through electronic or Internet-based submissions. Grantees 
shall use quantifiable data to measure performance against goals and 
objectives outlined in their business plan. Applicants that receive 
awards from HUD should be prepared to report on additional measures 
that HUD may designate at time of award. Performance reports are due to 
the field office on July 30 and January 31 of each year. If reports are 
not received by the due date, grant funds will not be advanced until 
reports are received.
    2. Final Report. All grantees shall submit a final report to their 
local field office, which will include a financial report (SF-269A) and 
a narrative evaluating overall performance against their business plan. 
Grantees shall use quantifiable data to measure performance against 
goals and objectives outlined in their business plan. The financial 
report shall contain a summary of all expenditures made from the 
beginning of the grant agreement to the end of the grant agreement and 
shall include any unexpended balances. The final narrative and 
financial report shall be due to the field office 90 days after the 
termination of the grant agreement.
    3. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data. In view of these requirements, applicants should use HUD-
27061, the Racial and Ethnic Data Reporting Form (instructions are 
included), which can be found at http://www.HUDclips.org; a comparable 
form; or a comparable electronic data system for this purpose.
    4. Logic Model. For each reporting period, as part of your required 
report to HUD, you must include a completed Logic Model (Form HUD-
96010), which identifies output and outcome achievements.

VII. Agency Contact(s)

    For questions and technical assistance, applicants may call the 
Public and Indian Housing Information and Resource Center at 800-955-
2232. For the hearing or speech impaired, please call the Federal Relay 
Service at 800-877-8339.

VIII. Other Information

A. Code of Conduct

    See the General Section of the SuperNOFA for more information.

B. Transfer of Funds

    HUD does not have the discretion to transfer funds for the 
Neighborhood Networks category to or from any other grant program.

C. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2577-0229. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average ten hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, semi-annual reports and 
final report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.

D. Appendix of Forms

    The forms specific to the Neighborhood Networks Program follow.
BILLING CODE 4210-32-P

[[Page 27417]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.181


[[Page 27418]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.182


[[Page 27419]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.183


[[Page 27420]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.184


[[Page 27421]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.185


[[Page 27422]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.186


[[Page 27423]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.187


[[Page 27424]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.188


[[Page 27425]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.189


[[Page 27426]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.190


[[Page 27427]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.191


[[Page 27428]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.192


[[Page 27429]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.193


[[Page 27430]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.194


[[Page 27431]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.195


[[Page 27432]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.196


[[Page 27433]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.197


[[Page 27434]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.198


[[Page 27435]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.199


[[Page 27436]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.200


[[Page 27437]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.201


[[Page 27438]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.202


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27439]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.203


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27441]]



Resident Service Delivery Models-Family, Resident Service Delivery 
Models-Elderly/Persons with Disabilities, and Homeownership Supportive 
Services Under the Resident Opportunity and Self-Sufficiency (ROSS) 
Program; Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title: Resident Service Delivery Models-
Family, Resident Service Delivery Models-Elderly/Persons with 
Disabilities, and Homeownership Supportive Services under the Resident 
Opportunity and Self-Sufficiency (ROSS) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is: FR-4900-N-31. The OMB approval number is: 2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 
Resident Opportunity and Self Sufficiency, 14.870.
    F. Dates: Resident Service Delivery Models-Elderly/Persons with 
Disabilities: The application due date is July 1, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    Resident Service Delivery Models-Family: The application due date 
is July 16, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    Homeownership Supportive Services: The application due date is 
August 10, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of Program: The purpose of the Public and Indian Housing 
Resident Opportunity and Self Sufficiency (ROSS) program is to provide 
grants to public housing agencies (PHAs), tribes/tribally designated 
housing entities (TDHEs), Resident Associations (RAs), and nonprofit 
organizations, including grassroots, faith-based and other community-
based organizations for the delivery and coordination of supportive 
services and other activities designed to help public and Indian 
housing residents attain economic self-sufficiency and elderly 
residents and residents with disabilities continue to live 
independently.
    2. Funding Available: A total of approximately $56.6 million is 
available for ROSS in Fiscal Year 2004. This includes $54.6 million in 
FY2004 funding and approximately $2 million in carryover funding. Of 
this amount, approximately $16 million is available for the Public 
Housing Family Self-Sufficiency program, which is announced in a 
separate NOFA under this SuperNOFA.
    3. Award Amounts: Awards, depending on the grant category, unit 
count and type of grantee, will range from $125,000 to $1,000,000. 
Please see each program description for more specific information about 
funding amounts.
    4. Eligible Applicants. Eligible applicants are PHAs; tribes/TDHEs; 
nonprofit organizations including grassroots, faith-based and other 
community-based organizations that have resident support or the support 
of tribes; RAs; resident councils (RCs); resident organizations (ROs); 
City-Wide Resident Organizations (CWROs); Intermediary Resident 
Organizations (IROs); Jurisdiction-Wide Resident Organizations; 
Regional Resident Organizations; Resident Management Corporations 
(RMCs); Site-Based Resident Organizations; Statewide Resident 
Organizations (SRO); and Tribal/TDHE resident groups. The term 
``resident association'' or ``RA'' will be used to refer to all types 
of eligible resident organizations. Please see the section on 
``Definition of Terms'' for a complete definition of each type of 
eligible resident organization.
    Resident Associations are not eligible for the Homeownership 
Supportive Services program.
    See each program for more specific eligibility information.
    5. Cost Sharing/Match Requirement: At least 25 percent of the 
requested grant amount is required as a match. The match may be in cash 
and/or in-kind donations. The match is a threshold requirement.
    6. Grant term. The grant term for each funding category is three 
years from the execution date of the grant agreement.

----------------------------------------------------------------------------------------------------------------
           Grant program                  Total funding        Eligible applicants       Maximum grant amount
----------------------------------------------------------------------------------------------------------------
Resident Service Delivery Models--   $16 million...........  PHAs..................  $250,000 for PHAs with 1-
 Family.                                                                              780 units.
                                                                                     $350,000 for PHAs with 781-
                                                                                      2,500 units.
                                                                                     $500,000 for PHAs with
                                                                                      2,501-7,300 units.
                                                                                     $1,000,000 for PHAs with
                                                                                      more than 7,301 units.
                                                             Resident Associations.  $125,000.
                                                             Non-profit entities...  $125,000 per RA; Maximum
                                                                                      award is $375,000.
                                                             Tribes/TDHEs..........  $250,000 for Tribes with 1-
                                                                                      780 units.
                                                                                     $350,000 for Tribes with
                                                                                      781-2,500 units.
                                                                                     $500,000 for Tribes with
                                                                                      2,501-7,300 units.
                                                                                     $1,000,000 for Tribes with
                                                                                      more than 7,301 units.
Resident Service Delivery Models--   $11.4 million.........  PHAs..................  $200,000 for PHAs with 1-
 Elderly and Persons with                                                             217 units.
 Disabilities.                                                                       $300,000 for PHAs with 218-
                                                                                      1,155 units.
                                                                                     $400,000 for PHAs with over
                                                                                      1,156 units.
                                                             Resident Associations.  $125,000.
                                                             Non-profit entities...  $125,000 per RA; Maximum
                                                                                      award is $375,000.
                                                             Tribes/TDHEs..........  $200,000 for Tribes with 1-
                                                                                      217 units.
                                                                                     $300,000 for Tribes with
                                                                                      218-1,155 units.
                                                                                     $400,000 for Tribes with
                                                                                      over 1,156 units.
Homeownership Supportive Services..  $13.2 million.........  PHAs..................  $250,000 for PHAs with 1-
                                                                                      780 units.
                                                                                     $350,000 for PHAs with 781-
                                                                                      2,500 units.
                                                                                     $500,000 for PHAs with
                                                                                      2,501-7,300 units.
                                                                                     $1,000,000 for PHAs with
                                                                                      more than 7,301 units.
                                                             Non-profit entities...  $125,000 per RA; Maximum
                                                                                      award is $375,000.
                                                             Tribes/TDHEs..........  $250,000 for Tribes with 1-
                                                                                      780 units.
                                                                                     $350,000 for Tribes with
                                                                                      781-2,500 units.
                                                                                     $500,000 for Tribes with
                                                                                      2,501-7,300 units.
                                                                                     $1,000,000 for Tribes with
                                                                                      more than 7,301 units.
----------------------------------------------------------------------------------------------------------------


[[Page 27442]]

Full Text of Announcement

I. Funding Opportunity Description

A. Resident Services Delivery Models-Family (RSDM-Family)

    The purpose is to provide funding to assist PHAs, tribes/TDHEs, 
RAs, nonprofit organizations including grassroots, faith-based or other 
community-based organizations create programs which will help residents 
achieve economic self-sufficiency. Applicants must submit proposals 
that will: Provide job training; expand educational opportunities for 
residents; promote economic self-sufficiency; provide access to the 
Internet and computer technology, and meet other needs and interests of 
residents.

B. Resident Services Delivery Models-Elderly/Persons with Disabilities 
(RSDM-Elderly)

    This category is intended to provide PHAs, Indian tribes/TDHEs, 
RAs, and nonprofit organizations with the resources to provide and 
coordinate supportive services that will help elderly and/or disabled 
Public and Indian Housing residents continue to live independently.

C. Homeownership Supportive Services (HSS)

    The HSS category provides funds for PHAs, tribes/TDHEs, and 
qualified nonprofit organizations to deliver homeownership training, 
counseling and supportive services for residents of Public and Indian 
housing who are participating or have participated in self-sufficiency 
programs, such as ROSS, Public Housing Family Self-Sufficiency (FSS) or 
other Federal, State, or local self-sufficiency programs. HSS is 
designed to enhance other self-sufficiency efforts by providing public 
housing residents with the necessary preparation and supportive 
services they need in order to move from rental housing to 
homeownership. PHAs, tribes/TDHEs, and nonprofit organizations 
specializing in homeownership training and counseling are eligible to 
apply. Resident participants in any HSS funding activity cannot be 
public housing residents and section 8 voucher holders concurrently.

D. Definition of Terms

    1. City-Wide Resident Organization consists of members from 
Resident Councils, Resident Management Corporations, and Resident 
Organizations who reside in public housing developments that are owned 
and operated by the same PHA within a city.
    2. Community Facility means a non-dwelling structure that provides 
space for multiple supportive services for the benefit of public or 
Indian housing residents and others eligible for the services provided. 
Supportive services may include but are not limited to:
    a. Job-training;
    b. After-school activities for youth;
    c. Neighborhood Networks (formerly Twenty/20 Education Communities 
(TECs), Campus of Learners activities);
    d. English as a Second Language (ESL) classes; and
    e. Child care.
    3. Contract Administrator means an overall grant administrator or a 
financial management agent (or both) that oversees the implementation 
of the grant and/or the financial aspects of the grant. (See the 
``Program Requirements'' and ``Threshold Requirements'' sections for 
more information.)
    4. Elderly person means a person who is at least 62 years of age.
    5. Jurisdiction-Wide Resident Organization means an incorporated 
nonprofit organization or association that meets the following 
requirements:
    a. Most of its activities are conducted within the jurisdiction of 
a single housing authority;
    b. There are no incorporated resident councils or resident 
management corporations within the jurisdiction of the single housing 
authority;
    c. It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    d. Public housing residents representing unincorporated resident 
councils within the jurisdiction of the single housing authority must 
comprise a majority of the board of directors.
    6. Tribally Designated Housing Entity (TDHE) is an entity 
authorized or established by one or more Indian tribe to act on behalf 
of each such tribe authorizing or establishing the housing entity.
    7. Indian Tribe means any tribe, band, nation, or other organized 
group of a community of Indians, including any Alaska native village, 
regional, or village corporation as defined in or established pursuant 
to the Alaska Native Claims Settlement Act, and 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.
    8. Intermediary Resident Organizations means jurisdiction-wide 
resident organizations, city-wide resident organizations, statewide 
resident organizations, regional resident organizations, and national 
resident organizations.
    9. NAHASDA-assisted resident means a resident of a tribe (as 
defined above) who has been assisted by the Native American Housing 
Assistance and Self-Determination Act (NAHASDA) of 1996.
    10. National Resident Organization (NRO) is an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. It is national (i.e., conducts activities or provides services 
in at least two HUD areas or two states);
    b. It has the capacity to provide start-up and capacity-building 
training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the country are members of the board of directors.
    11. Nonprofit organization is an organization that is exempt from 
federal taxation. A nonprofit organization can be organized for the 
following purposes: charitable, religious, educational, scientific, or 
other similar purposes in the public interest. In order to qualify, an 
organization must be a corporation, community chest, fund, or 
foundation. An individual or partnership will not qualify. To obtain 
nonprofit status, qualified organizations must file an application with 
the Internal Revenue Service (IRS) and receive designation as such by 
the IRS. For more information, go to http://www.irs.gov. Applicants who 
are in the process of applying for nonprofit status, but have not yet 
received nonprofit designation from the IRS, will not be considered 
nonprofit organizations. All nonprofit applicants must submit their IRS 
determination letter to prove their 501(c)(3) status. Please see the 
section on ``Threshold Requirements'' for more information. Nonprofit 
applicants must also provide letters of support as described in the 
``Threshold Requirements'' section.
    12. National nonprofit organizations work on a national basis and 
have the capacity to mobilize resources on both a national and local 
level. All nonprofit applicants must submit their IRS determination 
letter to prove their 501(c)(3) status. National nonprofit applicants 
must also provide letters of support as outlined in the ``Threshold 
Requirements'' section.
    13. Past Performance is a threshold requirement. Using Rating 
Factor 1, HUD's field offices will evaluate applicants for past 
performance to determine whether an applicant has the capacity to 
manage the grant for which they are applying. The area Office of Native 
American Programs (ONAP) will

[[Page 27443]]

review past performance for tribal/TDHE submissions. Field offices will 
evaluate the past performance of contract administrators for applicants 
required to have a contract administrator.
    14. Person with disabilities means a person who:
    a. Has a condition defined as a disability in section 223 of the 
Social Security Act;
    b. Has a developmental disability as defined in section 102 of the 
Developmental Disabilities Assistance Bill of Rights Act; or
    c. Is determined to have a physical, mental, or emotional 
impairment which:
    (1) Is expected to be of long-continued and indefinite duration;
    (2) Substantially impedes his or her ability to live independently; 
and
    (3) 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 acquired immunodeficiency syndrome (HIV/AIDS) or any conditions 
arising from the etiologic agent for AIDS. In addition, no individual 
shall be considered a person with disabilities, for purposes of 
eligibility for low-income housing, solely on the basis of any drug or 
alcohol dependence.
    The definition provided above for persons with disabilities is the 
proper definition for determining program qualifications. However, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must be 
used for purposes of reasonable accommodations.
    15. Project Coordinator is a person who is responsible for 
coordinating the grantee's approved activities to ensure that grant 
goals and objectives are met. A qualified project coordinator is 
someone with at least two years of experience working on supportive 
services designed specifically for typically underserved populations. 
The project coordinator and grantees are responsible for ensuring that 
all federal requirements are followed.
    16. 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). The NOFA will 
use ``Resident Association'' or ``RA'' to refer to all eligible types 
of resident organizations. See 24 CFR 964.115 for more information.
    17. Regional Resident Organization (RRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    a. The RRO is regional (i.e., not limited by HUD Areas);
    b. The RRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the region must comprise the majority of the board of 
directors.
    18. Resident Management Corporation (RMC) means an entity that 
proposes to enter into, or enters into a contract to conduct one or 
more management activities of a PHA and meets the requirements of 24 
CFR 964.120.
    19. Resident Organization (RO) for tribal entities means an 
incorporated or unincorporated nonprofit tribal organization or 
association that meets each of the following criteria:
    a. It shall consist of residents only, and only residents may vote;
    b. If it represents residents in more than one development or in 
all of the developments of the tribal/TDHE community, it shall fairly 
represent residents from each development that it represents;
    c. It shall adopt written procedures providing for the election of 
specific officers on a regular basis; and
    d. It shall have democratically elected governing board. The voting 
membership of the board shall consist solely of the residents of the 
development or developments that the tribal RO represents.
    20. Secretary means the Secretary of Housing and Urban Development.
    21. Site-Based Resident Associations means resident councils or 
resident management corporations representing a specific public housing 
development.
    22. Statewide Resident Organization (SRO) is an incorporated 
nonprofit organization or association for public housing that meets the 
following requirements:
    a. The SRO is statewide;
    b. The SRO has experience in providing start-up and capacity-
building training to residents and resident organizations; and
    c. Public housing residents representing different geographical 
locations in the state must comprise the majority of the Board of 
Directors.
    23. Tribal/TDHE Resident Group means tribal/TDHE resident groups 
that are democratically elected groups such as IHA-wide resident 
groups, area-wide resident groups, single development groups, or 
resident management corporations (RMCs).

E. Regulations Governing the ROSS Grant

    Resident Service Delivery Models-Family, Resident Service Delivery 
Models-Elderly/Persons with Disabilities, and Homeownership Supportive 
Services are governed by 24 CFR part 964.

II. Award Information

A. Information for All Grant Categories and All Applicants

    1. Grant Period: Three years. The grant period shall begin the day 
the grant agreement and the form HUD-1044, ``Assistance Award/
Amendment'' are signed by both the grantee and HUD.
    2. Grant Extensions. Requests to extend the grant term beyond the 
originally established grant term must be submitted in writing by the 
grantee to the local HUD field office or area ONAP. Such requests must 
be done prior to grant termination and with enough notice to give the 
field office or area ONAP a reasonable amount of time to fully evaluate 
the request. Requests must explain why the extension is necessary, what 
work remains to be completed, and what work and progress was 
accomplished to date.
    3. Type of Award: Grant agreement.
    4. Subcontracting: Subcontracting is permitted. Grantees must 
follow federal procurement regulations found in HUD regulations at 24 
CFR 84.40-84.48 and 24 CFR 85.36.

B. Resident Services Delivery Models-Family

    1. Total Funding: The Department expects to award $16 million under 
this category. Awards will be made as follows:
    a. PHAs must use the number of occupied conventional family public 
housing units as of September 30, 2003, per their budget to determine 
the maximum grant amount they are eligible for in accordance with the 
categories listed below. PHAs should clearly indicate on the Fact Sheet 
the number of units under management.

------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-780 units................................................     $250,000
781-2,500 units............................................      350,000
2501-7,300 units...........................................      500,000
7,301 or more units........................................    1,000,000
------------------------------------------------------------------------

    b. The maximum grant award is $125,000 for each RA.

[[Page 27444]]

    c. Nonprofit organizations that have resident support or the 
support of tribes or RAs are limited to $125,000 for each RA. A 
nonprofit organization may submit a single application for no more than 
three different RAs from the same PHA for a maximum grant award of 
$375,000. Nonprofit organizations may submit more than one application 
provided they target residents of distinct PHAs or tribes/TDHEs. In 
cases where nonprofit applicants are not able to obtain support from 
RAs, they may alternatively obtain letters of support from PHAs, 
Resident Advisory Boards (RABs), local civic organizations, or units of 
local government.

    Note: All nonprofit applicants that do not include letters of 
support from RAs must include a letter of support from PHAs or 
tribes/TDHEs (please see Threshold Requirements for more 
information).

    Funding for nonprofit applicants that do not receive letters of 
support from RAs will be determined as follows (support letters from 
PHAs must indicate the developments to be served by the nonprofit 
organization as well as the number of occupied conventional family 
public housing units in those developments):

------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-2,500 units..............................................     $125,000
2501-7,300 units...........................................      250,000
7,301 or more units........................................      375,000
------------------------------------------------------------------------

    d. Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for Fiscal Year 2003 as defined in 24 CFR 
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within 
each category in (a) above. Tribes that have not previously received 
funds from the Department under the U.S. Housing Act of 1937 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, 
2003, for family units. Tribes should clearly indicate the number of 
units under management on the Fact Sheet.

C. Resident Services Delivery Models-Elderly/Persons with Disabilities

    1. Total Funding: The Department expects to award $11,400,000 under 
this category. Awards will be made as follows:
    a. PHAs must use the number of occupied elderly and disabled 
conventional public housing units as of September 30, 2003, per their 
budget to determine the maximum grant amount they are eligible for in 
accordance with the categories listed below. PHAs should clearly 
indicate the number of units under management on the Fact Sheet.

------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-217 units................................................     $200,000
218-1,155 units............................................      300,000
1,156 or more units........................................      400,000
------------------------------------------------------------------------

    b. The maximum grant award is $125,000 for each RA.
    c. Nonprofit organizations that have resident support or the 
support of tribes or RAs are limited to $125,000 for each RA. A 
nonprofit organization may submit a single application for no more than 
three different RAs from the same PHA for a maximum grant award of 
$375,000. Nonprofit organizations may submit more than one application 
provided they target residents of distinct PHAs or tribes/TDHEs. In 
cases where nonprofit applicants are not able to obtain support from 
RAs, they may alternatively obtain letters of support from PHAs, 
Resident Advisory Boards (RABs), local civic organizations, or units of 
local government.

    Note: All nonprofit applicants that do not include letters of 
support from RAs must include a letter of support from PHAs or 
tribes/TDHEs (please see Threshold Requirements for more 
information).

    Funding for nonprofit applicants that do not receive letters of 
support from RAs will be determined as follows (support letters from 
PHAs must indicate the developments to be served by the nonprofit 
organization as well as the number of occupied conventional elderly/
disabled public housing units in those developments):

------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-217 units................................................     $125,000
218-1,155 units............................................      250,000
1,156 or more units........................................      375,000
------------------------------------------------------------------------

    d. Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for Fiscal Year 2003 as defined in 24 CFR 
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within 
each category in (a) above. Tribes that 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, 2003, 
for elderly/disabled units. Tribes should clearly indicate the number 
of units under management on the Fact Sheet.

D. Homeownership Supportive Services

    1. Total Funding: The Department expects to award $13,200,000 under 
this category. Awards will be made as follows:
    a. PHAs must use the number of occupied conventional family public 
housing units as of September 30, 2003, per their budget to determine 
the maximum grant amount they are eligible for in accordance with the 
categories listed below. PHAs should clearly indicate the number of 
units under management on the Fact Sheet.

------------------------------------------------------------------------
                                                               Maximum
               Number of conventional units x                  funding
------------------------------------------------------------------------
1-780 units................................................     $250,000
781-2,500 units............................................      350,000
2,501-7,300 units..........................................      500,000
7,301 or more units........................................    1,000,000
------------------------------------------------------------------------

    b. Nonprofit organizations that have resident support or the 
support of tribes or RAs are limited to $125,000 for each RA. A 
nonprofit organization may submit a single application for no more than 
three different RAs from the same PHA for a maximum grant award of 
$375,000. Nonprofit organizations may submit more than one application 
provided they target residents of distinct PHAs or tribes/TDHEs. In 
cases where nonprofit applicants are not able to obtain support from 
RAs, they may alternatively obtain letters of support from PHAs, 
Resident Advisory Boards (RABs), local civic organizations, or units of 
local government. NOTE: All nonprofit applicants that do not include 
letters of support from RAs must include a letter of support from PHAs 
or tribes/TDHEs (please see Threshold Requirements for more 
information).
    Funding for nonprofit applicants that do not receive letters of 
support from RAs will be determined as follows (support letters from 
PHAs must indicate the developments to be served by the nonprofit as 
well as the number of occupied conventional family public housing units 
in those developments):

------------------------------------------------------------------------
                                                               Maximum
                Number of conventional units                   funding
------------------------------------------------------------------------
1-2,500 units..............................................     $125,000
2,501-7,300 units..........................................      250,000
7,301 or more units........................................      375,000
------------------------------------------------------------------------

RAs are not eligible to apply for funding under the HSS category.
    c. Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for Fiscal Year 2003 as defined in 24 CFR 
1000.316. Tribes/TDHEs are eligible for the same amounts as PHAs within 
each category in (a) above. Tribes that have not

[[Page 27445]]

previously received funds from the Department under the U.S. Housing 
Act of 1937 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, 2003, for family units. Tribes should clearly 
indicate the number of units under management on the Fact Sheet.

III. Eligibility Information

A. Eligible Applicants

    1. RSDM-Family: This funding category provides grants to PHAs, 
tribes/TDHEs, RAs, and nonprofit organizations supported by resident 
organizations or tribes/TDHEs.
    2. RSDM-Elderly/Persons with Disabilities: This funding category 
provides grants to PHAs, tribes/TDHEs, RAs, and nonprofit organizations 
supported by resident organizations or tribes/TDHEs. PHAs that are 
recipients of the Elderly/Disabled renewal Service Coordinator grant 
are not eligible to apply for this ROSS funding category.
    3. Homeownership Supportive Services: This funding category 
provides grants to PHAs, tribes/TDHEs and qualified nonprofit 
organizations that have resident support. Resident Associations are not 
eligible to apply for funding under this category.

B. Cost Sharing or Matching

    Information for All Grant Categories and All Applicants: The match 
is a threshold requirement. Applicants who do not demonstrate the 
minimum 25 percent match will fail the threshold requirement and will 
not receive further consideration for funding. Please see the section 
below on threshold requirements for more information on what is 
required for the match.

C. Other

    1. Eligible Activities: a. RSDM-Family: HUD is looking for 
applications that implement comprehensive programs within the three 
year grant term which will result in improved economic self-sufficiency 
for Public and Indian housing residents. HUD is looking for proposals 
that involve partnerships with organizations that will enhance 
grantees' ability to provide educational programs, housing counseling, 
including fair housing counseling, job training and other supportive 
services for residents. All applicants must complete a work plan (see 
sample, HUD-52764, provided in the Appendix ``ROSS Forms'') covering 
the three-year grant term.
    The eligible activities are listed in four categories, from basic 
to advanced: Life-Skills Training, Job Training, Job Search and 
Placement Assistance; Post Employment Follow-up; and finally, 
Activities to Support Career Advancement and Long-term Economic Self-
Sufficiency. Applicants are not limited to choosing one category of 
activity, but rather should design their programs to address the 
specific needs of the population they are targeting. Applicants are 
encouraged to pull from all categories and activities listed. Funds may 
be used for the activities described below.
    (1) Hiring of a qualified project coordinator to run the grant 
program. A qualified project coordinator must have at least two years 
of experience working on supportive services programs designed for 
typically underserved populations. The project coordinator should be 
hired for the entire three-year term of the grant. The project 
coordinator should be responsible for:
    (a) Marketing the program to residents;
    (b) Assessing participating residents' skills and job-readiness;
    (c) Assessing participating residents' needs for supportive 
services, e.g., child care, transportation costs, etc.
    (d) Assisting a tribe or TDHE to create a resident group to promote 
self-sufficiency efforts on the reservation;
    (e) Designing and coordinating grant activities based on residents' 
needs and the local labor market; and
    (f) Monitoring the progress of program participants and evaluating 
the overall success of the program. A portion of grant funds should be 
reserved to ensure that evaluations can be completed for all 
participants who received training through this program. For more 
information on how to measure performance, please see Rating Factor 5 
in the ``Application Review Information'' section of this NOFA.
    (2) Life-skills Training (for Youth and Adults). Applicants' 
proposals can cover the following types of activities:
    (a) Credit. The importance of having good credit and how to 
maintain good credit.
    (b) Banking and Money Management. How to open a bank account; 
balance a checkbook; create a weekly spending budget and establish 
contingency plans for child care and transportation, etc.
    (c) Real Life Issues. Information on tax forms; voter registration; 
leases; car insurance; health insurance; long-term care insurance; etc.
    (d) Literacy training and GED preparation.
    (e) College preparatory courses and information.
    (f) Goal setting.
    (g) Mentoring
    (h) Hiring residents to help with the implementation of this grant 
program. NOTE: Stipends and salaries serve different purposes. Resident 
salaries can only be used to hire residents to help grant program staff 
with the implementation of grant activities.
    (3) Job Training, Job Search and Placement Assistance. Eligible 
activities include:
    (a) Skills Assessment of participating residents.
    (b) Applying for a job. How to complete employment forms; 
highlighting skills employers are looking for; researching job 
opportunities in the area; calculating net wages.
    (c) Soft skills training including problem solving and other 
cognitive skills; oral and written communication skills; workplace 
norms (appropriate dress, punctuality, respectful communication, etc.), 
work ethic; interpersonal and teamwork skills.
    (d) Creating job training and placement programs.
    (e) Resume writing.
    (f) Interviewing techniques.
    (g) Employer linkage and job placement. Working with local 
employers and job placement providers to design and offer training that 
addresses local employers' needs, create a job placement program that 
refers trained residents to participating employers and other local 
area employers.
    (h) Career advancement and planning programs. Such programs should 
be designed to:
    (i) Help residents identify a career goal and a timeline for 
achieving it;
    (ii) Provide strategies such as finding a strong professional 
mentor within an organization residents may be working for and focusing 
on the organization's priorities.
    (iii) Reinforce welfare-to-work programs and focus efforts on 
increasing residents' earning capacity. Activities can include job 
counseling, helping residents secure better paying jobs or jobs in 
better work environments, preparing for work in a new job category, 
obtaining additional job skills and other job-related or educational 
training.
    (iv) Working with local employers, to create opportunities that 
combine education and skills training with jobs. Strategies that 
promote work-based learning can offer the most effective method for 
giving new workers the tools they need to move on to a career ladder 
and achieve upward mobility.
    (4) Post-employment follow-up. After placing residents in jobs, 
providing follow-up and ongoing support to newly

[[Page 27446]]

hired residents can have a significant positive impact on long-term job 
retention.
    (5) Activities to Support Career Advancement and Long-term Economic 
Self-Sufficiency.
    (a) Individual Savings Accounts (ISAs). Applicants may create 
programs that encourage residents to save and contribute to match 
savings accounts such as Individual Development Accounts (IDAs). The 
programs should include financial counseling and education activities. 
ISAs may only be used for three purposes: (1) To purchase a first home 
that is existing or under construction when the purchase contract is 
signed; (2) to receive post-secondary education or training; or (3) to 
start a local business (other than acquiring, leasing, constructing, or 
rehabilitating real property in connection with the business). 
Applicants are encouraged to leverage RSDM funds by working with local 
financial organizations, which can also contribute to residents' ISAs. 
FSS escrow accounts may not be used as a match for RSDM-funded ISAs. 
Grantees shall consult the Internal Revenue Service regarding possible 
tax consequences of the ISAs to participating residents.
    (b) Housing Counseling. This can include information to help 
residents move to market rate rental housing and/or ``pre-purchase'' 
homeownership counseling and training. This may include training on 
such subjects as credit and financial management; credit repair; 
housing search; how to finance the purchase of a home; fair housing; 
Individual Savings Accounts, Real Estate Settlement Procedures Act 
(RESPA); and home maintenance.
    (6) Stipends. Stipends are an eligible use of grant funds. Stipends 
may be used for reasonable out-of-pocket costs. Stipends may be used to 
reimburse such things as local transportation to and from job training 
and job interviews, supplemental educational materials, and child care 
expenses. Stipends must be tied to residents' successful performance 
and regular attendance.
    (7) Hiring of Residents. Grant funds may also be used to hire a 
resident(s) as program staff.
    (8) Supportive Services.
    (a) After school programs for school-age children to include 
tutoring, remedial training, educational programming using computers.
    (b) Provision of information on the Earned Income Tax Credit 
Program, Food Stamps, Child Tax Credit Program, Medicaid, the State 
Child Health Insurance Program (S-CHIP), Student Loan Interest 
Deduction, tribal welfare programs, and other benefit programs that can 
assist individuals and families make a successful transition from 
welfare to work.
    (c) Transportation costs as necessary to enable participating 
families to receive services or commute to training or employment.
    (d) Child-care provision for ROSS-RSDM-Family program participants.
    (e) Parenting courses.
    (f) Nutrition courses.
    (g) Healthcare information and services including referrals to 
mental health providers, alcohol and other drug abuse treatment 
programs.
    (h) English as a second language (ESL) classes.
    (i) Creating and maintaining linkages to local social service 
agencies, such as employment agencies, health departments, 
transportation agencies, economic/community development agencies, 
community colleges, recreational and cultural services, and other 
community organizations such as Boys & Girls Clubs, 4H-Clubs, Boy 
Scouts, Girl Scouts, etc.
    b. RSDM-Elderly/Persons with Disabilities: HUD is looking for 
applications that implement comprehensive programs within the three-
year grant term, which will result in improved living conditions for 
the elderly/persons with disabilities population. HUD is also looking 
for proposals that involve partnerships with organizations that will 
help grantees provide enhanced services to the elderly/persons with 
disabilities they will serve. All applicants must complete a work plan 
(see sample provided in the Appendix ``ROSS Forms'') covering the 
three-year grant term.
    Proposed grant activities should build on the foundation created by 
previous ROSS grants or other federal, state, and local efforts to 
assist this population. Eligible activities include the following:
    (1) Hiring of a qualified project coordinator to run the grant 
program. A qualified project coordinator must have at least two years 
of experience working on supportive services programs designed for 
elderly and/or disabled people. The project coordinator will be 
responsible for:
    (a) Assessing participating residents' needs for supportive 
services (e.g. Medicaid, Medicare, physician care, food stamps, 
rehabilitation services, veterans disability, state-funded programs 
such as nurse case management, housekeeping, Meals-on-Wheels; 
transportation etc.);
    (b) Designing and coordinating grant activities based on residents' 
needs;
    (c) Monitoring the progress of program participants and evaluating 
the overall success of the program. A portion of grant funds should be 
reserved to ensure that evaluations can be completed for all 
participants who received assistance through this program. For more 
information on how to measure performance, please see Rating Factor 5 
in the ``Application Review Information'' section of this NOFA.
    (2) Coordination and set up of meal services;
    (3) Coordination and set-up of transportation services;
    (4) Wellness programs including, health and nutrition programs, 
preventive health education, referral to rehabilitation services, and 
services for the disabled and other community resources;
    (5) Personal emergency response;
    (6) Congregate services--includes supportive services that are 
provided in a congregate setting at a conventional public housing 
development; and
    (7) Case management.
    c. Homeownership Supportive Services: HUD is looking for 
applications that implement comprehensive programs within the three 
year grant term which will result in increased rates of homeownership 
for residents of Public and Indian housing. Applicants should create 
linkages with HUD homeownership programs such as: the Housing Choice 
Voucher Homeownership Program, the PHA Homeownership Program also known 
as Section 32 (formerly the Section 5(h) Homeownership Program) and 
homeownership programs and resources offered by other organizations or 
state or local homeownership programs.
    Tribes/TDHEs should create linkages with programs such as the 
Mutual Help Homeownership Opportunity Program, the Section 184 Program, 
and homeownership programs developed under the Indian Housing Block 
Grant Program such as mortgage assistance.
    All applicants must complete a work plan (see sample provided in 
the Appendix ``ROSS Forms'') covering the three-year grant term.
    HUD is also looking for proposals that involve partnerships with 
organizations that will enhance the services grantees will offer. 
Applicants are strongly encouraged to partner with HUD-approved housing 
counseling agencies. For a list of HUD-approved housing counseling 
agencies, go to: http://www.hud.gov/offices/hsg/sfh/hcc/hccprof14.cfm. 
Applicants' programs should build on the foundation created by previous 
ROSS grants, or other state and local self-sufficiency efforts in which 
their target population may have participated.

[[Page 27447]]

    Under this funding category, applicants must develop homeownership 
training programs and supportive services based on needs assessments of 
the residents they intend to serve. NOTE: any applicant that proposes 
an ineligible activity will not be funded. Eligible activities include 
the following:
    Eligible activities include, but are not limited to:
    (1) Hiring of a qualified project coordinator to run the grant 
program. A qualified project coordinator must have at least two years 
of experience working on homeownership and supportive services programs 
designed for typically underserved populations. The project coordinator 
should be responsible for:
    (a) Assessing participating residents' needs;
    (b) Designing and coordinating grant activities based on residents' 
needs;
    (c) Monitoring the progress of program participants and evaluating 
the overall success of the program. A portion of grant funds should be 
reserved to ensure that evaluations can be completed for all 
participants who received assistance through this program. For more 
information on how to measure performance, please see Rating Factor 5 
in the ``Application Review Information'' section of this NOFA.
    (2) Training to include:
    (a) Asset building;
    (b) Credit counseling and credit scoring;
    (c) Financial literacy and management;
    (d) Selecting a real estate broker;
    (e) Choosing a lender;
    (f) Appraisals;
    (g) Home inspections;
    (h) Avoiding delinquency and predatory lending;
    (i) Foreclosure prevention;
    (j) Home maintenance and financial management for first-time 
homeowners;
    (k) Real Estate Settlement Procedures Act (RESPA); and
    (l) Fair Housing Counseling.
    (3) Individual Savings Accounts (ISAs). You may create programs 
that encourage residents to save and contribute to match savings 
accounts such as Individual Development Accounts (IDAs). ISAs may be 
used only for (a) escrow accounts, (b) down payment assistance and (c) 
closing costs to assist the resident to purchase an existing dwelling 
unit or a dwelling unit under construction. You are encouraged to 
leverage HSS funds by working with local financial organizations, which 
can also contribute to residents' ISAs. FSS escrow accounts may not be 
used as a match for HSS-funded ISAs. FSS residents are not eligible to 
participate in the ISA provision.
    2. Threshold Requirements. The criteria below apply to all grant 
categories and all applicants unless otherwise indicated:
    Applicants must respond to each threshold requirement clearly and 
thoroughly by following the instructions below. If your application 
fails one threshold requirement (regardless of the type of threshold) 
it will be considered a failed application and will not receive 
consideration for funding.
    a. Match. All applicants are required to have in place a firmly 
committed 25 percent match in cash or in-kind donations as defined in 
this NOFA. Joint applicants must together have at least a 25 percent 
match. Applicants who do not demonstrate the minimum 25 percent match 
will fail this threshold requirement and will not receive further 
consideration for funding. If you are applying for more than one ROSS 
grant, you must use different sources of match donations for each grant 
application and you must indicate which additional ROSS grant(s) you 
are applying for by attaching an additional page to HUD budget form 
424-CBW stating the sources and amounts of each of your match 
contributions for this application as well as any other HUD programs to 
which you are applying. Match donations must be firmly committed which 
means that the amount of match resources and their dedication to ROSS-
funded activities must be explicit, in writing, and signed by a person 
authorized to make the commitment. Letters of commitment, memoranda of 
understanding (MOU), or tribal resolution must be on organization 
letterhead, and signed by a person authorized to make the stated 
commitment whether it be in cash or in-kind services. The letters of 
commitment/MOUs/tribal resolutions must indicate the total dollar value 
of the commitment and be dated within two months of the application 
deadline, and indicate how the commitment will relate to the proposed 
program. The commitment should be available at time of award. 
Applicants proposing to use their own, non-ROSS grant funds to meet the 
match requirement in whole or in part, must also include a letter of 
commitment indicating the type of match (cash or in-kind) and how the 
match will be used.
    Leveraging in excess of the 25 percent of the grant amount will 
receive a higher point value.
    (1) Volunteer time and services shall be computed by using the 
normal professional rate for the local area or the national minimum 
wage rate of $5.15 per hour (Note: applicants may not count their staff 
time toward the match);
    (2) In order for HUD to determine the value of any donated 
material, equipment, staff time, building, or lease, your application 
must provide a letter from the organization making the donation stating 
the value of the contribution.
    (3) Other resources/services that can be committed include: in-kind 
services such as contributions of administrative services provided to 
the applicant; funds from federal sources (not including ROSS funds) as 
allowed by statute, including for example Community Development Block 
Grant (CDBG); funds from any state or local government sources; and 
funds from private contributions. Applicants may also partner with 
other program funding recipients to coordinate the use of resources in 
the target area.
    b. Past Performance. HUD's field offices will evaluate data 
provided by applicants as well as applicants' past performance to 
determine whether applicants have the capacity to manage the grant for 
which they are applying. The area Offices of Native American Programs 
(ONAP) will review past performance for tribal and TDHE submissions. 
Field offices will evaluate the contract administrators' past 
performance for applicants required to have a contract administrator. 
Using Rating Factor 1, the field office/area ONAP will evaluate 
applicants' past performance. Applicants should carefully review Rating 
Factor 1 to ensure their application addresses each of the criteria 
requested therein. If applicants fail to address what is requested in 
Rating Factor 1, their application will fail this threshold and will 
not receive further consideration.
    c. Contract Administrator Partnership Agreement. All nonprofit 
applicants, all resident organizations, and PHAs that are troubled at 
time of application are required to submit a signed Contract 
Administrator Partnership Agreement. The agreement must be for the 
entire grant term. Grant awards shall be contingent upon having a 
signed partnership agreement included in your application. Applicants 
required to have a Contract Administrator Partnership Agreement that 
fail to submit one will fail this threshold requirement and will not 
receive further consideration for funding.
    Troubled PHAs are not eligible to be contract administrators. Grant 
writers who assist applicants prepare their ROSS applications are also 
ineligible to be contract administrators. For more information on 
contract administrators,

[[Page 27448]]

see the section ``Program Requirements.''
    d. Letters of Support for Nonprofit Applicants. All nonprofit 
applicants must include letters of support from resident associations 
(RAs), Resident Advisory Boards (RABs), local civic organizations, or 
units of local government. In the event that RAs are inactive, or that 
applicants submit letters of support from other organizations such as 
RABs, nonprofit applicants must also submit letters from PHAs 
indicating support for their application. All letters of support must 
be signed by an authorized representative of the supporting 
organization and dated within two months of the application deadline.
    Nonprofit applicants that do receive support from resident 
associations must submit Form HUD-52754 ``List of Resident Associations 
Supporting Nonprofit Applicants.'' Submitting this form is not 
applicable where RAs are inactive or where applicants do not submit 
letters of support from RAs.
    In cases where nonprofit organizations are applying to serve 
tribes/TDHEs, nonprofit applicants must submit letters of support from 
tribes/TDHEs. Nonprofit organizations must also use Form HUD-52754 to 
list which tribes/TDHEs support their application.
    Letters of support from RAs must describe to what extent they are 
familiar with the nonprofit applicant and indicate their support and 
understanding of the nonprofit organization's proposal/application. 
Letters from RAs must include contact information and the name and 
title of the person authorized to sign for the organization and should, 
whenever possible, be on RA letterhead.
    Letters of support from RABs must describe to what extent the RAB 
is familiar with the nonprofit applicant and indicate its support and 
understanding of the nonprofit organization's proposal/application. 
Letters from RABs must include contact information and the name and 
title of the person authorized to sign for the organization, and should 
be on RAB or PHA letterhead.
    Letters of support from civic organizations or units of local 
government must describe to what extent they are familiar with the 
nonprofit applicant and which programs the nonprofit applicant has 
operated or managed in the community that are similar to the 
applicant's proposal. Such letters of support must include contact 
information and the name and title of the person authorized to sign for 
the organization. The letter should be on organization letterhead.
    All nonprofit applicants that do not provide letters of support 
from resident associations must provide letters of support from PHAs or 
tribes/TDHEs with jurisdiction over the developments the applicant 
proposes to serve. Letters from PHAs or tribes/TDHEs must describe the 
extent to which the nonprofit applicant is familiar with the needs of 
the community to be served, which programs the nonprofit applicant has 
operated or managed in the community that are similar to the 
applicant's proposal, and whether the nonprofit organization has the 
capacity to implement its proposed program. Letters from PHAs or 
tribes/TDHEs must also list the names of the developments to be served, 
the number of occupied conventional family or elderly/disabled public 
housing units (depending on the grant category) in those developments, 
certify that the units are conventional public housing, and identify 
the ROSS grant category to which the nonprofit organization is 
applying. PHA or tribe/TDHE letters of support must be signed by the 
Executive Director, tribal leader, or authorized designee and must be 
on PHA or tribe/TDHE letterhead.
    Applications from nonprofit organizations, which do not submit the 
information requested in this section will fail this threshold 
requirement and will not be considered for funding.
    e. Nonprofit status. All nonprofit applicants must submit their IRS 
determination letter to prove their 501(c)(3) status. Applicants that 
fail to submit this letter will fail this threshold requirement and 
will not be considered for funding.
    f. Minimum Score for All Fundable Applications. Applications that 
pass all threshold requirements and go through the ranking and rating 
process, must receive a minimum score of 75 in order to be considered 
for funding.
    g. Ineligible Activities. Any application that proposes an 
ineligible activity will be disqualified and not considered for 
funding.
    h. Funding Requests in Excess of Maximum Grant Amount. Applicants 
that request funding in excess of the maximum grant amount which they 
are eligible to receive will not receive funding consideration.
    i. PHA applicants to the Homeownership Supportive Services program. 
PHA applicants to the Homeownership Supportive Services program that 
administer a Homeownership Voucher Program will be required to provide 
10 Homeownership Vouchers per year to eligible families who 
successfully complete training under the Homeownership Supportive 
Services grant program. Those PHAs which administer a Housing Choice 
Voucher program but have not elected to provide assistance under the 
Homeownership Voucher option and receive funding under this category, 
will be required to implement the Homeownership Voucher Program and 
make 10 Homeownership Vouchers available on an annual basis to eligible 
families who successfully complete training under this ROSS activity. 
PHA applicants as described in this section must provide a letter 
certifying that they will comply with this requirement.
    j. Tribal/TDHE applicants. Tribal/TDHE applicants to the HSS 
program must have a Low-income Homeownership Program outlined in their 
current Indian Housing Plan. Tribes/TDHEs will also be required to 
provide homeownership assistance to a minimum of 10 eligible families 
as described above.
    k. The Dunn and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section of the SuperNOFA for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD. This threshold requirement is 
curable.
    3. Program Requirements:
    a. Program Evaluations. A portion of grant funds should be reserved 
to ensure that evaluations can be completed for all participants who 
received training through this program. Applicants may, for example, 
propose to reserve one percent of grant funds for every 10 students 
they train for the purpose of evaluating students' success in the 
program.
    b. Contract Administrator. The contract administrator must assure 
that the financial management system and procurement procedures that 
will be in place during the grant term will fully comply with either 24 
CFR part 84 or part 85, as appropriate. CAs are expressly forbidden 
from accessing HUD's Line of Credit Control System (LOCCS) and 
submitting vouchers on behalf of grantees. Contract administrators must 
also assist PHAs meet HUD's reporting requirements, see Section VI.C. 
``Reporting'' for more information. Contract administrators may be: 
Local housing agencies; community-based organizations such as community 
development corporations (CDCs), churches, temples, synagogues, 
mosques; nonprofit organizations; state/regional associations and 
organizations. Troubled PHAs are not eligible to be contract 
administrators. Grant writers who assist applicants prepare their 
applications are also ineligible to be

[[Page 27449]]

contract administrators. Organizations that the applicant proposes to 
use as the contract administrator must not violate or be in violation 
of other conflicts of interest as defined in 24 CFR part 84 and 24 CFR 
part 85.
    4. Number of Applications Permitted. Except as otherwise noted, the 
criteria below apply to all grant categories and all applicants.
    a. General. Applicants including PHAs, tribes/TDHEs, RAs, and 
nonprofit organizations that have support from the resident 
associations they propose to serve or the support of tribes/TDHEs may 
submit one application for each ROSS funding category, however 
applicants must submit separate applications for each funding category. 
Nonprofit organizations may submit more than one application per 
funding category provided that they will be serving residents of 
distinct PHAs or Tribes/TDHEs.
    b. More than one application per development. Applications from 
PHAs, tribes/TDHEs, RAs, and nonprofit organizations targeting the same 
public housing development/population will not all be funded. HUD 
suggests that in these cases, applicants work together to submit one 
application. Otherwise, the highest scoring application will be funded.
    c. 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. Both lead and non-lead 
applicants are subject to threshold requirements. Joint applications 
may include PHAs, RAs, Tribes/TDHEs, and nonprofit organizations on 
behalf of resident organizations. Joint applications involving 
nonprofit organizations must also provide evidence of resident support 
or support from local civic organizations or from units of local 
government. PHAs, tribes/TDHEs, and resident organizations that are 
part of a joint application may not also submit separate applications 
as sole applicants under this NOFA.

    Note: The lead applicant will determine the maximum funding 
amount the applicants are eligible to receive.

    5. Eligible Participants: All program participants must be 
residents of conventional public housing or NAHASDA-assisted housing. 
Participants in the Public Housing Family Self-Sufficiency (FSS) 
program (non-Housing Choice Voucher FSS Program) are also eligible to 
participate in activities funded under ROSS.
    6. Eligible Developments: Only conventional Public and Indian 
housing developments may be served by ROSS grant funds. Other housing/
developments, including, but not limited to private housing, federally 
insured housing, federally subsidized or assisted (i.e., assisted under 
Section 8, Section 202, Section 811, Section 236), and others are not 
eligible to participate in ROSS.
    7. Energy Star. HUD has adopted a wide-ranging energy action plan 
for improving energy efficiency in all program areas. As a first step 
toward implementing the energy plan, HUD, the Environmental Protection 
Agency (EPA) and the Department of Energy (DoE) have signed a joint 
partnership to promote energy efficiency in HUD's affordable housing 
efforts and programs. The purpose of the Energy Star partnership is to 
promote energy efficiency of the affordable housing stock, but also to 
help protect the environment. Applicants constructing, rehabilitating, 
or maintaining housing or community facilities are encouraged to 
promote energy efficiency in design and operations. They are urged 
especially to purchase and use Energy Star labeled products. Applicants 
providing housing assistance or counseling services are encouraged to 
promote Energy Star building by homebuyers and renters. Program 
activities can include developing Energy Star promotional and 
information materials, outreach to low- and moderate-income renters and 
buyers on the benefits and savings when using Energy Star products and 
appliances, and promoting the designation of community buildings and 
homes as Energy Star compliant. For further information about Energy 
Star, see http://www.energystar.gov or call 888-STAR-YES (888-782-7937) 
or for the hearing-impaired, 888-588-9920 (TTY).

IV. Application and Submission Information

A. Addresses to Request Application Package

    There is no application kit this year. All forms and necessary 
information are contained within this NOFA. Please refer to the General 
Section of the SuperNOFA for information on how to obtain hard copies 
of this NOFA, or visit http://www.hud.gov for this information.

B. Content and Form of Application Submission

    1. Application Format Information for All Grant Categories and All 
Applicants: Before preparing an application to any ROSS funding 
program, applicants should carefully review the program description, 
ineligible activities, program and threshold requirements, and the 
General Section of the SuperNOFA. Applicants should also review each 
rating factor found in the ``Application Review Information'' section 
before writing a narrative response. Applicants' narratives should be 
as descriptive as possible, ensuring that every requested item is 
addressed. Applicants should make sure to include all requested 
information, according to the instructions found in this NOFA and where 
applicable, in the General Section of the SuperNOFA. This will help 
ensure a fair and accurate review of your application.
    2. Content and Format for Submission: In order to be funded, 
applicants must propose programs which meet all the requirements and 
objectives of the ROSS program to which they are applying to, as 
described in this NOFA. Applicants are reminded that any application 
proposing ineligible activities will not be funded. Finally, applicants 
must submit their applications according to the format provided in the 
``Format'' section below.
    a. Content of Application: Applicants must write narrative 
responses to each of the rating factors, which follow this section. 
Applicants will be evaluated on whether their responses demonstrate 
that they have the necessary capacity to successfully manage this grant 
program. Applicants should ensure that their narratives are written 
clearly and concisely so that HUD reviewers, who may not be familiar 
with the ROSS program, may fully understand your proposal.
    b. Format of Application: (1) Applications may not exceed 35 
narrative pages. Narrative pages must be typed, double-spaced, 
numbered, use Times New Roman font style, and font size 12. 
Applications should be submitted in a three-ring binder with materials 
organized behind tabs according to the outline provided below. 
Supporting documentation, required forms, and certificates will not be 
counted toward the 35 narrative page limit. However, applicants should 
make every effort to submit only what is necessary in terms of 
supporting documentation.
    (2) Format for submission of SuperNOFA forms, ROSS forms, and 
narrative responses.
    TAB 1: Required Forms from the General Section of the SuperNOFA and 
other ROSS forms:
    1. Application for Federal Assistance (SF-424);
    2. Supplement to SF-424--Survey on Ensuring Equal Opportunity for 
Applicants (SF-23004);

[[Page 27450]]

    3. Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers (HUD-27300);
    4. Fact Sheet (HUD-52751);
    5. Applicant Assurances and Certifications (HUD-424B);
    6. Grant Application Detailed Budget (HUD-424-CB);
    7. Grant Application Detailed Budget Worksheet (HUD-424-CBW);
    8. Applicant/Recipient Disclosure/Update Report (HUD-2880);
    9. Certification of Consistency with RC/EZ/EC Strategic Plan (HUD-
2990) if applicable;
    10. Certification of Consistency with the Consolidated Plan (HUD-
2991) if applicable;
    11. Certification of Consistency with the Indian Housing Plan if 
applicable (HUD-52752);
    12. Certification of Resident Council Board of Election (not 
required for tribes/nonprofit organizations working on behalf of 
tribes) (HUD-52753);
    13. Disclosure of Lobbying Activities (HUD-SF-LLL)--if applicable;
    14. Disclosure of Lobbying Activities Continuation Sheet (HUD-SF-
LLL-A)--if applicable;
    15. Acknowledgment of Application Receipt (HUD-2993); and,
    16. Client Comments and Suggestions (HUD-2994). (Optional)
    TAB 2: Threshold Requirements:
    1. Letters from Partners attesting to match;
    2. Letter from Applicant's organization attesting to match (if 
applicant is contributing to match);
    3. Letters of Support from Resident Associations/ PHAs/tribes/
TDHEs/ Resident Advisory Boards/local civic organizations and/or units 
of local government (Threshold requirement for all nonprofit 
applicants);
    4. Chart of Resident Associations Participating (required for 
nonprofit applicants but not applicable to applications from tribes/
TDHEs.) (HUD-52754);
    5. IRS nonprofit determination letter proving 501(c)(3) status 
(Threshold requirement for all nonprofit applicants); and
    6. Contract Administrator Partnership Agreement (required for 
nonprofit organizations, resident associations, and troubled PHAs) 
(HUD-52755).
    TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms:
    1. Narrative
    2. Chart A: Program Staffing (HUD-52756)
    3.Chart B: Applicant/Administrator Track Record (HUD-52757)
    4. Resumes/Position Descriptions
    TAB 4: Narrative for Rating Factor 2.
    TAB 5: Rating Factor 3:
    1. Narrative
    2. Work plan (see sample) (HUD-52764)
    TAB 6: Narrative for Rating Factor 4.
    TAB 7: Narrative for Rating Factor 5 and ROSS Program Forms:
    1. Narrative
    2. Logic Model (HUD-96010)
    3. Sample Performance measures/outcomes are attached for 
applicants' information

C. Submission Dates and Times

    1. Due Dates: Resident Service Delivery Models-Elderly/Persons with 
Disabilities: The application due date is July 1, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    Resident Service Delivery Models-Family: The application due date 
is July 16, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    Homeownership Supportive Services: The application due date is 
August 10, 2004. Please see the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    2. Proof of Timely Submission. Please see the General Section of 
the SuperNOFA for more information about how to mail in your 
application to HUD and how HUD will determine whether your application 
is received by the deadline. Applicants that fail to meet the deadline 
for application receipt will not receive funding consideration.

D. Intergovernmental Review

    Not applicable.

E. Funding Restrictions

    1. Reimbursement for Grant Application Costs: Applicants who 
receive an award under any ROSS funding category are prohibited from 
using ROSS grant funds to reimburse any costs incurred in conjunction 
with preparation of their ROSS grant application.
    2. Covered Salaries: Applicable to all grant categories and all 
applicants:
    a. Project Coordinator: All applicants may propose to hire a 
qualified project coordinator to run the grant program. The ROSS 
program will fund up to $63,000 in combined annual salary and fringe 
benefits for a full-time project coordinator. The project coordinator's 
salary and fringe benefits may not exceed 30 percent of the total grant 
amount. For audit purposes, applicants must have documentation on file 
demonstrating that the salary of the project coordinator is comparable 
to similar professions in their local area.
    b. Resident Salaries. Only the RSDM-Family category permits 
grantees to use grant funds for this purpose. No more than five percent 
of RSDM-Family funds may be used to pay for resident salaries.
    c. Types of Salaries. ROSS funds may only be used for the types of 
salaries described in this section according to the restrictions 
described herein. ROSS funds may not be used to pay for salaries of any 
other kind.
    3. Administrative Costs. Administrative costs may include, but are 
not limited to, purchase of furniture, office equipment and supplies, 
local travel, and utilities. Administrative costs may not be used to 
pay for salaries of any kind. Nonprofit organizations only may use 
administrative funds to pay for rental of space. Administrative costs 
must not exceed 10 percent of the total grant amount requested from 
HUD. Administrative costs must adhere to OMB Circular A-87 or A-122 as 
appropriate. Please use HUD-424-CBW to itemize your administrative 
costs.
    4. Individual Savings Accounts (ISAs). ROSS RSDM-Family and 
Homeownership Supportive Services funds can be used as matching funds 
for ISAs but no more than 20 percent of total grant funds may be used 
for this purpose.
    5. Stipends. This applies to RSDM-Family only. No more than $200 of 
the grant award may be used per participant per month for stipends for 
active trainees and program participants. Stipends may only be used to 
reimburse reasonable out-of-pocket expenses related to participation in 
training and other program-related activities. Receipts for such 
expenses must be provided by the resident in order to obtain 
reimbursement. Stipends are not considered an administrative expense 
and therefore are not subject to the 10 percent limitation on 
administrative costs.
    6. Ineligible Activities/Costs. Grant funds may not be used for 
ineligible activities:
    a. Payment of wages and/or salaries to participants for receiving 
supportive services and/or training programs;
    b. Purchase, lease, or rental of land;
    c. New construction, costs for construction materials;
    d. Rehabilitation or physical improvements;
    e. Purchase, lease, or rental of vehicles;
    f. Entertainment costs;
    g. Purchasing food;
    h. Elderly/Disabled Service Coordinator salary and fringe benefits;
    i. Payment of wages and/or salaries to doctors, nurses or other 
staff (including health aids or companions) in relation

[[Page 27451]]

to medical services provided to residents;
    j. Purchase of non-prescription or prescription medications;
    k. Stipends (Stipends are only allowed under RSDM-Family)
    l. Down payment assistance (Note: Participants may use their ISAs 
under the RSDM-Family and Homeownership Supportive Services program for 
this purpose);
    m. Revolving loan funds;
    n. Costs, which exceed limits, identified in the NOFA for the 
following: Project Coordinator, resident salaries, ISAs, stipends, and 
administrative expenses; and
    o. Cost of application preparation.
    7. Other Budgetary Restrictions. Applicable to all grant categories 
and all applicants: Some long distance travel may be necessary during 
the term of the grant in order for professional grant staff to attend 
HUD-sponsored training conferences for ROSS grantees. Long distance 
travel costs for grant program staff may not exceed $5,000 for the life 
of the grant and must receive prior approval from the grantee's local 
HUD field office or area ONAP.

F. Other Submission Requirements

    1. Mailing Applications. Applicants to the ROSS program should send 
their applications to: HUD Grants Management Center, Mail Stop: Insert 
Name of ROSS Funding Category, 2001 Jefferson Davis Highway, Suite 703, 
Arlington, VA 22202. Please see the General Section of the SuperNOFA 
for detailed mailing and delivery instructions.
    In the case of tribes and TDHEs, please submit your original 
completed application to: Denver Program Office of Native American 
Programs (DPONAP), 1999 Broadway, Suite 3390, Denver, CO 80202, by mail 
using the United States Postal Service (USPS) or it may be delivered 
only via the following four carrier services: United Parcel Service 
(UPS), FedEx, DHL, or Falcon Carrier.
    2. Number of Copies. Applications must be submitted in triplicate 
(one original and two identical copies). The original and one identical 
copy must be sent to the Grants Management Center by the deadline. The 
other identical copy must be submitted to your local HUD field office 
by the deadline. For tribal and TDHE applicants, the original and one 
copy must be sent to the Denver Program Office of Native American 
Programs (DPONAP), the other identical copy should be sent to the GMC 
by the deadline. Copies of applications from tribes/TDHEs should not be 
sent to the Area ONAP.

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications to the 
ROSS program: The factors for rating and ranking applicants and maximum 
points for each factor are provided below. The maximum number of points 
available for this program is 102. This includes two RC/EZ/EC bonus 
points. The SuperNOFA contains a certification that must be completed 
in order for the applicant to be considered for RC/EZ/EC bonus points. 
A listing of federally designated RCs, EZs, ECs, and EECs is included 
as an appendix to the General Section of the SuperNOFA and is also 
available from the NOFA Information Center, and the Grants.gov Web 
site, http://www.grants.gov. The agency certifying to RC/EZ/EC status 
must be listed in the appendix of the SuperNOFA or on the http://www.grants.gov Web site.

    Note: Applicants should carefully review each rating factor 
before writing a response. Applicants' narratives should be as 
descriptive as possible, ensuring that every requested item is 
addressed. Applicants should make sure their narratives thoroughly 
address the Rating Factors below. Applicants should include all 
requested information, according to the instructions found in this 
NOFA. This will help ensure a fair and accurate application review.

a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (20 Points)
    This factor addresses whether the applicant has the organizational 
resources necessary to successfully implement the proposed activities 
within the grant period. In rating this factor HUD will consider the 
extent to which the proposal demonstrates that the applicant will have 
qualified and experienced staff dedicated to administering the program.
    (1) Proposed Program Staffing (7 Points).
    (a) Staff Experience (4 Points). The knowledge and experience of 
the proposed project coordinator, staff, and partners in planning and 
managing programs for which funding is being requested. Experience will 
be judged in terms of recent, relevant and successful experience of 
proposed 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 
proposed staff members who work on the project have in successfully 
conducting and completing similar activities, the greater the number of 
points applicants will receive for this rating factor. The following 
information should be provided in order to provide HUD an understanding 
of proposed staff's experience and capacity:
    (i) The number of staff years (one staff year = 2080 hours) to be 
allocated to the proposed program by each employee or expert as well as 
each of their roles in the program;
    (ii) The staff's relevant educational background and/or work 
experience; and
    (iii) Relevant and successful experience running programs whose 
activities are similar to the eligible program activities described in 
the grant category to which you are applying.
    (b) Organizational Capacity (3 Points). Applicants will be 
evaluated based on whether they have, or their partners have sufficient 
qualified personnel to deliver the proposed activities in a timely and 
effective fashion. In order to enhance or supplement capacity, 
applicants should provide evidence of partnerships with nonprofit 
organizations or other organizations that have experience providing 
supportive services to typically underserved populations. Applicants' 
narrative must describe their ability to immediately begin the proposed 
work program. Attach resumes and position descriptions (where staff is 
not yet hired) for all key personnel. (Resumes/position descriptions do 
not count toward the 35-page limit.)
    (2) Past Performance of Applicant/Contract Administrator (6 
Points).
    Applicants' past experience may include, but is not limited to, 
running and managing programs aimed at:
    RSDM-Family: assisting residents of low-income housing achieve 
economic self-sufficiency;
    RSDM-Elderly: assisting elderly/persons with disabilities who 
reside in low-income housing to live independently;
    Homeownership: assisting residents of low-income housing achieve 
economic self-sufficiency and homeownership.
    Applicants' narrative must indicate past grants they received and 
managed, the grant amounts, and grant terms (years) of the grants, 
which they are counting toward past experience.
    Applicants' narrative must describe how they (or their Contract 
Administrator) successfully implemented past grant programs designed 
to:

[[Page 27452]]

    RSDM-Family--promote resident self-sufficiency, moving from welfare 
to work, and/or helping residents move to market rate rental housing;
    RSDM-Elderly--assist elderly/persons with disabilities meet their 
daily living needs and enhance their access to needed services so they 
can continue to reside comfortably and productively in their current 
living environment;
    Homeownership--promote moving from subsidized housing to 
homeownership. Applicants will be evaluated according to the following 
criteria:
    (a) Achievement of specific measurable outcomes and objectives in 
terms of benefits gained by participating residents. Applicants should 
describe results their programs have obtained, such as:
    RSDM-Family: reduced welfare dependency, higher incomes, higher 
rates of employment, increased savings, moving from subsidized housing 
to market rate rental housing;
    RSDM-Elderly: less emergency care, improved health conditions of 
assisted population, access to greater number of social services;
    Homeownership: number of families in homeownership counseling 
pipeline, rates of homeownership achieved through training programs.
    (b) Description of success in attracting and keeping residents 
involved in past grant-funded training programs. HUD wants to see that 
applicants' grant-funded programs benefited a significant number of 
residents;
    (c) Description of timely expenditure of program funding throughout 
the term of past grants. Timely means regular drawdowns throughout the 
life of the grant, i.e., quarterly drawdowns, with all funds expended 
by the end of the grant term;
    (d) Description of Past Leveraging. Applicants must describe how 
they have leveraged funding or in-kind services beyond amounts which 
were originally proposed for past projects;
    (3) Program Administration and Fiscal Management. (7 Points).
    (a) Program Administration and Accountability. (4 Points) 
Applicants should describe how they will manage the program; how HUD 
can be sure that there is program accountability; and provide a 
description of proposed staff's roles and responsibilities. Applicants 
should also describe how grant staff and partners shall report to the 
project coordinator and other senior staff.
    (b) Fiscal Management. (3 Points) In rating this factor, 
applicants' skills and experience in fiscal management will be 
evaluated. If applicants have had any audit or material weakness 
findings in the past five years, they will be evaluated on how well 
they have addressed them. Applicants must provide the following:
    (i) A complete description of their fiscal management structure, 
including fiscal controls currently in place including those of a 
Contract Administrator for applicants required to have a Contract 
Administrator, (i.e., troubled PHAs, resident associations, and 
nonprofit applicants);
    (ii) Applicants must list any audit findings in the past five years 
(HUD Inspector General, management review, fiscal, etc.), material 
weaknesses, and what has been done to address them;
    (iii) For applicants who are required to have a Contract 
Administrator, describe the skills and experience the Contract 
Administrator has in managing federal funds.
b. Rating Factor 2: Need/Extent of the Problem (20 Points)
    This factor addresses the extent to which there is a need for 
funding the proposed program. In responding to this factor, applicants 
will be evaluated on the extent to which they describe and document the 
level of need for their proposed activities and the urgency for meeting 
the need.
    Applicants should use statistics and analyses contained in data 
source(s) that are sound and reliable. Data that describes 
socioeconomic conditions at the local level can be found by going to 
the following Web sites: http://www.bls.gov (Bureau of Labor 
Statistics) or http://www.census.gov (U.S. Census). Other types of 
sources include socioeconomic studies or reports conducted by academic, 
State, and local organizations. To the extent possible, the data 
applicants use should be specific to the area where the proposed 
activities will be carried out. Applicants should document needs as 
they apply to the area where activities will be targeted, and not the 
entire region or State.
    In responding to this factor, applicants must include:
    (1) Socioeconomic Profile (5 points). A thorough socioeconomic 
profile of the eligible residents to be served by the program, 
including education levels, income levels, the number of single-parent 
families, economic statistics for the local area, etc.
    (2) Local Training Programs Information (For RSDM-Family and 
Homeownership Applicants only) (5 points). Information on training 
programs currently available and easily accessible to residents either 
through the PHA, tribe/TDHE, or other local or state community 
organizations.
    (3) Local Social Services Information (For RSDM-Elderly Applicants 
only) (5 points). Information on social service programs currently 
available and easily accessible to residents either through the PHA, 
tribe/TDHE, or other local or State community organizations.
    (4) Demonstrated Link Between Proposed Activities and Local Need (5 
points). Applicants' narrative must demonstrate a clear relationship 
between proposed activities, community needs and the purpose of the 
program funding in order for points to be awarded for this factor.
c. Rating Factor 3: Soundness of Approach (30 Points)
    This factor addresses both the quality and cost-effectiveness of 
applicants' proposed work plan. The work plan must indicate a clear 
relationship between proposed activities, the targeted population's 
needs, and the purpose of the program funding. Applicants' activities 
must address HUD's policy priorities outlined in this Rating Factor.
    In rating this factor HUD will consider:
    (1) Quality of the Work Plan (18 points). This factor evaluates 
both the applicant's work plan and budget, which will be evaluated 
based on the following criteria:
    (a) Specific Services and/or Activities (8 points). Applicants' 
narrative must describe the specific services, course curriculum, and 
activities they plan to offer and who will be responsible for each. In 
addition to the narrative, applicants must also provide a work plan, 
which must list the specific services, activities, and outcomes they 
expect. The work plan must show a logical order of activities and 
progress and must tie to the outcomes and outputs applicants identify 
in the Logic Model (see Rating Factor 5). Please see a sample work plan 
in the Appendix. Applicants' narrative must explain how their proposed 
activities will:
    (i) Involve community partners in the delivery of services (4 
points);
    (ii) Offer comprehensive services versus a small range of services 
geared toward achieving the following (2 points):
    RSDM-Family: enhancing economic opportunities for residents;
    RSDM-Elderly: enhancing residents' quality of life;
    Homeownership: enhancing homeownership opportunities for residents; 
and
    (iii) Link to other ROSS-funded self-sufficiency programs (2 
points).
    (b) Feasibility and Demonstrable Benefits (4 points). This factor 
examines

[[Page 27453]]

whether applicants' work plan is logical, feasible and likely to 
achieve its stated purpose during the term of the grant. HUD's desire 
is to fund applications that will quickly produce demonstrable results 
and advance the purposes of the ROSS program.
    (i) Timeliness. This subfactor evaluates whether applicants' work 
plan demonstrates that their project is ready to be implemented shortly 
after grant award, but not to exceed three months following the 
execution of the grant agreement. The work plan must indicate 
timeframes and deadlines for accomplishing major activities.
    (ii) Description of the problem and solution. The work plan will be 
evaluated based on how well applicants' proposed activities address the 
needs described in Rating Factor 2.
    (c) Budget Appropriateness/Efficient Use of Grant. (6 Points) The 
score in this factor will be based on the following:
    (i) Justification of expenses. Applicants will be evaluated based 
on whether their expenses are reasonable and thoroughly explained, and 
support the objectives of their proposal.
    (ii) Budget Efficiency. Applicants will be evaluated based on 
whether their application requests funds commensurate with the level of 
effort necessary to accomplish their goals and anticipated results.
    (2) Addressing HUD's Policy Priorities (12 points). HUD wants to 
improve the quality of life for those living in distressed communities. 
HUD's grant programs are a vehicle through which long-term, positive 
change can be achieved at the community level. Applicants' narrative 
and work plan will be evaluated based on how well they meet the 
following HUD policy priorities:
    (a) Improving the Quality of Life in Our Nation's Communities (For 
RSDM-Family and RSDM-Elderly Applicants only) (5 points). In order to 
receive points in this category, applicants' narrative and work plan 
must indicate the types of activities, service, and training programs 
applicants will offer which can help residents successfully transition 
from welfare to work and earn higher wages, or for elderly/disabled 
residents, to continue to live independently.
    Providing Increased Homeownership and Rental Opportunities for Low- 
and Moderate-Income Persons, Persons with Disabilities, the Elderly, 
Minorities, and Families with Limited English Proficiency (For 
Homeownership Applicants only) (5 points). In order to receive points 
in this category, applicants' narrative and work plan must indicate the 
types of activities and training programs they will offer which can 
help residents successfully transition from subsidized housing to 
market-rate rental housing or homeownership.
    (b) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation (For 
all applicants) (5 points). HUD encourages applicants to partner with 
grassroots organizations, e.g., civic organizations, grassroots faith-
based and other community-based organizations that are not usually 
effectively utilized. These grassroots organizations have a strong 
history of providing vital community services such as developing first-
time homeownership programs, creating economic development programs, 
providing job training and other supportive services. In order to 
receive points under this factor, applicants' narrative and work plan 
must describe how applicants will work with these organizations and 
what types of services they will provide.
    (c) Policy Priority for Increasing the Supply of Affordable Housing 
Through the Removal of Regulatory Barriers to Affordable Housing (up to 
2 points).
    Under this policy priority, higher rating points are available to 
(1) governmental applicants that are able to demonstrate successful 
efforts in removing regulatory barriers to affordable housing, and (2) 
nongovernmental applicants that are associated with jurisdictions that 
have undertaken successful efforts in removing barriers. For applicants 
to obtain the policy priority points for efforts to successfully remove 
regulatory barriers, applicants would have to complete form HUD 27300, 
``Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers.'' A copy of HUD's Notice entitled America's Affordable 
Communities Initiative, HUD's Initiative on Removal of Regulatory 
Barriers: Announcement of Incentive Criteria on Barrier Removal in 
HUD's 2004 Competitive Funding Allocations' can be found on HUD's Web 
site at http://www.hud.gov/grants/index.cfm. A description of the 
policy priority and a copy of form HUD-27300 can be found in the 
General Section to the SuperNOFA. Applicants are encouraged to read the 
Notice as well as the General Section of the SuperNOFA to obtain an 
understanding of this policy priority and how it can impact their 
score. A limited number of questions expressly request the applicant to 
provide brief documentation with their response. Other questions 
require that for each affirmative statement made, the applicant must 
supply a reference, URL, or a brief statement indicating where the 
back-up information may be found, and a point of contact, including a 
telephone number and/or email address.
d. Rating Factor 4: Leveraging Resources (20 Points)
    This factor addresses the applicant's ability to secure community 
resources that can be combined with HUD's grant resources to achieve 
program purposes. Applicants are required to create partnerships with 
organizations that can help achieve their program's goals. PHAs are 
required by section 12(d)(7) of the U.S. Housing Act of 1937 entitled 
``Cooperation Agreements for Economic Self-Sufficiency Activities'') to 
make best efforts to enter into such agreements with relevant state or 
local agencies. In rating this factor, HUD will look at the extent to 
which applicants partner, coordinate and leverage their services with 
other organizations serving the same or similar populations.
    Additionally, applicants must have at least a 25 percent cash or 
in-kind match. The match is a threshold requirement. Joint applicants 
must together have at least a 25 percent match. Applicants who do not 
demonstrate the minimum 25 percent match will fail the threshold 
requirement and will not receive further consideration for funding. 
Leveraging in excess of the 25 percent of the grant amount will receive 
a higher point value. In evaluating this factor HUD will consider the 
extent to which applicants have partnered with other entities to secure 
additional resources, which will increase the effectiveness of the 
proposed program activities. The additional resources and services must 
be firmly committed, must support the proposed grant activities and 
must, in combined amount (including in-kind contributions of personnel, 
space and/or equipment, and monetary contributions) equal at least 25 
percent of the grant amount requested in this application. ``Firmly 
committed'' means that the amount of resources and their dedication to 
ROSS-funded activities must be explicit, in writing and signed by a 
person authorized to make the commitment. Please see the section on 
Threshold Requirements for more information.
    Points for this factor will be awarded based on the documented 
evidence of partnerships and firm commitments and the ratio of 
requested ROSS funds to the total proposed grant budget.
    Points will be assigned based on the following scale:

[[Page 27454]]



------------------------------------------------------------------------
          Percentage of match                     Points awarded
------------------------------------------------------------------------
25.....................................  5 points (with partnerships) 3
                                          points (without partnerships).
26-50..................................  10 points (with partnerships) 8
                                          points (without partnerships).
51-75..................................  15 points (with partnerships)
                                          13 points (without
                                          partnerships).
76-99 or above.........................  20 points (with partnerships)
                                          18 points (without
                                          partnerships).
------------------------------------------------------------------------

e. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    An important element in this year's NOFA is the development and 
reporting of performance measures and outcomes. This factor emphasizes 
HUD's determination to ensure that applicants meet commitments made in 
their applications and grant agreements and that they assess their 
performance so that they realize performance goals. Applicants must 
demonstrate how they propose to measure their success and outcomes as 
they relate to the Department's Strategic Plan.
    HUD requires ROSS applicants to develop an effective, quantifiable, 
outcome-oriented plan for measuring performance and determining that 
goals have been met. Applicants must use the Logic Model form HUD-96010 
for this purpose.
    Applicants must establish interim benchmarks, or outputs, for their 
proposed program that lead to the ultimate achievement of outcomes. 
``Outputs'' are the direct products of a program's activities. Examples 
of outputs are: The number of eligible families that participate in 
supportive services, the number of new services provided, the number of 
residents receiving counseling, or the number of households using a 
technology center. Outputs should produce outcomes for your program.
    ``Outcomes'' are benefits accruing to the residents, families and/
or communities during or after participation in the ROSS program. 
Applicants must clearly identify the outcomes to be achieved and 
measured. Examples of outcomes are: Increasing the homeownership rates 
among residents of a development or from a particular housing 
authority, increasing residents' financial stability (e.g., increasing 
assets of a household through savings), or increasing employment 
stability (e.g., whether persons assisted obtain or retain employment 
for one or two years after job training completion). Outcomes are not 
the actual development or delivery of services or program activities.
    This rating factor requires that applicants identify program 
outputs, outcomes, and performance indicators that will allow 
applicants to measure their performance. Performance indicators should 
be objectively quantifiable and measure actual achievements against 
anticipated achievements. Applicants' narrative, work plan, and Logic 
Model should identify what applicants are going to measure, how they 
are going to measure it, and the steps they have in place to make 
adjustments to their work plan and management practices if performance 
targets begin to fall short of established benchmarks and time frames. 
Applicants' proposal must also show how they will measure the 
performance of partners and affiliates. Applicants must include the 
standards, data sources, and measurement methods they will use to 
measure performance.
    In order to respond to this factor, applicants should use the 
sample performance measures HUD-52758 located in the Appendix as a 
guide. Applicants will be evaluated based on how comprehensively they 
propose to measure their program's outcomes.

B. Review and Selection Process

    1. Review Process for All Grant Categories and All Applicants. Four 
types of reviews will be conducted: a screening to determine if you are 
eligible to apply for funding under the ROSS grant category to which 
you are applying; whether your application submission is complete, on 
time and meets threshold; a review by the field office to evaluate past 
performance; and a technical review to rate your application based on 
the five rating factors provided in this NOFA.
    2. Selection Process for All Grant Categories and All Applicants: 
The selection process is designed to achieve geographic diversity of 
grant awards throughout the country. For each grant category, HUD will 
first select the highest ranked application from each of the ten 
federal regions and DPONAP for funding. After this ``round,'' HUD will 
select the second highest ranked application in each of the ten federal 
regions and DPONAP for funding (the second round). HUD will continue 
this process with the third, fourth, and so on, highest ranked 
applications in each federal region and DPONAP 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 (by score) 
regardless of region and DPONAP and will fully fund as many as possible 
with remaining funds. If remaining funds in one grant category are too 
small to make an award, they may be transferred to another category 
under the ROSS program.
    3. Tie Scores. In the event of a tie between two applications in 
the same category which target the same developments, HUD will select 
the application that was received first.
    4. Deficiency Period. Applicants will have 14 calendar days in 
which to provide missing information requested from HUD. For other 
information on correcting deficient applications, please see the 
General Section of the SuperNOFA.

VI. Award Administration Information

A. Award Notices

    HUD will make announcements of grant awards after the rating and 
ranking process is completed. Grantees will be notified by letter and 
will receive instructions for what steps they must take in order to 
access funding and begin implementing grant activities.
    Applicants who are not funded will also receive letters via U.S. 
postal mail. Applicants who are not funded may request a debriefing. 
Applicants requesting to be debriefed must send a written request to: 
Iredia Hutchinson, Director, Grants Management Center, 501 School 
Street, SW., Suite 800, Washington, DC 20024. For applications 
submitted to the DPONAP, requests for a debriefing should be sent to 
Deborah Lalancette, Director, Grants Management, DPONAP, 1999 Broadway, 
Suite 3390, Denver, CO 80202. Please refer to the General Section of 
the SuperNOFA for additional information on debriefings.

B. Administrative and National Policy Requirements:

    1. Environmental Impact. In accordance with 24 CFR 58.34(a)(3) or 
(a)(9), 58.35(b)(2), (b)(4) or (b)(5), 50.19(b)(3), (b)(9), (b)(12), 
(b)(14), or (b)(15) activities under this ROSS program are 
categorically excluded from the requirements of the National 
Environmental Policy Act of 1969 and are not subject to environmental 
review under related laws and authorities.
    2. Applicable Requirements. Grantees are subject to regulations and 
other requirements found in:
    a. 24 CFR 84 ``Uniform Administrative Requirements for Grants and 
Agreements with Institutions of Higher Education, Hospitals, and Other 
Nonprofit Organizations''
    b. 24 CFR 85 ``Administrative Requirements for Grants and

[[Page 27455]]

Cooperative Agreements to State, Local, and Federally Recognized Indian 
Tribal Governments''
    c. 24 CFR 964 ``Tenant Participation and Tenant Opportunities in 
Public Housing''
    d. OMB Circular A-87 ``Cost Principles for State, Local, and Indian 
Tribal Governments''
    e. OMB Circular A-110 ``Uniform Administrative Requirements for 
Grants and Other Agreements with Institutions of Higher Education, 
Hospitals and Other Non-Profit Organizations''
    f. OMB Circular A-122 ``Cost Principles for Non-Profit 
Organizations''
    g. OMB Circular A-133 ``Audits of States, Local Governments, and 
Non-Profit Organizations''
    3. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3). For further information see the General Section.
    4. Fair Housing and Civil Rights Laws. 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), as applicable. Please see the General Section of the 
SuperNOFA for more information.
    5. Requirements Applicable to All Programs. Applicants should refer 
to ``Requirements and Procedures Applicable to All Programs'' of the 
General Section of the SuperNOFA for requirements pertaining 
specifically to procurement of recovered materials and for information 
regarding other requirements to which they may be subject.

C. Reporting

    1. Semi-Annual Performance Reports. Grantees shall submit semi-
annual performance reports to the field office or area ONAP. These 
progress reports shall include financial reports (SF-269A) and a 
narrative describing milestones, work plan progress, and problems 
encountered and methods used to address these problems. HUD anticipates 
that some of the reporting of financial status and grant performance 
will be through electronic or Internet-based submissions. Grantees 
shall use quantifiable data to measure performance against goals and 
objectives outlined in their work plan. Applicants that receive awards 
from HUD should be prepared to report on additional measures that HUD 
may designate at time of award. Performance reports are due to the 
field office on July 30 and January 31 of each year. If reports are not 
received by the due date, grant funds will be suspended until reports 
are received.
    2. Final Report. All grantees shall submit a final report to their 
local field office or area ONAP that will include a financial report 
(SF-269A) and a narrative evaluating overall performance against its 
work plan. Grantees shall use quantifiable data to measure performance 
against goals and objectives outlined in their work plan. The financial 
report shall contain a summary of all expenditures made from the 
beginning of the grant agreement to the end of the grant agreement and 
shall include any unexpended balances. The final narrative and 
financial report shall be due to the field office 90 days after the 
termination of the grant agreement
    3. Final Audit. Grantees are required to obtain a complete final 
close-out audit of the grant's financial statements by a Certified 
Public Accountant (CPA), in accordance with generally accepted 
government audit standards. A written report of the audit must be 
forwarded to HUD within 60 days of issuance. Grant recipients must 
comply with the requirements of 24 CFR part 84 or 24 CFR part 85 as 
stated in OMB Circulars A-87, A-110, and A-122, as applicable.
    4. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data. In view of these requirements, you should use HUD-27061, 
the Racial and Ethnic Data Reporting Form (instructions are included), 
which can be found at: http://www.HUDclips.org; a comparable form; or a 
comparable electronic data system for this purpose.
    5. Logic Model. For each reporting period, as part of your required 
report to HUD, you must include a completed Logic Model (Form HUD-
96010), which identifies output and outcome achievements.

VII. Agency Contact(s)

    For questions and technical assistance, you may call the Public and 
Indian Housing Information and Resource Center at 800-955-2232. For 
persons with hearing or speech impairments, please call the toll-free 
Federal Relay Service at 800-877-8339. In the case of tribes/TDHEs, 
please contact DPONAP at 800-561-5913 or (303) 675-1600 (this is not a 
toll-free number).

VIII. Other Information

A. Code of Conduct
    Please see the General Section of the SuperNOFA for more 
information.
B. Transfer of Funds
    If transfer of funds from any of the ROSS programs does become 
necessary, HUD will give first priority to Homeownership Supportive 
Services, second priority to Family Self-Sufficiency, third priority to 
RSDM-Family, and fourth priority to RSDM-Elderly.
C. Paperwork Reduction Act
    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2577-0229. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average ten hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, semi-annual reports and 
final report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.
D. Appendix of Forms
    The forms specific to the ROSS Program follow.
BILLING CODE 4210-32-P

[[Page 27456]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.204


[[Page 27457]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.205


[[Page 27458]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.206


[[Page 27459]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.207


[[Page 27460]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.208


[[Page 27461]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.209


[[Page 27462]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.210


[[Page 27463]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.211


[[Page 27464]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.212


[[Page 27465]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.213


[[Page 27466]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.214


[[Page 27467]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.215


[[Page 27468]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.216


[[Page 27469]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.217


[[Page 27470]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.218


[[Page 27471]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.219


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27473]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.220


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27475]]



Public Housing Family Self-Sufficiency Program Under the Resident 
Opportunities and Self-Sufficiency (ROSS) Program; Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title: This NOFA is for the Public Housing 
Family Self-Sufficiency program under the Resident Opportunities and 
Self-Sufficiency (ROSS) Program.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is: FR-4900-N-33. The OMB approval number is: 2577-0229.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 
Resident Opportunity and Self Sufficiency, 14.870.
    F. Dates: The application due date is July 28, 2004. Please see the 
General Section of the SuperNOFA for application submission, delivery, 
and timely receipt requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of Program: The purpose of the Family Self-Sufficiency 
(FSS) program for Public Housing is to provide funding for Public 
Housing Authorities (PHAs) to hire a program coordinator to link 
participating families to the supportive services they need to achieve 
self-sufficiency.
    2. Funding Available: The Department expects to award a total of 
$16 million under the FSS program in Fiscal Year 2004.
    3. Award Amounts: Award amounts will range based on locality pay 
rates for professions similar to that of an FSS program coordinator. 
Individual award amounts will not exceed $63,000 to pay for the annual 
salary and fringe benefits of the program coordinator plus an 
additional 10 percent of such amount to pay a portion of the cost of 
paying for the services of a Contract Administrator who will act on 
behalf of a troubled PHA to carry out activities described in this 
NOFA.
    4. Eligible Applicants. Eligible applicants are PHAs that 
administer public housing programs. Renewal applicants and new 
applicants to the program must have an approved Public Housing FSS 
Action Plan on file with their local HUD field office prior to this 
NOFA's application deadline. Please see the Threshold Requirements 
section for more information.
    Nonprofit organizations, resident associations, and tribes/tribally 
designated housing entities (TDHEs) are not eligible for funding under 
this program.
    5. Cost Sharing/Match Requirement: There is no match requirement 
under this funding program.
    6. Grant term. The grant term for FSS is one year from the 
execution date of the grant agreement.

----------------------------------------------------------------------------------------------------------------
           Grant program                  Total funding        Eligible applicants       Maximum Grant Amount
----------------------------------------------------------------------------------------------------------------
Public Housing Family Self-          $16 million...........  PHAs only.............  $63,000 maximum salary
 Sufficiency.                                                                         amount plus 10% of
                                                                                      requested amount for
                                                                                      troubled PHAs to use
                                                                                      towards the services of a
                                                                                      contract administrator.
----------------------------------------------------------------------------------------------------------------

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description
    The FSS program provides funding for PHAs to pay for the salary and 
fringe benefits of a program coordinator who will work with 
participating families to link them to the supportive services they 
need to achieve self-sufficiency and, for troubled PHAs only, a portion 
of the cost of obtaining the services of a contract administrator.
    A PHA administering the FSS program must use a Program Coordinating 
Committee (PCC) to assist the PHA to secure the resources necessary to 
implement the FSS program. A PCC is made up of representatives of 
businesses, local government, job training and employment agencies, 
local welfare agencies, educational institutions, childcare providers, 
and nonprofit service providers, including faith-based and other 
community organizations. See 24 CFR 984.202 for more information.
    HUD is looking for applications that either build on existing 
Public Housing FSS programs or propose to implement a new Public 
Housing FSS program. Applicants who propose to link to other ROSS-
funded self-sufficiency programs will receive five additional points 
(see Rating Factor 3 1(a)(i)).
B. Definition of Terms
    1. Action Plan describes the policies and procedures of the PHA for 
operation of a local FSS program, and contains the following 
information (for a full description of what at a minimum the Action 
Plan must contain, please see 24 CFR 984.201):
    a. Family demographics. A description of the number, size, 
characteristics, and other demographics (including racial and ethnic 
data), and the supportive services needs of the families expected to 
participate in the FSS program;
    b. Estimate of participating families. A description of the number 
of eligible FSS families who can reasonably be expected to receive 
supportive services under the FSS program, based on available and 
anticipated Federal, tribal, State, local, and private resources;
    c. Eligible families from other self-sufficiency programs. The 
number of families participating in other federal, state, or local 
self-sufficiency programs (provide program name and sponsoring 
organization) that are expected to execute an FSS contract of 
participation.
    d. FSS Family selection procedures. A statement indicating the 
procedures to be utilized to select families for participation in the 
FSS program.
    e. Incentives to encourage participation. Description of the FSS 
account and other incentives the PHA will offer participating families.
    f. Outreach efforts. The Action Plan must describe the efforts the 
PHA will make to recruit FSS participants.
    g. FSS activities and supportive services consist of a description 
of the activities and supportive services to be provided by both public 
and private sources.
    h. Additional requirements. Additional requirements are found in 24 
CFR 984.201.
    2. Contract Administrator means an overall grant administrator and/
or a financial management agent that oversees the implementation of the 
grant and/or the financial aspects of the grant.
    3. Past Performance is a threshold requirement. HUD's field offices 
will evaluate data provided by applicants as well as applicants' past 
performance to determine whether an applicant has the capacity to 
manage the grant for which they are applying. Please see the section on 
Threshold Requirements for more information.
    4. Person with disabilities means a person who:

[[Page 27476]]

    (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 acquired immunodeficiency syndrome (HIV/AIDS) or any conditions 
arising from the etiologic agent for AIDS. In addition, no individual 
shall be considered a person with disabilities, for purposes of 
eligibility for low-income housing, solely on the basis of any drug or 
alcohol dependence.
    The definition provided above for persons with disabilities is the 
proper definition for determining program qualifications. However, the 
definition of a person with disabilities contained in section 504 of 
the Rehabilitation Act of 1973 and its implementing regulations must be 
used for purposes of reasonable accommodations.
    5. Program Coordinator under the Family Self-Sufficiency (FSS) 
program is someone responsible for linking FSS program participants to 
supportive services; working with the Program Coordinating Committee 
and local service providers to ensure that the necessary services and 
linkages to community resources are being made; ensuring through case 
management that the services included in participants' contracts of 
participation are provided on a regular, ongoing and satisfactory 
basis; making sure that participants are fulfilling their 
responsibilities under the contracts and that FSS escrow accounts are 
established and properly maintained for eligible families. FSS 
coordinators may also perform job development functions for the FSS 
program.
    6. 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 a(b)(1)) (1937 Act).
    7. Secretary means the Secretary of Housing and Urban Development.

C. Regulations Governing the FSS Program

    The FSS program is governed by 24 CFR part 984.

II. Award Information

A. Total Funding

    The Department expects to award $16 million under the PH Family 
Self-Sufficiency program. Funding amounts for individual grantees will 
be contingent upon HUD field office approval.

B. Grant Period

    One year. The grant period shall begin the day the grant agreement 
and the form HUD-1044, ``Assistance Award/Amendment'' are signed by 
both the grantee and HUD.

C. Grant Extensions

    Requests to extend the grant term beyond the originally established 
grant term must be submitted in writing by the grantee to the local HUD 
field office. Such requests must be done prior to grant termination and 
with enough notice to give the field office a reasonable amount of time 
to fully evaluate the request. Requests must explain why the extension 
is necessary, what work remains to be completed, and what work and 
progress was accomplished to date. Grants may be extended for a period 
of 6 months but not more than one year.

D. Type of Award

    Grant agreement.

III. Eligibility Information

A. Eligible Applicants

    Eligible applicants are public housing agencies (PHAs), which 
administer public housing programs. New and renewal applicants to the 
program must have an approved PH FSS Action Plan on file with their 
local HUD field office prior to this NOFA's application deadline.
    Nonprofit organizations, resident associations, and tribes/TDHEs 
are not eligible for funding under this program.

B. Cost Sharing or Matching

    There is no match requirement under this funding program.

C. Other

    1. Threshold Requirements. Applicants must respond to each 
threshold requirement clearly and thoroughly by following the 
instructions below. If your application fails one threshold requirement 
(regardless of the type of threshold) it will be considered a failed 
application and will not receive consideration for funding. The 
following are threshold requirements that are applicable to this ROSS 
component:
    a. Past Performance. HUD's field offices will evaluate data 
provided by applicants as well as applicants' past performance to 
determine whether an applicant has the capacity to manage the FSS 
program. For applicants required to have a contract administrator, 
field offices will evaluate the contract administrator for past 
performance. Using Rating Factor 1, the field office will evaluate 
applicants' past performance. If applicants fail to address what is 
requested in Rating Factor 1, their application will fail this 
threshold and will not receive further consideration.
    b. Contract Administrator Partnership Agreement. PHAs that are 
troubled at the time of application are required to submit a signed 
Contract Administrator Partnership Agreement. The agreement must be for 
the entire grant term. Grant award shall be contingent upon having a 
signed Partnership Agreement included in your application. Troubled 
PHAs are not eligible to be contract administrators. Grant writers who 
assist applicants prepare their FSS applications are also ineligible to 
be contract administrators. For more information on contract 
administrators, please see the section on Program Requirements below.
    c. FSS Action Plan. New applicants to the program must have a HUD 
approved Public Housing FSS Action Plan on file with their local HUD 
field office prior to this NOFA's application deadline. PHAs with 
previously approved Housing Choice Voucher (HCV) FSS Action Plans may 
either amend their HCV FSS Action Plan to include the PH FSS program or 
may submit a separate PH FSS Action Plan for HUD field office approval. 
New PH FSS Action Plans and amendments to existing Action Plans must be 
submitted to applicants' local HUD field office well enough in advance, 
but at least 30 days before the FSS NOFA deadline, to ensure enough 
time for field office approval of the PH FSS Action Plan prior to the 
NOFA deadline. FSS Action Plans must comply with 24 CFR 984.201.
    d. Ineligible Activities. Any application that proposes one or more 
ineligible activity will be disqualified and not considered for 
funding.
    e. Minimum Score for All Fundable Applications. Applications that 
pass all threshold requirements and go through the ranking and rating 
process, must receive a minimum score of 75 in order to be considered 
for funding.
    f. The Dunn and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section of the SuperNOFA for 
information regarding the DUNS

[[Page 27477]]

requirement. You will need to obtain a DUNS number to receive an award 
from HUD. This threshold requirement is curable.
    2. Program Requirements:
    a. Hiring a Public Housing FSS program coordinator. Funds awarded 
to PHAs under this NOFA may only be used to employ or otherwise retain 
the services of a Public Housing FSS program coordinator for the one 
year grant term and for troubled PHAs, to pay for the services of a 
contract administrator (see item ``h'' below). A part-time program 
coordinator may be retained where appropriate. The FSS program 
coordinator must:
    (1) Work with the PCC and with local service providers to ensure 
that Public Housing FSS program participants are linked to the 
supportive services they need to achieve self-sufficiency.
    (2) Ensure through case management that the services included in 
participants' contracts of participation are provided on a regular, 
ongoing and satisfactory basis, that participants are fulfilling their 
responsibilities under the contracts and that FSS escrow accounts are 
established and properly maintained for eligible families. FSS 
coordinators may also perform job development functions for the FSS 
program.
    (3) Under normal circumstances, a full-time FSS program coordinator 
should be able to serve approximately 50 FSS program participants, 
depending on the coordinator's case management functions.
    (4) Monitor the progress of program participants and evaluate the 
overall success of the program. For more information on how to measure 
performance, please see Rating Factor 4 in the ``Application Review 
Information'' section of this NOFA.
    b. Outreach. PHAs are encouraged to outreach to persons with 
disabilities who are Public Housing residents and might be interested 
in participating in the FSS program and to include agencies on their 
FSS PCC that work with and provide services for families with 
disabilities.
    c. Eligible families. Current residents of public housing are 
eligible. Eligible families who are currently enrolled or participating 
in local public housing self-sufficiency programs are also eligible.
    d. Contract of participation. Each family that is selected to 
participate in an FSS program must enter into a contract of 
participation with the PHA that operates the FSS program in which the 
family will participate. The contract shall be signed by the head of 
the FSS family.
    e. Contract term. The contract with participating families shall be 
for five years during which time each family will be required to 
fulfill its contractual obligations. PHAs may extend contracts for no 
more than two years for any family that requests in writing an 
extension of its contract provided the PHA finds that good cause exists 
to provide an extension. See 24 CFR 984.303 for more information on 
contracts of participation.
    f. Escrow accounts for very low or low income participating 
families. Such accounts shall be computed using the guidelines set 
forth in 24 CFR 984.305. NOTE: FSS families who are not low-income are 
not entitled to an escrow/credit.
    g. Number of Program Coordinators.
    (1) Renewal PHAs. PHAs that received funding from the Operating 
Fund may apply for renewal of each FSS coordinator position(s) that has 
been filled by the PHA in either of the past two years under the 
Operating Fund. Funding for more than one program coordinator position 
is contingent upon HUD field office approval. For renewal PHAs, HUD 
will fund a one percent increase over the amount most recently funded 
but not to exceed $63,000 for the FSS program coordinator(s) salary and 
fringe benefits.
    (2) New PHAs. A PHA that has not received funding under the 
Operating Fund for a PH FSS Program Coordinator may apply for only one 
program coordinator position as follows:
    (a) Up to one full-time FSS coordinator position for a PHA with HUD 
approval to administer an FSS program of 25 or more FSS slots.
    (b) Up to one full-time position per application for joint PHA 
applicants that have HUD approval to administer a total of at least 25 
Public Housing FSS slots between or among them.
    h. Contract Administrator. The Contract Administrator must assure 
that the financial management system and procurement procedures that 
will be in place during the grant term will fully comply with 24 CFR 
part 85. CAs are expressly forbidden from accessing HUD's Line of 
Credit Control System (LOCCS) and submitting vouchers on behalf of 
grantees. Contract administrators must also assist PHAs meet HUD's 
reporting requirements, see Section VI.C. ``Reporting'' for more 
information. Contract administrators may be: Local Housing Agencies; 
community-based organizations such as Community Development 
Corporations (CDCs), churches, temples, synagogues, mosques; nonprofit 
organizations; State/Regional associations and organizations. Troubled 
PHAs are not eligible to be contract administrators. Grant writers who 
assist applicants prepare their FSS applications are also ineligible to 
be contract administrators. Troubled PHA applicants without a contract 
administrator in place at the time of grant application may request an 
additional amount to pay for the cost of obtaining the services of a 
contract administrator (such amount may not exceed 10 percent of the 
amount the PHA has requested for the program coordinator's salary and 
fringe benefits). For example, if a troubled PHA needs the services of 
a contract administrator, and is requesting $63,000 for the program 
coordinator's salary, the applicant may request an additional 10 
percent or $6,300 to pay for a contract administrator. Organizations 
that the applicant proposes to use as the contract administrator must 
not violate or be in violation of conflicts of interest as defined in 
24 CFR part 84 and 24 CFR part 85.
    3. Number of Applications Permitted:
    a. General. PHA applicants may submit only one application under 
this category. PHA applicants may submit one application for each of 
the other funding categories under ROSS (Resident Service Delivery 
Models-Family, Resident Service Delivery Models-Elderly/Persons with 
Disabilities and Homeownership Supportive Services) and one application 
under the Public Housing Neighborhood Networks grant program; however 
applicants must submit separate applications for each funding category.
    b. Joint applications. Two or more PHAs may join together to submit 
a joint application under this NOFA. Joint applications must designate 
a lead applicant. Both lead and non-lead applicants are subject to 
threshold requirements. Applicants who submit joint applications may 
not also submit separate applications as sole applicants under this 
NOFA.
    4. Eligible Participants: All program participants must be 
residents of conventional public housing.
    5. Program Requirements. All applicants and grantees must comply 
with the program requirements contained in Section III.C. of the 
General Section of the SuperNOFA.

IV. Application and Submission Information

A. Addresses To Request Application Package

    There is no application kit this year. All forms and necessary 
information for applying are contained within this NOFA. Please refer 
to the General

[[Page 27478]]

Section of the SuperNOFA for information on how to obtain hard copies 
of this NOFA. You may also visit http://www.hud.gov to obtain a copy of 
this NOFA.

B. Content and Form of Application Submission

    1. Application Format: Before preparing an application to the FSS 
program, applicants should carefully review the program description, 
ineligible activities and threshold requirements which are found in 
this NOFA. Applicants should also review each rating factor found in 
the ``Application Review Information'' section before writing a 
narrative response. Applicants' narratives should be as descriptive as 
possible, ensuring that every requested item is addressed. Applicants 
should make sure to include all requested information, according to the 
instructions found in this NOFA and where applicable, in the General 
Section of the SuperNOFA. This will help ensure a fair and accurate 
review of your application.
    2. Content and Format for Submission: Applicants must propose 
programs which meet the program requirements as outlined above. 
Applicants are reminded that any application proposing one or more 
ineligible activities will not be funded. Finally, applicants must 
submit their applications according to the ``Format'' section below.
    a. Content of Application:
    Applicants must write narrative responses to each of the rating 
factors which follow this section. Applicants will be evaluated on 
whether their responses demonstrate that they have the necessary 
capacity to successfully manage this grant program. Applicants should 
ensure that their narratives are written clearly and concisely so that 
HUD reviewers, who may not be familiar with the FSS program, may fully 
understand your proposal. HUD encourages applicants to carefully review 
each rating factor, the regulations governing the FSS program, 24 CFR 
part 984, and the General Section of the SuperNOFA prior to responding 
to each rating factor.
    b. Format of Application:
    (1) Applications may not exceed 35 narrative pages. Narrative pages 
must be typed, double-spaced, numbered, use Times New Roman font style, 
and font size 12. Applications should be submitted in a three-ring 
binder with materials organized behind tabs according to the outline 
provided below. Supporting documentation, required forms, and 
certificates will not be counted towards the 35 page limit. However, 
applicants should make every effort to submit only what is necessary in 
terms of supporting documentation.
    (2) Format for submission of SuperNOFA forms, FSS forms and 
narrative responses.
    TAB 1: Required Forms from the General Section of the SuperNOFA and 
other ROSS forms: SF-424 Application for Federal Assistance;
    1. SF-424 Supplement, Survey on Ensuring Equal Opportunity for 
Applicants;
    2. Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers (HUD- 27300);
    3. HUD-52751 Fact Sheet
    4. HUD-424 B Applicant Assurances and Certifications;
    5. HUD-424 CB Grant Application Detailed Budget;
    6. HUD-2880 Applicant Disclosure/Update Report;
    7. HUD-2990 Certification of Consistency with RC/EZ/EC Strategic 
Plan (if applicable);
    8. HUD-2991 Certification of Consistency with the Consolidated Plan 
(if applicable);
    9. SF-LLL Disclosure of Lobbying Activities (if applicable);
    10. SF-LLL-A Disclosure of Lobbying Activities Continuation Sheet 
(if applicable);
    11. HUD-2993 Acknowledgement of Application Receipt; and
    12. HUD-2994 Client Comments and Suggestions (optional)
    TAB 2: Threshold Requirements:
     Contract Administrator Partnership Agreement (required for 
troubled PHAs) (HUD-52755)
    TAB 3: Narrative for Rating Factor 1 and ROSS Program Forms:
    1. Narrative
    2. Chart A: HUD52756 Program Staffing
    3. Chart B: HUD 52757 Applicant/Administrator Track Record
    4. Resume(s)/Position Description(s)
    TAB 4: Narrative for Rating Factor 2.
    TAB 5: Rating Factor 3:
    1. Narrative
    2. HUD 52767 Family Self-Sufficiency Funding Request Form
    TAB 6: Narrative for Rating Factor 4.
    TAB 7: Narrative for Rating Factor 4 and ROSS Program Forms:
    1. Narrative 2. HUD 96010 Logic Model

C. Submission Dates and Times

    1. Due Dates: The application due date is July 28, 2004. Please see 
the General Section of the SuperNOFA for application submission, 
delivery, and timely receipt requirements.
    2. Proof of Timely Submission. Please see the General Section of 
the SuperNOFA for more information about how to submit your application 
to HUD. Applicants that fail to meet the deadline for application 
receipt will not receive funding consideration.

D. Intergovernmental Review

    Not applicable.

E. Funding Restrictions

    1. Reimbursement for Grant Application Costs: Applicants who 
receive an award under this program are prohibited from using FSS grant 
funds to reimburse any costs incurred in conjunction with preparation 
of their FSS grant application.
    2. Covered Salaries:
    a. Program Coordinator: All applicants may propose to hire a 
qualified program coordinator to run the grant program. The FSS program 
will fund up to $63,000 in combined annual salary and fringe benefits 
for a full-time program coordinator. For audit purposes, applicants 
must have documentation on file demonstrating that the salary they pay 
the program coordinator is comparable to similar professions in their 
local area.
    b. Contract Administrator: Applicants may not request more than 10 
percent of the total grant amount requested from HUD for the program 
coordinator's salary to pay for the services of a Contract 
Administrator. Only PHAs that are designated troubled at time of grant 
application may request additional funding for this purpose.
    c. Eligible Salaries. FSS funds may only be used for the types of 
salaries described in this section according to the restrictions 
described herein. FSS funds may not be used to pay for salaries of any 
other kind.
    3. Administrative Costs. FSS funds cannot be used to pay for 
administrative costs.
    4. Ineligible Activities. Grant funds may not be used for 
ineligible activities such as:
    a. The salary of an FSS coordinator for the Housing Choice Voucher 
FSS program;
    b. Services for FSS program participants;
    c. Elderly/Disabled Service Coordinator salary and fringe benefits;
    d. Wages and/or salaries to participants for receiving supportive 
services and/or training programs;
    e. The purchase of food;
    f. The purchase, lease, or rental of land;
    g. New construction, materials costs;
    h. Rehab or physical improvements;
    i. Entertainment costs;
    j. Purchase, lease, or rental of vehicles;

[[Page 27479]]

    k. Stipends;
    l. Cost of application preparation; and
    m. Costs which exceed limits identified in the NOFA for the 
following: Program Coordinator, and Contract Administrator.
    5. Eligible Developments: Only conventional public housing 
developments may be served by FSS grant funds awarded under this NOFA. 
Other housing/developments, including, but not limited to, private 
housing, federally insured housing, federally subsidized or assisted 
(i.e., assisted under Section 8, Section 202, Section 811, Section 
236), and others are not eligible to participate in this program.

F. Other Submission Requirements

    1. Mailing Applications. Applicants to the PH FSS program should 
send their applications to: HUD Grants Management Center, Mail Stop: 
Public Housing Family Self-Sufficiency Program, 2001 Jefferson Davis 
Hwy, Suite 703, Arlington, VA 22202. Please see the General Section of 
the SuperNOFA for detailed mailing and delivery instructions.
    2. Number of Copies. Applications must be submitted in triplicate 
(one original and two identical copies). The original and one identical 
copy must be sent to the Grants Management Center by the deadline. The 
other identical copy must be submitted to your local HUD field office 
by the deadline.

V. Application Review Information

A. Criteria

    1. Factors for Award Used to Evaluate and Rate Applications to the 
FSS program: The factors for rating and ranking applicants and maximum 
points for each factor are provided below. The maximum number of points 
available for this program is 102. This includes two RC/EZ/EC bonus 
points. The SuperNOFA contains a certification that must be completed 
in order for the applicant to be considered for RC/EZ/EC bonus points. 
A listing of federally designated RCs, EZs, ECs, and EECs is included 
as an appendix to the General Section of the SuperNOFA and is also 
available from the NOFA Information Center. The agency certifying to 
RC/EZ/EC status must be listed in the appendix of the SuperNOFA to be 
eligible to receive the bonus points.

    Note: Applicants should carefully review each rating factor 
before writing a response. Applicants' narratives should be as 
descriptive as possible, ensuring that every requested item is 
addressed. Applicants should make sure their narratives thoroughly 
address the Rating Factors below and to include all requested 
information, according to the instructions found in this NOFA. This 
will help ensure a fair and accurate application review.


a. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (35 Points)
    In rating this factor, HUD will consider the extent to which the 
proposal demonstrates that the applicant will have qualified and 
experienced program coordinator(s) dedicated to administering the 
program.
    (1) Proposed Program Staffing (10 Points).
    (a) Staff Experience (5 Points). The knowledge and experience of 
the proposed program coordinator(s) in planning and managing programs 
for which funding is being requested. Experience will be judged in 
terms of recent, relevant and successful experience of the program 
coordinator(s) to undertake eligible program activities. In rating this 
factor, HUD will consider experience within the last 5 years to be 
recent; experience similar to the functions of an FSS program 
coordinator to be relevant; and experience producing specific 
accomplishments to be successful. The more recent the experience and 
the more experience proposed staff have in successfully conducting and 
completing similar functions, the greater the number of points 
applicants will receive for this rating factor. The following 
information should be provided in order to provide HUD an understanding 
of proposed staff's experience and capacity:
    (i) The staff's relevant educational background and/or work 
experience; and
    (ii) Relevant and successful experience running programs whose 
activities are similar to the FSS Program.
    (b) Staff Capacity (5 Points). Applicants will be evaluated based 
on whether they have staff in place or will be able to quickly access 
qualified professional(s), to administer the FSS program in a timely 
and effective fashion. Applicants' narrative must describe their 
ability to immediately begin implementing an FSS program. Attach 
resumes and position descriptions (where staff is not yet hired) for 
the program coordinator position. (Resume(s)/position description(s) do 
not count toward the 35-page limit.)
    (2) Past Performance of Applicant/Contract Administrator (15 
Points) Applicants' narrative must describe how they (or their contract 
administrator) successfully implemented grant programs (including those 
listed below) designed to assist low-income families and individuals 
achieve economic self-sufficiency or move from welfare to work. Renewal 
applicants should include facts and statistics in their narrative from 
past annual performance reports and/or the FSS addendum to Form HUD-
50058. Applicants' past experience may include, but is not limited to, 
running and managing programs aimed at assisting residents of low-
income housing achieve economic self-sufficiency and/or moving from 
welfare to work, such as ROSS, FSS, or Youthbuild. Applicants' 
narrative must indicate the grants they received and managed, the grant 
amounts, and grant terms (years) of the grants that they are counting 
towards past experience.
    Applicants will be evaluated according to the following criteria:
    (a) Achievement of specific measurable outcomes and objectives in 
terms of benefits gained by participating residents. (5 Points). 
Applicants should describe results their programs have obtained, for 
example: higher incomes, higher rates of employment, increased savings; 
and moving out of subsidized housing to market-rate housing.
    (b) Describe success in attracting and keeping residents involved 
in past grant-funded training programs. (5 Points) HUD wants to see 
that applicants' grant-funded programs benefited a significant numbers 
of residents;
    (c) Description of timely fund expenditure throughout the term of 
past grants. (5 Points) Timely means regular drawdowns throughout the 
life of the grant, i.e. quarterly drawdowns, with all funds expended by 
the end of the grant term;
    (3) Program Administration and Fiscal Management. (10 Points)
    (a) Program Administration and Accountability. (5 Points). 
Applicants should describe how they will manage the program and how HUD 
can be sure that there is program accountability.
    (b) Fiscal Management. (5 Points) In rating this factor, 
applicants' skills and experience in fiscal management will be 
evaluated. If applicants have had any audit or material weakness 
findings in the past five years, they will be evaluated on how well 
they have addressed them. Applicants must provide the following:
    (i) A complete description of their fiscal management structure, 
including fiscal controls currently in place including those of a 
contract administrator for applicants required to have a contract 
administrator, (troubled PHAs);
    (ii) Applicants must list any audit findings in the past five years 
(HUD

[[Page 27480]]

Inspector General, management review, fiscal, etc.), material 
weaknesses and what has been done to address them;
    (iii) Applicants who are required to have a contract administrator, 
must describe the skills and experience the contract administrator has 
in managing federal funds.
b. Rating Factor 2: Need/Extent of the Problem (20 Points)
    In responding to this factor, you will be evaluated on the extent 
to which you describe and document the level of need for an FSS program 
coordinator in the communities you serve.
    You should use statistics and analyses contained in data source(s) 
that are sound and reliable. Data that describes socioeconomic 
conditions at the local level can be found by going to the following 
Web sites: http://www.bls.gov (Bureau of Labor Statistics) or http://www.census.gov (US Census). Other types of sources include academic, 
state, and local sources. To the extent possible, the data you use 
should be specific to the population you propose to serve. You should 
document needs as they apply to the targeted population, rather than 
the entire region or state.
    In responding to this factor, you must include:
    (1) Socioeconomic Profile (10 points). A thorough socioeconomic 
profile of the eligible residents to be served by your program, 
including education levels, income levels, the number of single-parent 
families, economic statistics for the local area, etc.
    (2) Local Training Program Information (10 points). Information on 
training programs currently available and easily accessible to 
residents either through the PHA or other local or state community 
organizations.
c. Rating Factor 3: Soundness of Approach (30 Points)
    In rating this factor HUD will consider:
    (1) Quality of Your Proposal (20 points). This factor evaluates 
your application based on the following criteria:
    (a) Scope of Services (12 points). Your narrative should refer to 
the Public Housing FSS Action Plan submitted to your local HUD field 
office and it must describe how many people you plan to serve, whether 
you will expand your program over time, and how your program will:
    (i) Link with other ROSS-funded self-sufficiency programs; (5 
points)
    (ii) Involve community partners in the delivery of services; (4 
points) and
    (iii) Link to comprehensive services versus a small range of 
services geared toward enhancing economic opportunities for residents 
(3 points).
    (b) Feasibility and Demonstrable Benefits (4 points). This factor 
examines whether your proposal is logical, feasible and likely to 
achieve its stated purpose during the term of the grant. HUD's desire 
is to fund applications that will quickly produce demonstrable results 
and advance the purposes of the FSS program.
    (i) Timeliness. This subfactor evaluates whether your proposal 
demonstrates that your project is ready to be implemented shortly after 
grant award, but not to exceed three months following the execution of 
the grant agreement. Your proposal must indicate timeframes and 
deadlines for accomplishing major activities.
    (ii) Description of the problem and solution. Your proposal will be 
evaluated based on how well your proposal and approach to case 
management address the needs described in Rating Factor 2.
    (c) Salary Appropriateness/Efficient Use of Grant. (4 Points)
    You will be evaluated based on whether the salary you propose for 
the program coordinator is comparable to similar professions in your 
local area, your narrative must justify the salary you propose to pay 
the program coordinator by using local pay rates for comparable 
professions.
    (2) Addressing HUD's Policy Priorities (10 points). HUD wants to 
improve the quality of life for those living in distressed communities. 
HUD's grant programs are a vehicle through which long-term, positive 
change can be achieved at the community level. Your proposal will be 
evaluated based on how well it meets the following HUD policy 
priorities:
    (a) Improving the Quality of Life in Our Nation's Communities (5 
points). In order to receive points in this category, your narrative 
must indicate how your FSS program will help residents successfully 
transition from welfare to work and earn higher wages.
    (b) Providing Full and Equal Access to Grassroots Faith-Based and 
Other Community-Based Organizations in HUD Program Implementation (3 
points). HUD encourages applicants to partner with grassroots 
organizations, e.g., civic organizations, grassroots faith-based and 
other community-based organizations that are not usually effectively 
utilized. These grassroots organizations have a strong history of 
providing vital community services such as developing first-time 
homeownership programs, creating economic development programs, 
providing job training and other supportive services. In order to 
receive points under this factor, your narrative must describe how you 
will work with these organizations and what types of services they will 
provide.
    (c) Policy Priority for Increasing the Supply of Affordable Housing 
Through the Removal of Regulatory Barriers to Affordable Housing. (up 
to 2 points) Under this policy priority, higher rating points are 
available to (1) governmental applicants that are able to demonstrate 
successful efforts in removing regulatory barriers to affordable 
housing, and (2) nongovernmental applicants that are associated with 
jurisdictions that have undertaken successful efforts in removing 
barriers. For applicants to obtain the policy priority points for 
efforts to successfully remove regulatory barriers, applicants would 
have to complete form HUD 27300, ``Questionnaire for HUD's Initiative 
on Removal of Regulatory Barriers.'' A copy of HUD's Notice entitled 
``America's Affordable Communities Initiative, HUD's Initiative on 
Removal of Regulatory Barriers: Announcement of Incentive Criteria on 
Barrier Removal in HUD's 2004 Competitive Funding Allocations'' can be 
found on HUD's Web site at http://www.hud.gov/grants/index.cfm. A 
description of the policy priority and a copy of form HUD 27300 can be 
found in the General Section to the SuperNOFA. Applicants are 
encouraged to read the Notice as well as the general section of the 
SuperNOFA to obtain an understanding of this policy priority and how it 
can impact their score. A limited number of questions expressly request 
the applicant to provide brief documentation with their response. Other 
questions require that for each affirmative statement made, the 
applicant must supply a reference, URL, or a brief statement indicating 
where the back-up information may be found, and a point of contact, 
including a telephone number and/or e-mail address.
d. Rating Factor 4: Achieving Results and Program Evaluation (15 
Points)
    An important element in this year's NOFA is the development and 
reporting of performance measures and outcomes. This factor emphasizes 
HUD's determination to ensure that applicants meet commitments made in 
their applications and grant agreements and that they assess their 
performance so that they realize performance goals. Applicants must 
demonstrate how they propose to measure their success and outcomes as 
they relate to the Department's Strategic Plan.
    HUD requires FSS applicants to develop an effective, quantifiable, 
outcome-oriented plan for measuring

[[Page 27481]]

performance and determining that goals have been met. Applicants must 
use the Logic Model Form (HUD-96010) for this purpose.
    Applicants must establish interim benchmarks, or outputs, for their 
proposed program that lead to the ultimate achievement of outcomes. 
``Outputs'' are the direct products of a program's activities. Examples 
of outputs are: The number of eligible families that participate in 
supportive services, the number of families enrolled, or the number of 
households that develop an escrow account. Outputs should produce 
outcomes for your program.
    ``Outcomes'' are benefits accruing to the residents, families and/
or communities during or after participation in the FSS program. 
Applicants must clearly identify the outcomes to be achieved and 
measured. Examples of outcomes are: Increasing residents' financial 
stability (e.g., increasing assets of a household through savings or 
escrow), increasing the number of FSS graduates, or increasing 
employment stability (e.g., whether persons assisted obtain or retain 
employment for one or two years after job training completion). 
Outcomes are not the actual development or delivery of services or 
program activities.
    This rating factor requires that applicants identify program 
outputs, outcomes, and performance indicators that will allow 
applicants to measure their performance. Performance indicators should 
be objectively quantifiable and measure actual achievements against 
anticipated achievements. Applicants' narrative and Logic Model should 
identify what applicants are going to measure, how they are going to 
measure it, and the steps they have in place to make adjustments to 
their work or management practices if performance targets begin to fall 
short of established benchmarks and timeframes. Applicants must include 
the standards, data sources, and measurement methods they will use to 
measure performance.
    In order to respond to this factor, applicants should use the 
sample performance measures (HUD-52758) located in the Appendix as a 
guide. Applicants will be evaluated based on how comprehensively they 
propose to measure their program's outcomes.

B. Review and Selection Process

    1. Review Process: Four types of reviews will be conducted: A 
screening to determine if you are eligible to apply for funding under 
the FSS grant category; whether your application submission is 
complete, on time and meets threshold; a review by the field office to 
evaluate past performance and whether there is an approved PH FSS 
Action Plan on file with the field office; and a technical review to 
rate your application based on the four rating factors provided in this 
NOFA.
    2. Selection Process: The selection process is designed to achieve 
geographic diversity of grant awards throughout the country. HUD will 
first select the highest ranked application from each of the ten 
federal regions for funding. After this ``round,'' HUD will select the 
second highest ranked application in each of the 10 federal regions 
(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 (by score) regardless of region and will fully fund as many as 
possible with remaining funds. If remaining funds are too small to make 
an award, they may be transferred to another ROSS funding category.
    3. Tie Scores. In the event of a tie between two applications from 
the same region, HUD will select the application that was received 
first.
    1. Deficiency Period. Applicants will have fourteen calendar days 
in which to provide missing information requested from HUD. For other 
information on correcting deficient applications, please see the 
General Section of the SuperNOFA.

VI. Award Administration Information

A. Award Notices

    HUD will make announcements of grant awards after the rating and 
ranking process is completed. Grantees will be notified by letter and 
will receive instructions for what steps they must take to access 
funding and begin implementing grant activities.
    Applicants who are not funded will also receive letters via U.S. 
postal mail. Applicants who are not funded may request a debriefing. 
Applicants requesting to be debriefed must send a written request to: 
Iredia Hutchinson, Director, Grants Management Center, 501 School 
Street, SW., Suite 800, Washington, DC 20024. See the General Section 
of the SuperNOFA for additional information on debriefings.

B. Administrative and National Policy Requirements

    1. Environmental Impact. 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 and/or a contract administrator that 
provides administrative and management 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)(3), (4) and (12).
    2. Applicable Requirements. Grantees are subject to regulations and 
other requirements found in:
    a. OMB Circular A-87 ``Cost principles for State, Local, and Indian 
Tribal Governments''.
    b. OMB Circular A-133 ``Audits of States, Local Governments, and 
Non-Profit Organizations''.
    c. HUD Regulations 24 CFR part 984 ``Section 8 and Public Housing 
Family Self-Sufficiency Program''.
    d. HUD Regulations 24 CFR part 85 ``Administrative Requirements for 
Grants and Cooperative Agreements to State, Local, and Federally 
Recognized Indian Tribal Governments''.
    3. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3).
    For further information see the General Section at III.C.4.c.
    4. 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), as applicable. Please see 
Section III.C.2 of the General Section of the SuperNOFA for more 
information.
    5. Applicants should refer to Section III C ``Requirements and 
Procedures Applicable to All Programs'' of the General Section of the 
SuperNOFA for other requirements to which they may be subject.

C. Reporting

    1. Semi-Annual Performance Reports. Grantees shall submit semi-
annual performance reports to the field office. These progress reports 
shall include financial reports (SF-269A), the Logic Model, and a 
narrative describing milestones, progress, and problems encountered and 
methods used to address these problems. Grantees shall use quantifiable 
data to measure performance against goals and objectives outlined in 
their Logic Model. Performance reports are due to the field office on 
July 30 and January 31 of each year. If reports are not received by the 
due date, grant funds will be suspended until reports are received.

[[Page 27482]]

    2. Reporting Using HUD-50058 Addendum. Grantees must report on PH 
FSS program participants to PIC using the HUD-50058 addendum to report 
on the enrollment, progress, and exit of individual families. Failure 
to report to PIC is a violation of the program and may result in grant 
termination.
    3. Final Report. All grantees shall submit a final report to their 
local field office which will include a financial report (SF-269A) and 
a narrative evaluating overall performance against their Logic Model. 
Grantees shall use quantifiable data to measure performance against 
goals and objectives outlined in their Logic Model. The financial 
report shall contain a summary of salary expenditures made from the 
beginning of the grant agreement to the end of the grant agreement and 
shall include any unexpended balances. The final narrative and 
financial report shall be due to the field office 90 days after the 
termination of the grant agreement.
    4. Racial and Ethnic Data. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's Standards for the Collection of Racial and 
Ethnic Data. In view of these requirements, you should use HUD-27061, 
the Racial and Ethnic Data Reporting Form (instructions are included) 
which can be found at www.HUDclips.org; a comparable form; or a 
comparable electronic data system for this purpose.

VII. Agency Contact(s)

    For questions and technical assistance, you may call the Public and 
Indian Housing Information and Resource Center at 800-955-2232. For 
persons with hearing or speech impairments, please call the toll-free 
Federal Relay Service at 800-877-8339.

VIII. Other Information

    A. Code of Conduct: See the General Section of the SuperNOFA for 
more information.
    B. Transfer of Funds. If transfer of funds from any of the ROSS 
programs does become necessary, HUD will give first priority to 
Homeownership Supportive Services, second priority to Family Self-
Sufficiency, third priority to RSDM-Family, and fourth priority to 
RSDM-Elderly. HUD does not have the discretion to transfer funds for 
the Neighborhood Networks program to any other funding category under 
ROSS.
    C. Paperwork Reduction Act: The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2577-0229. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average eight hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting the data for the 
application, semi-annual reports and final report. The information will 
be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.
    D. Appendix of Forms. The forms specific to Public Housing FSS 
under the ROSS Program follow.
BILLING CODE 4210-32-P

[[Page 27483]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.221


[[Page 27484]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.222


[[Page 27485]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.223


[[Page 27486]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.224


[[Page 27487]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.225


[[Page 27488]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.226


[[Page 27489]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.227


[[Page 27490]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.228


[[Page 27491]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.229


[[Page 27492]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.230


[[Page 27493]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.231


[[Page 27494]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.232


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27495]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.233


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27497]]



Continuum of Care Homeless Assistance Programs

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development.
    B. Funding Opportunity Title: Funding Availability for Continuum of 
Care (CoC) Homeless Assistance Programs.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: FR-4900-N-29. The OMB Approval 
number is 2506-0112. The Federal Register number for this NOFA is: FR-
4900-N-29.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers:
    1. 14.235, Supportive Housing Program (SHP)
    2. 14.238, Shelter Plus Care (S+C)
    3. 14.249, Section 8 Moderate Rehabilitation Single Room Occupancy 
(SRO)
    F. DATES: Application Deadline: July 27, 2004. Your completed 
applications (an original containing the signed documentation and two 
copies) are due on or before July 27, 2004 to the addresses shown in 
Section IV.F. Please carefully read Section IV.C. of this program 
section as well as the General Section for all the critical information 
on your submission and HUD's acceptance of applications.
    G. Additional Overview Content Information:
    1. Purpose of the Programs: The purpose of the CoC Homeless 
Assistance Programs is to assist homeless persons to move to self-
sufficiency and permanent housing.
    2. Available Funds: Approximately $1 billion is available for 
funding.
    3. Eligible Applicants: The program summary chart in Section 
III.A.3 identifies the eligible applicants for each of the three 
programs under the CoC Homeless Assistance Programs.
    4. Match: Matching funds are required from local, state, federal or 
private resources.

Full Text of Announcement

I. Funding Opportunity Description

A. Program Description

1. Overview
    a. The purpose of the CoC Homeless Assistance Programs is to reduce 
the incidence of homelessness in CoC communities by assisting homeless 
individuals and families to move to self-sufficiency and permanent 
housing. Projects that sustain current successful interventions and 
fill gaps in locally developed CoC systems will be funded. To help meet 
the current Administration's goal of ending chronic homelessness by 
2012, priority will be placed on programs that target the supportive 
housing needs of this population.
2. Major Changes for 2004
    a. Application Requirements. New this year, the applying CoC must 
assemble the entire application, including all projects, and submit it 
as a single mailed or hand-delivered package to HUD. Each application 
will consist of the CoC Exhibit and projects from one or more 
applicants and project sponsors. Individual projects in a CoC should 
not be submitted to HUD separately. Also new this year, submitted 
applications should only include the actual application questions and 
responses being provided. Do not include HUD's application instructions 
or any blank tables and charts.
    b. Chronic Homelessness Priority. To help reach the goal of ending 
chronic homelessness by 2012, at least 10 percent of the FY 2004 
homeless appropriation must be awarded to projects predominantly 
serving individuals experiencing chronic homelessness. New or renewal, 
transitional, safe haven or permanent housing projects that have at 
least 70 percent of their clients who are chronically homeless will 
count toward this target. Within the ``Process and Strategy'' rating 
factor, HUD will be giving added weight to the community's response to 
the chronic homelessness strategy goals including design and 
implementation of state and local 10-year planning processes.
    c. Performance Measurement. A new ``Performance Measurement'' 
section is included and will be given the added weight of up to 5 
points in the scoring process.
    d. HMIS Implementation. An ``HMIS Implementation'' section is 
included and will be given the added weight of up to 5 points in the 
scoring process.
    e. SHP Funds for HMIS. Starting this year, HUD has reserved the 
right to fund lower rated eligible dedicated HMIS projects receiving 40 
need points and at least 25 Continuum points for at least one year to 
work toward the congressional goal of improving homeless data 
collection.
    f. The ``Process and Strategy'' scoring has been reduced from 20 to 
17 points.
    g. The ``Gaps and Priorities'' scoring has been reduced from 15 to 
10 points.
    h. A new scoring opportunity on ``Removing Barriers to Affordable 
Housing'' valued at up to 2 points has been added to the ``Process and 
Strategy'' rating factor.
    i. Projects must receive a minimum score of 65 points in the 
competition in order to receive any funding consideration for lower-
rated SHP renewals.
    j. The permanent housing bonus will now be applied using a sliding 
scale based on a Continuum of Care's preliminary ``Pro Rata Need'' 
amount.
    k. The Supplemental Resources section has been simplified by 
replacing an extensive narrative section with a multiple-choice chart 
and the scoring has been reduced to 13 points from 15.
    l. For each project, applicants will estimate the number of 
chronically homeless persons that will be served. In addition, the CoC 
will be required to describe any changes in the number of chronically 
homeless persons reported from 2003 to 2004.
    m. Each project will indicate which subpopulations it will target.
    n. Starting this year, grant terms for all newly proposed 
Supportive Housing Program projects, excluding HMIS projects, will be 
three years.
    3. Developing CoC Systems: Developing a CoC system should be an 
inclusive process to assist homeless persons. It should be coordinated 
with the community's larger effort of developing a HUD required 
Consolidated Plan. Coordination with state and local 10-year plans to 
end chronic homelessness and Interagency Councils on Homelessness is 
also crucial to developing an inclusive CoC system. For a community to 
successfully address its often complex and interrelated problems, 
including homelessness, the community must marshal 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 serves as the 
vehicle for a community to comprehensively identify each of its needs 
and to coordinate a plan of action for addressing them.
    4. CoC Components. A CoC system consists of five 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 search counselors;
    c. Transitional housing with appropriate supportive services to 
help

[[Page 27498]]

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.
    e. Prevention strategies play an integral role in a community's 
plan to eliminate homelessness. By law, prevention activities are 
ineligible activities in the three programs for which funds are awarded 
in this competition but are eligible for funding under the Emergency 
Shelter Grant block grant program.
    5. CoC Planning Process. A CoC system is developed through a 
community-wide or region-wide process involving nonprofit organizations 
(including those representing persons with disabilities), government 
agencies, public housing authorities, community and faith-based 
organizations, other homeless providers, housing developers and service 
providers, private businesses and business associations, law 
enforcement agencies, private funding providers, and homeless or 
formerly homeless persons. A CoC system should address the specific 
needs of each homeless subpopulation: those experiencing chronic 
homelessness, veterans, persons with serious mental illnesses, persons 
with substance abuse issues, persons with HIV/AIDS, persons with co-
occurring diagnoses (may include diagnoses of multiple physical 
disabilities or multiple mental disabilities or a combination of these 
two types), victims of domestic violence, youth, and any others. To 
ensure that the CoC system addresses the needs of homeless veterans, it 
is particularly important that you involve veteran service 
organizations with specific experience in serving homeless veterans.
    6. CoC Funding is provided through the programs briefly described 
below. Please refer to the CoC Homeless Assistance Programs Chart in 
Section III.A.3 for a summary of each program:
    a. The Supportive Housing Program (SHP) funds the development of 
transitional supportive housing and services that help homeless persons 
transition from homelessness to living as independently as possible and 
permanent supportive housing and services for disabled homeless 
persons.
    b. The Shelter Plus Care (S+C) Program provides funding for rental 
assistance giving applicants flexibility in devising appropriate 
housing and supportive services for homeless persons with disabilities.
    c. The Section 8 Moderate Rehabilitation Single Room Occupancy 
(SRO) Program provides rental assistance on behalf of homeless 
individuals in connection with the moderate rehabilitation of SRO 
dwellings.
    7. Glossary of Terms
    a. Applicant. An entity that applies to HUD for funds. See the CoC 
Homeless Assistance Programs Chart in Section III.A.1 for a list of 
entities that are eligible. In order to be an applicant, you must 
submit a SF-424. If selected for funding, the applicant becomes the 
grantee and is responsible for the overall management of the grant, 
including drawing grant funds and distributing them to project 
sponsors. The applicant may also be a project sponsor.
    b. Applicant Certification. The form, required by law, in which an 
applicant certifies that it will adhere to certain statutory 
requirements, such as the Civil Rights Act of 1964.
    c. Chronically Homeless Person. An unaccompanied homeless 
individual with a disabling condition who has either been continuously 
homeless for a year or more OR has had at least four episodes of 
homelessness in the past three years. Disabling condition is defined as 
``a diagnosable substance use disorder, serious mental illness, 
developmental disability, or chronic physical illness or disability, 
including the co-occurrence of two or more of these conditions.'' In 
defining the chronically homeless, the term ``homeless'' means ``a 
person sleeping in a place not meant for human habitation (e.g., living 
on the streets) or in an emergency homeless shelter.''
    d. Consolidated Plan. A long-term housing and community development 
plan developed by state and local governments and approved by HUD. The 
Consolidated Plan contains information on homeless populations and 
should be coordinated with the CoC plan. It can be a source of 
information for the Gaps Analysis Chart. The plan contains both 
narratives and maps, the latter developed by localities using software 
provided by HUD.
    e. Consolidated Plan Certification. The form, required by law, in 
which a state or local official certifies that the proposed activities 
or projects are consistent with the jurisdiction's Consolidated Plan 
and, if the applicant is a state or unit of local government, that the 
jurisdiction is following its Consolidated Plan.
    f. Continuum of Care. A collaborative funding approach that helps 
communities lan for and provide a full range of emergency, 
transitional, and permanent housing and service resources to address 
the various needs of homeless persons.
    g. Current Inventory. An inventory of the community's existing beds 
and supportive services.
    h. Homeless Management Information Systems (HMIS). An HMIS is a 
computerized data collection application designed to capture client-
level information over time on the characteristics and service needs of 
men, women, and children experiencing homelessness, while also 
protecting client confidentiality. It is designed to aggregate client-
level data to generate an unduplicated count of clients served within a 
community's system of homeless services. An HMIS may also cover a 
statewide or regional area, and include several CoCs. The HMIS can 
provide data on client characteristics and service utilization.
    i. Homeless Person means a person sleeping in a place not meant for 
human habitation or in an emergency shelter; and a person in 
transitional or supportive housing for homeless persons who originally 
came from the street or an emergency shelter. For a more detailed 
discussion, see the Questions and Answers Supplement. The programs 
covered by this application are not for populations who are at risk of 
becoming homeless.
    j. NOFA. Notice of Funding Availability, published in the Federal 
Register to announce available funds and application requirements.
    k. Private Nonprofit Status. Private nonprofit status is documented 
by submitting either: (1) A copy of the Internal Revenue Service (IRS) 
ruling providing tax-exempt status under Section 501(c)(3) of the IRS 
Code; or (2) documentation showing that the applicant is a certified 
United Way agency; or (3) a certification from a designated official of 
the organization that no part of the net earnings of the organization 
inures to the benefit of any member, founder, contributor, or 
individual; that the organization has a voluntary board; that the 
organization practices nondiscrimination in the provision of 
assistance; and that the organization has a functioning accounting 
system that provides for each of the following (mention each in the 
certification):
    (1) Accurate, current and complete disclosure of the financial 
results of each federally sponsored project.
    (2) Records that identify adequately the source and application of 
funds for federally sponsored activities.
    (3) Effective control over and accountability for all funds, 
property and other assets.

[[Page 27499]]

    (4) Comparison of outlays with budget amounts.
    (5) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the use 
of the funds for program purposes.
    (6) Written procedures for determining the reasonableness, 
allocability and allowability of costs.
    (7) Accounting records, including cost accounting records, that are 
supported by source documentation.
    l. Public Nonprofit Status. Public nonprofit status is documented 
for community mental health centers by including a letter or other 
document from an authorized official stating that the organization is a 
public nonprofit organization.
    m. Project Sponsor. The organization that is responsible for 
carrying out the proposed project activities. A project sponsor does 
not submit a SF-424, unless it is also the applicant. To be eligible to 
be a project sponsor, you must meet the same program eligibility 
standards as applicants do, except in the Sponsor-based rental 
assistance component of the S+C.
    n. SF 424. The information sheet required to be submitted by 
applicants requesting HUD Federal Assistance.
    o. Safe Haven. A Safe Haven is a form of supportive housing serving 
hard-to-reach homeless persons with severe mental illness or other 
debilitating behavioral conditions who are on the streets and have been 
unwilling or unable to participate in supportive services. Safe Havens 
may be transitional supportive housing, or permanent supportive housing 
if it has the characteristics of permanent housing and requires 
participants to sign a lease.
    8. Applicant Roles and Responsibilities. An applicant will be 
responsible for the overall management and administration of a 
particular grant, including drawing down the grant funds, distributing 
them to the project sponsors, overseeing project sponsors, collecting 
and disseminating community-level data, and reporting to HUD. 
Applicants can submit applications for projects on behalf of project 
sponsors, who will actually carry out the proposed project activities. 
Applicants can also carry out their own projects. In these cases, the 
applicant is responsible for both administering and managing a grant 
(as the grantee) and carrying out the project activities (as the 
project sponsor).

II. Award Information

    A. Amount Allocated. Approximately $1 billion is available for this 
CoC competition in FY 2004. Any unobligated funds from previous CoC 
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 FY2004 appropriations to fund applications 
submitted in response to this program section of this SuperNOFA. The 
FY2004 HUD Appropriation Act requires HUD to obligate all CoC homeless 
assistance funds by September 30, 2006. These funds will remain 
available for expenditure for five years following that date, except 
that the 2004 HUD Appropriations Act provides for up to $20 million 
awarded for the Section 8 Moderate Rehabilitation Single Room Occupancy 
(SRO) Program to be available until expended. The funds available for 
the CoC competition can be used under any of the three programs that 
can assist in creating community systems for combating homelessness.
    1. Distribution of Funds: As in previous NOFAs for the CoC 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.
    a. Permanent Housing Requirement. Local priorities notwithstanding, 
the FY 2004 HUD Appropriations Act requires that not less than 30 
percent of this year's Homeless Assistance Grants appropriation, 
excluding amounts provided for one-year renewals under the Shelter Plus 
Care Program, must be used for permanent housing projects.
    b. Chronic Homelessness Requirement: The current Administration has 
established as a policy priority the goal of ending chronic 
homelessness by 2012. CoCs are strongly encouraged to use the funds 
available in this NOFA to target persons experiencing chronic 
homelessness in their communities. HUD encourages communities to select 
projects that will contribute to the achievement of this HUD policy 
priority. Further, CoCs are encouraged to work closely with appropriate 
state and local governments or Interagency Councils on Homelessness 
that may be establishing their own ten-year plans for eliminating 
chronic homelessness. To work towards this goal, HUD requires that 10 
percent of the FY2004 appropriation be awarded to housing projects that 
predominantly serve individuals who are experiencing chronic 
homelessness. At least 10 percent of the appropriation will be awarded 
to new or renewal, transitional or permanent housing projects where at 
least 70 percent of the project's clients are expected to be 
chronically homeless (as defined by HUD) immediately prior to entry 
into the project. Housing projects include: SHP transitional housing, 
permanent housing and Safe Havens; S+C; and SRO projects. (Since the 
housing funding allocation set-aside requirements are expected to 
continue in future competitions and may affect project funding 
selections, you are strongly encouraged to begin planning for new 
housing projects, particularly those serving individuals experiencing 
chronic homelessness, and include them as part of your submission in 
this competition. See Section V.B.3.a and b of this program section of 
the SuperNOFA for additional information on the permanent housing and 
chronic homeless requirements.)
    c. Lower-rated SHP Renewals. HUD reserves the authority to 
conditionally select for one year of funding lower-rated eligible SHP 
renewal projects that are assigned 40 need points in a CoC application 
receiving at least 25 points under the CoC scoring factor that would 
not otherwise receive funding for these projects. (See Section V.A.2.a 
and b of this NOFA for information on project rating and scoring.) 
However, the projects must receive a minimum score of 65 points. 
Although these lower-rated SHP renewal projects will have scored below 
the otherwise recognized funding line, their funding allows homeless 
persons to continue to be served and move towards self-sufficiency. Not 
renewing these projects would likely result in the closure of these 
projects and displacement of the homeless people being served.
    2. Prioritizing Projects for Funding. Project priority decisions 
are best made by members of the local community, including community 
and faith-based organizations, which represent the various economic, 
housing and social resources within that community. For example, if HUD 
has funds available only to award 8 of 10 proposed projects, then it 
will award funding to the first 8 eligible projects listed, except as 
may be necessary to achieve the 30 percent overall permanent housing 
and the 10 percent chronic homelessness requirements; see Section 
V.B.3.a. and V.B.3.b. In such cases, higher priority non-permanent 
housing projects may be de-selected to fund lower priority permanent 
housing projects and projects predominantly serving those persons 
experiencing chronic homelessness.

[[Page 27500]]

III. Eligibility Information

A. Eligible Applicants

    1. Eligible applicants for each program are those identified in the 
following chart.
    2. Renewal Applicants. 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 for SHP or S+C programs 
under the CoC NOFA. If you are a project sponsor or sub-recipient 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.
BILLING CODE 4210-32-P

[[Page 27501]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.234

BILLING CODE 4210-32-C?>

B. Matching (Cost Sharing)

    You must match Supportive Housing Program funds provided for 
acquisition, rehabilitation, and new construction with an equal amount 
of cash from other sources. Since SHP by statute can pay no more than 
75 percent of the total operating budget for supportive housing, you 
must provide at least a 25 percent cash match of the total annual 
operating costs. In addition, for all SHP funding for supportive 
services and Homeless Management Information

[[Page 27502]]

Systems (HMIS) you must provide a 25 percent cash match. This means 
that of the total supportive services budget line item, no more than 80 
percent may be from SHP grant funds. For example, 80 percent of a $125 
supportive services budget is $100, the maximum that may be requested 
and the cash match required is $25. The cash source may be your agency, 
other federal programs, 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. 
Shelter Plus Care requires a dollar for dollar match; the recipient's 
match source can be cash or in kind from any of the sources above.

C. Other

1. Eligible Activities
    Eligible activities for the SHP, S+C, and SRO Programs are outlined 
in the preceding CoC Homeless Assistance Programs Chart at Section 
III.A.3.
    a. To promote permanent housing, a special incentive is being 
provided to CoC systems that place an eligible, new permanent housing 
project in the number one priority slot on the priority list. The only 
eligible activities that will be counted toward the incentive for the 
number one priority project are housing activities and for SHP, 
administration. For the SHP program, housing activities include 
acquisition, new construction, rehabilitation, leasing of housing and 
operating costs for housing. S+C and SRO rental assistance are defined 
as housing activities and are eligible under the incentive as well. See 
Section V.B.3a of this program section of the SuperNOFA for a 
description of this incentive.
    HUD will use the CoC 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 with the attachments in Section VIII 
and should be completely filled out and submitted as part of your 
application.
2. Threshold Requirements
    a. Project Eligibility Threshold. HUD will review projects to 
determine if they meet the following eligibility threshold 
requirements. 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.
    (1) The population to be served must meet the eligibility 
requirements of the specific program as described in the program 
regulations and you must provide evidence of eligibility specified in 
the attachments in Section VIII. The application must clearly establish 
eligibility of program participants to be served pertaining to 
homelessness and disability status.
    (2) Projects that involve rehabilitation or new construction must 
meet the accessibility requirements of Section 504 of the 
Rehabilitation Act of 1973, the design and construction requirements of 
the Fair Housing Act and the accessibility requirements of the 
Americans with Disabilities Act, as applicable.
    (3) The project must be cost-effective, including costs associated 
with construction, operations and supportive services with such costs 
not deviating substantially from the norm in that locale for the type 
of structure or kind of activity.
    (4) For those applicants applying for the Innovative component of 
SHP, whether or not a project is a considered innovative will be 
determined on the basis that the particular approach proposed is new 
and can be replicated.
    (5) S+C renewal applications that are not submitted as part of a 
CoC application will not be considered as eligible for funding.
    (6) Under the sponsor-based rental assistance S+C component, an 
applicant must subcontract with a private nonprofit organization or a 
community mental health agency established as a public nonprofit 
organization.
    (7) For the Section 8 SRO program, only individuals meeting HUD's 
definition of homeless are eligible to receive rental assistance. 
Therefore, any individual occupying a unit at commencement of 
rehabilitation will not receive rental assistance if they return to 
their unit (or any other) upon completion of rehabilitation.
    (8) Applicants agree to participate in a local HMIS system when it 
is implemented in their community.
    b. Project Quality Threshold: HUD will review projects to determine 
if they meet the following quality threshold requirements. The housing 
and services proposed must be appropriate to the needs of the program 
participants and the community. HUD may find a project to be 
inappropriate if:
    (1) The type, scale and general location of the housing or services 
do not fit the needs of the proposed participants. A S+C or SHP project 
renewal will be considered as having met this requirement through its 
previously approved grant application unless information to the 
contrary is received.
    (2) A specific plan for ensuring that clients will be assisted to 
obtain the benefits of the mainstream health, social service, and 
employment programs for which they are eligible is not provided.
    (3) The description of the project does not show how participants 
will be helped to access permanent housing and achieve self-
sufficiency. A S+C project renewal will be considered as having met 
this requirement through its previously approved grant application.
    (4) Projects do not evidence satisfactory performance for their 
existing grant.
    c. Project Renewal Threshold. Your local needs analysis process 
must consider the need to continue funding for projects expiring in 
calendar year 2005. 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 and the 10 percent 
requirement for individuals experiencing chronic homelessness 
requirement. It is important that SHP renewals and S+C non-competitive 
renewals meet minimum project eligibility, capacity and performance 
standards identified in this program section of the SuperNOFA or they 
will be rejected from consideration for either competitive or non-
competitive funding.
    d. Civil Rights Thresholds: You and the project sponsors must be in 
compliance with applicable civil rights laws and Executive Orders, and 
must meet the threshold requirements of the General Section of the 
SuperNOFA.
    (1) 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) or the Age Discrimination Act of 1975 (42 U.S.C. 6101).
    (2) 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-

[[Page 27503]]

income persons, particularly those who are recipients of government 
assistance for housing, and to businesses that provide economic 
opportunities for these persons.
    (3) 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. Also see General Section.
    (4) Environmental Reviews. All CoC assistance is subject to the 
National Environmental Policy Act and applicable related Federal 
environmental authorities. Conditional selection of projects under the 
CoC Homeless Assistance competition is subject to the environmental 
review requirements of 24 CFR 582.230, 583.230 (each as amended on 
September 29, 2003, 68 FR 56116), and 882.804(c), as applicable. The 
recipient, its project partners and their contractors may not acquire, 
rehabilitate, convert, lease (under TRA where participants are required 
to live in a particular structure or area as described in Section 
III.C.3.e.(3)(a)), repair, dispose of, demolish or construct property 
for a project under this CoC NOFA, or commit or expend HUD or local 
funds for such eligible activities, until the responsible entity has 
completed the environmental review procedures required by Part 58 and 
the environmental certification and Request for Release of Funds (RROF) 
have been approved or HUD has performed an environmental review under 
Part 50 and the recipient has received HUD approval of the property. 
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.
3. Program Requirements
    a. CoC Geographic Area. In deciding what geographic area you will 
cover in your CoC strategy, you should be aware that the single most 
important factor in being awarded funding under this competition will 
be the strength of your CoC strategy when measured against the CoC 
rating factors described in this program section of the SuperNOFA. When 
you determine what jurisdictions to include in your CoC strategy area, 
include only those jurisdictions that are fully involved in the 
development and implementation of the CoC strategy. Including 
jurisdictions that are not fully involved would adversely affect the 
CoC score.
    The more jurisdictions you include in the CoC strategy area, the 
larger the pro rata need share that will be allocated to the strategy 
area (as described in Section V.B.2.b. of this program section of the 
SuperNOFA). 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 CoC strategy covering the combined service areas of these 
counties. The areas covered by CoC strategies should not overlap.
    b. Expiring/Extended Grants. If your SHP or S+C grant will be 
expiring in calendar year 2005, or if your S+C Program grant has been 
extended beyond its original five-year term and is projected to run out 
of funds in FY 2005, you must apply as a renewal under this CoC program 
section of the SuperNOFA to get continued funding.
    c. Coordination with Mainstream Resources. 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 (non-homeless targeted) 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 funded through 
the Mental Health Block Grant and Substance Abuse Block Grant, 
Workforce Investment Act, Welfare-to-Work grant program and Veterans 
Health Care.
    d. Prevention Strategies and Discharge Policies. In addition, as a 
condition for award, any governmental entity serving as an applicant 
must agree to develop and implement, to the maximum extent practical 
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. 
While the state or local governmental entity having jurisdiction in the 
area of the Continuum's application has the formal responsibility to 
enact the discharge policy, the Continuum is expected to actively 
involve itself in the planning and implementation of the discharge 
policy. 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 homeless assistance funds to assist such persons in 
lieu of State and local resources.
    e. Program-Specific Requirement. Please be advised that where an 
applicant for the SHP 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. This requirement does not apply to either the SRO Program, 
since only PHAs administer the SRO rental assistance, or to the S+C 
Program, since paying the costs associated with the administration of 
these grants is ineligible by regulation.
    (1) SHP--New Projects:
    (a) Please note that this year the grant term for new non-HMIS SHP 
projects is three (3) years. Any requests for one (1) or (2) two year 
terms for new SHP projects will be automatically changed to a three-
year term if funded. In this case, the one or two-year total budget 
will be changed to a three-year total budget and the applicant will 
provide the difference between the awarded SHP amount and the three-
year total budget. If the applicant does not agree to these conditions, 
the award will be deselected. HMIS projects may request funding for 
either one (1), two (2) or three (3) year terms.
    (b) HUD will require recordation of a HUD-approved use and 
repayment covenant (a form may be obtained from your field office) for 
all grants of funds for acquisition, rehabilitation or new 
construction. The covenant will enforce the use and repayment 
requirements found at section 423(b)(1) and (c) of the McKinney-Vento 
Act and must be approved by HUD counsel before execution and 
recordation.
    (c) All project sponsors must meet applicant eligibility standards 
as described in Section III.A. As in past years, HUD will review 
sponsor eligibility as part of the selection process. New this year is 
the requirement that project sponsors submit evidence of their 
eligibility with the application.
    (2) SHP--Renewal Projects:
    (a) For the renewal of a SHP project, you may request funding for 
one (1), two (2) or three (3) years.

[[Page 27504]]

    (b) The amount of the request for each renewable activity cannot 
exceed the average yearly amount received in your current grant for 
that activity (leasing, supportive services, and/or operations) plus up 
to five percent for administration. Since renewal projects may request 
renewal funds only for continuing a previously approved project at the 
same level of housing and services provided in the previous grant, 
renewal project budgets must be based upon the average of the term 
activities of the previous grant award. Renewal projects proposing both 
to renew the existing project and expand the number of units or number 
of participants receiving services must submit a new project proposal 
for the expansion portion of the project. HMIS activities being renewed 
should be included on the HMIS budget chart.
    (c) HUD will recapture SHP grant funds remaining unspent at the end 
of the previous grant period when it renews a grant.
    (3) S+C--New Projects
    (a) A project may not include more than one component, e.g., 
combining Tenant-based Rental Assistance (TRA) with Sponsor-based 
Rental Assistance (SRA) is prohibited within the same grant. Under the 
TRA component, in order to help provide supportive services or for the 
purposes of controlling housing costs, a grantee may require 
participants to live in a particular structure for the first year of 
assistance or to live in a particular area for the entire rental 
assistance period. Where this option is exercised, an environmental 
review and clearance must be performed prior to any commitment to lease 
a particular structure or unit for participant occupancy as described 
in Section III.C.2.d.4, Environmental Reviews.
    (b) S+C/SRO Component: If you are a State or a unit of general 
local government, you must subcontract with a Public Housing Authority 
to administer the S+C assistance. Also, no single project may contain 
more than 100 units.
    (c) S+C SRA Component. Project sponsors must submit proof of their 
eligibility to serve as a project sponsor.
    (4) S+C Renewal Projects
    (a) For the renewal of a S+C project, including S+C SROs, the grant 
term will be one (1) year, as specified by Congress. For the renewal of 
S+C rental assistance that is Tenant-based (TRA), Sponsor-based (SRA) 
or Project-based (PRA), 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 2004 Fair Market 
Rent(s) by 12 months. Current FMRs can be found at www.hudclips.org. 
For S+C grants having been awarded one year of renewal funding in 2003, 
the number of units requested for renewal this year must not exceed the 
number of units funded in 2003. 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 S+C 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 S+C 
renewal projects may not be extended.
    (b) The renewal of S+C SROs will also be non-competitively awarded 
under this NOFA. For the renewal of S+C SRO rental assistance, you may 
request up to the amount determined by multiplying the number of units 
under contract at the time of your application for renewal funding by 
the contract rent at the time of expiration by 12 months.
    (c) Under the FY2004 HUD Appropriations Act, eligible S+C Program 
grants whose terms are expiring in FY2005, and S+C Program grants that 
have been extended beyond their original five-year terms but which are 
projected to run out of funds in FY2005, will be renewed for one year 
provided that they are determined to be needed by the CoC as evidenced 
by their inclusion on the priority chart. These projects must also 
demonstrate that their applicant and sponsor meet eligibility, capacity 
and performance requirements described in Section V.A.1 of this NOFA. 
Non-competitive S+C renewals should be submitted by the application 
deadline. These S+C renewal projects will not count against a 
continuum's pro rata need amount. On the other hand, no pro rata need 
renewal adjustment will be computed for any CoC using S+C renewal 
amounts since these projects are being funded outside of the 
competition.
    (5) Section 8 Moderate Rehabilitation SRO Program--New Projects. As 
an applicant, the following limitations apply to the Section 8 SRO 
program:
    (a) Under section 8(e)(2) of the United States Housing Act of 1937, 
no single project may contain more than 100 assisted units.
    (b) Under 24 CFR 882.802, applicants that are private nonprofit 
organizations must subcontract with a Public Housing Authority to 
administer the SRO assistance.
    (c) 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 Physical Condition Standards.
    (d) 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 (HAP) Contract. For purposes of Fiscal Year 
2004 funding, the cost limitation is raised from $19,000 to $19,500 per 
unit to take into account increases in construction costs during the 
past 12-month period.
    (e) The SRO Program is subject to the Federal standards at 24 CFR 
part 882, subpart H.
    (f) Individuals assisted through the SRO Program must meet the 
definition of homeless individual found at section 103 of the McKinney-
Vento Act.
    (g) Resources outside the program pay for the rehabilitation, and 
rehabilitation financing. The rental assistance covers operating 
expenses of the SRO housing, including debt service for rehabilitation 
financing. Units may contain food preparation or sanitary facilities or 
both.
    (6) Section 8 Moderate Rehabilitation SRO Program--Renewals: This 
program section of the SuperNOFA is not applicable to the renewal of 
funding under the Section 8 SRO program. The renewal of expiring 
Section 8 SRO projects is not part of the competitive SuperNOFA 
process. Rather, expiring Section 8 SROs will be identified at the 
beginning of the applicable year by the public housing authority and 
HUD field office. One-year renewal funds for expiring Section 8 SRO HAP 
contracts will be provided by HUD under a separate, non-competitive 
process. For further guidance on Section 8 SRO renewals, please contact 
your local HUD field office.
    f. Timeliness Standards. As an applicant, you are expected to 
initiate your approved projects promptly in accordance with Section 
VI.A of this NOFA. In addition, HUD will take action if you fail to 
satisfy the following timeliness standards:
    (1) SHP: HUD will deselect your award if you do not demonstrate 
site control within one (1) year of the date of your grant award 
letter, as required by the McKinney-Vento Act (see 42 U.S.C. 
11386(a)(3)) and implemented in program regulations at 24 CFR 
583.320(a). Subsequent loss of site control beyond the 12-month 
statutory limit will be cause for cancellation of the award and 
recapture of funds. HUD may deobligate SHP funds if the

[[Page 27505]]

following additional timeliness standards are not met:
    (a) You must begin construction activities within eighteen (18) 
months of the date of HUD's grant award letter and complete them within 
thirty-six (36) months after that notification.
    (b) 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.
    (c) You must begin all activities that may proceed independent of 
construction activities, including HMIS, within twelve (12) months of 
the date of HUD's grant award letter. HUD may reduce a grant agreement 
term to one (1) year where implementation delays have reduced the 
amount of funds that reasonably can be used in the original term.
    (2) S+C Except SRO Component. HUD may deobligate S+C funds if you 
do not meet the following timeliness standards:
    (a) 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 date of HUD's grant award letter.
    (b) For Project-based Rental Assistance with rehabilitation, you 
must complete the rehabilitation within twelve (12) months of the date 
of HUD's grant award letter.
    (c) HUD may reduce a grant agreement term to one (1) year where 
implementation delays have reduced the amount of funds that reasonably 
can be used in the original term.
    (3) Section 8 Moderate Rehabilitation SRO Program and SRO Component 
of the S+C Program. For projects carried out under the Section 8 SRO 
program and the SRO component of the S+C program, the rehabilitation 
work must be completed and the HAP 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.

IV. Application and Submission Information

    A. Addresses to Request Application Package. This year, to 
accommodate the new NOFA format required government-wide, a checklist 
of forms needed to complete the application is provided. Exhibits 1-4 
and the Questions and Answers Section, which were in the separate 
application kit last year, are now attachments as described in Section 
VIII below. The Geographic Codes and Initial Pro Rata Need Amounts can 
be accessed at http://www.hud.gov/offices/adm/grants/fundsavail.cfm. An 
applicant may also obtain a copy of the NOFA by calling the SuperNOFA 
Information Center at 1-800-HUD-8929 (voice) (this is a toll free 
number) or you may download it by Internet at http://www.grants.gov. 
Please note that all sections of the NOFA are critical and must be 
carefully reviewed to ensure your application can be considered for 
funding.
    B. Content and Form of Application Submission. This year, the only 
option for submitting an application under this program section of the 
SuperNOFA is to submit the entire Continuum of Care application, with 
all of its projects, together in a single package mailed or hand-
delivered to HUD. Each application will consist of one Continuum of 
Care Exhibit and submissions from one or more applicants and project 
sponsors. Although HUD will accept an application for a project 
exclusive of participation in any community-wide or region-wide CoC 
development process, projects will receive few, if any, points under 
the CoC rating factors and are very unlikely to be funded. To ensure 
that no applicant is afforded an advantage in the rating of the CoC 
element (described in Section V.A.2) HUD is establishing a limitation 
of 30 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. Please note, Exhibit 1, 
as well as Exhibits 2-4, should only include the actual application 
questions and responses being provided and should not include the HUD 
application instructions or any blank tables and charts. The General 
Section of the SuperNOFA 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.

1. Application Submission Requirements

    a. A completed application will include one Exhibit 1 (CoC) and any 
number of Exhibits 2 (SHP New), 2R (SHP Renewal), 3 (S+C New), 3R (S+C 
Renewal) and 4 (SRO New), depending on the number of projects and type 
of programs proposed for funding. For example, if you were proposing 
five SHP Renewal projects and one S+C New project, then you would 
submit one Exhibit 1, five Exhibits 2R and one Exhibit 3. No submission 
would be necessary for Exhibit 4 because funding is not being requested 
under the Section 8 SRO program in this example. Refer to Assembling 
Your Application below for full assembling instructions.
    b. Exhibits 1-4 provide the application materials that must be used 
in applying for homeless assistance under this CoC NOFA. 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: 
Items (1) to (3) are found in the Exhibit Attachments described in 
Section VIII. Items (4) to (7) are standard forms found in the General 
Section of SuperNOFA.
    c. There are two parts to the CoC Application. The first consists 
of the process and outcome for the community-based homeless assistance 
plan, which is your CoC for the community. The second consists of 
exhibits for the specific program funds for which you are applying. 
Each application should contain:
    (1) 2004 Application Summary Form.
    (2) Continuum of Care and Project Exhibits, including all required 
forms.
    (3) Special Project Certifications--Coordination and Integration of 
Mainstream Programs, and Discharge Policy (as applicable).
    (4) SF-424 Application for Federal Assistance. Starting this year, 
each SF-424 must include the applicant's DUN and Bradstreet Data 
Universal Numbering System (DUNS) number. Please see the General 
Section of the SuperNOFA for more information on obtaining a DUNS 
number. Submit for each applicant in the Continuum. Attached to each 
SF-424 must be a list of all the applicant's projects by priority 
number (in order), project name and requested amount.
    (5) HUD-424B Applicant Assurances and Certifications.
    (6) HUD-27300 Questionnaire for HUD's Initiative on Removal of 
Regulatory Barriers.
    (7) Project Exhibits in priority order, following each project 
exhibit, the following items:

[[Page 27506]]

    (a) HUD-2991, Certification of Consistency with the Consolidated 
Plan;
    (b) HUD-299, Certification Regarding Debarment and Suspension;
    (c) HUD-2880, Applicant/Recipient Disclosure/Update Report;
    (d) HUD-23004, Survey on Ensuring Equal Opportunity for Applicants 
(for nonprofit applicants or sponsors only).
    (8) Applicant and project sponsor private nonprofit documentation 
(SHP, SRO programs) and community mental health association 
documentation (for SHP and S+C SRA component public nonprofits only)--
new projects only.

2. Assembly Format

    a. Number all pages sequentially and insert tabs marking each 
exhibit. For Exhibit 1, CoC narrative, number pages from 1 up to 30 
using letter suffixes where appropriate to indicate pages that do not 
count toward the 30 page limit as per the instructions for completing 
the CoC narrative. For example, the first page of a 4 page project 
leveraging chart would be numbered 23 while the next 3 pages of the 
chart would be numbered 23-A, 23-B, and 23-C.
    b. Please use a two-hole punch to insert holes at the top of your 
application.
    c. Please do not bind your application, since this impedes 
processing.
    C. Submission Dates and Times:
    1. Application Due Date. Your completed applications (an original 
containing the signed documentation and two copies) are due on or 
before July 27, 2004, to the addresses shown below.
    a. Timeliness: Please see the General Section of the SuperNOFA for 
information on the timeliness of applications.
    b. Field Office Copies: In the rare event that a CoC's entire 
application is not received at HUD Headquarters on time, HUD may 
similarly request proof that the field office copy was received on time 
as well as proof that the application for Headquarters was placed in 
transit on time and, if so, may use the copy received by the field 
office for review.
    D. Intergovernmental Review. Not applicable. This funding 
opportunity is not subject to Executive Order (EO) 12372.
    E. Funding Restrictions. Funding Restrictions are outlined in 
Sections V.B.3.a and 3b.
    F. Security Procedures: Please see the General Section of the 
SuperNOFA for information on security procedures that pertain to the 
submission of applications.

1. Addresses for Submitting Applications

    a. To HUD Headquarters: Submit your original completed application 
(the application with the original signed documentation) to: HUD 
Headquarters, Robert C. Weaver Federal Building, 451 Seventh Street, 
SW., Room 7270, Washington, DC 20410, Attention: Continuum of Care 
Programs.
    b. 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.

V. Application Review Information

A. Criteria

    Your application will receive a higher score under the CoC scoring 
factors if the application demonstrates the achievement of three basic 
goals:

--That you have provided maximum participation in the planning process 
by nonprofit organizations (including those representing persons with 
disabilities), government agencies, public housing authorities, faith-
based and other community-based organizations, other homeless 
providers, housing developers and service providers, private businesses 
and business associations, law enforcement agencies, funding providers, 
and homeless or formerly homeless persons;
--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; and
--That you have instituted a CoC-wide strategy to coordinate homeless 
assistance with mainstream health, social services and employment 
programs for which homeless individuals and families may be eligible. 
These programs include, but are not limited to, Medicaid, Children's 
Health Insurance Program, Temporary Assistance for Needy Families, Food 
Stamps, and services funded through the Mental Health Block Grant and 
Substance Abuse Block Grant, Workforce Investment Act, Welfare-to-Work 
grant program, and Veterans Health Care.

    1. Applicant and sponsor eligibility, capacity and performance: HUD 
will review applications to ensure that the applicant and project 
sponsor meet the eligibility and capacity standards outlined in this 
section. If HUD determines these standards are not met, the project 
will be rejected from the competition. The eligibility, capacity and 
performance standards are as follows:
    a. You must be eligible to apply for the specific program.
    b. 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.
    c. If you or the project sponsor is a current or past recipient of 
assistance under a HUD McKinney-Vento Act program, there must have been 
no delay in meeting applicable program timeliness standards unless HUD 
determines the delay in project implementation is beyond your or the 
project sponsor's control, no serious unresolved HUD monitoring 
finding, or no outstanding audit finding of a material nature regarding 
the administration of the program.
    2. Review, Rating and Conditional Selection. HUD will use the same 
review, rating, and conditional selection process for all three 
programs (SHP, S+C and SRO). 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. Paragraphs 2a and 2b in this section describe selection 
factors. Up to 100 points will be assigned using these factors: 
including rating points for HUD's policy priority of ending chronic 
homelessness by 2012; and a new policy priority for removing regulatory 
barriers to affordable housing (see Section V.A.2.a.(1)(c) and (d) 
below on both policy priorities). There are no bonus points this year 
for proposing projects in an EC/EZ.
    a. Continuum of Care. HUD will award up to 60 points as follows:
    (1) Process and Strategy: HUD will award up to 17 points based on 
the extent to which your application demonstrates:
    (a) The existence of a coordinated and inclusive community process, 
including organizational structure(s), for developing and implementing 
a CoC

[[Page 27507]]

strategy which includes nonprofit organizations (such as veterans 
service organizations, organizations representing persons with 
disabilities, faith-based and other community-based organizations, and 
other groups serving homeless persons), state and local governmental 
agencies, public housing authorities, housing developers and service 
providers, law enforcement, hospital and medical entities, funding 
providers, local businesses and business associations, and homeless or 
formerly homeless persons; and
    (b) That a well-defined and comprehensive strategy has been 
developed which addresses the components of a CoC system (i.e., 
prevention, outreach, intake, and assessment; emergency shelter; 
transitional housing; permanent independent housing; 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.
    (c) The existence of a realistic strategy for ending chronic 
homelessness that establishes past performance, current approach, 
future goals and action steps, and local coordination as outlined in 
Exhibit 1, Form HUD-40076 CoC-C.
    (d) A local plan and/or existing policy to remove regulatory 
barriers to the production of affordable housing. As provided for in 
the General Section of the SuperNOFA, HUD will award up to 2 points, 
within the 17 points for this rating factor, based on the extent that 
the CoC's application demonstrates a local plan to remove regulatory 
barriers to affordable housing. Applicable activities include the 
support of state and local efforts to streamline processes, eliminate 
redundant requirements, statutes, regulations, and codes which impede 
the availability of affordable housing. The response (one questionnaire 
per CoC) should be submitted for consideration as a completed HUD Form 
27300, Questionnaire for HUD's Initiative on Removal of Regulatory 
Barriers. The continuum should submit the questionnaire for the local 
jurisdiction where the majority of its CoC assistance will be provided. 
Please identify the name of the jurisdiction reported on the top of the 
first page of the returned questionnaire. This questionnaire can be 
found in the attachments to the General Section and should be submitted 
in Part O of Exhibit 1.
    (e) Evidence that your Continuum will work with the appropriate 
local government entity to develop and implement a discharge policy for 
persons leaving 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 evidence may be in the form of memoranda of understanding, written 
commitments, etc. that demonstrates a working partnership on discharge 
policy.
    (2) HMIS Implementation. HUD will award up to 5 points based upon 
the extent to which your application demonstrates progress in the 
planning, implementation and operation of an HMIS system covering at a 
minimum all street outreach, emergency shelters and transitional 
housing programs so that a reliable, unduplicated count of homeless 
persons on the street and in shelters may be conducted.
    (3) Gaps and Priorities: HUD will award up to 10 points based on 
the extent to which your application:
    (a) Describes the gap analysis performed, uses reliable information 
and sources that are presented completely and accurately; and
    (b) Proposes projects that are not inconsistent with the gaps 
analysis described in the CoC 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 CoC to determine the points to 
assign, HUD will consider whether the community took its renewal needs 
into account in preparing its project priority list.
    (4) Leveraging Supplemental Resources: HUD will award up to 13 
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-wide strategies to coordinate homeless 
assistance with mainstream health, social services and employment 
programs for which homeless populations may be eligible, and to use 
those benefits as appropriate and practicable to help offset supportive 
service costs of the programs that would otherwise be paid for with HUD 
funding. These include, but are not limited to, 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, the Welfare-to-
Work grant program, and Veterans Health Care.
    (5) Emphasis on housing: HUD will award up to 10 points based upon 
the relationship between funds requested for housing activities and 
funds requested for supportive service activities among projects 
assigned 40 need points (excluding S+C renewals). Points will be 
awarded on a sliding scale with the Continuums with the highest 
percentage of approvable requests for funds for housing activities 
receiving the highest points. HUD will count as housing activity all 
approvable funds for rental assistance and approvable funds for 
acquisition, rehabilitation, construction, leasing and operations when 
used in connection with housing. HMIS costs and administrative costs 
will be excluded from this calculation as either a housing or 
supportive service cost.
    (6) Performance Measurement: HUD will award up to 5 points based 
upon the CoC's progress in reducing homelessness. This will be measured 
by program participants' success in moving to and maintaining permanent 
housing. HUD will also be assessing the extent to which participants 
successfully access various mainstream services programs and become 
employed. These measures emphasize HUD's determination to assess 
grantees' performance in the prior program year and to determine if 
they are meeting the overall goal of the Homeless Assistance Grants 
under which they are funded. Both housing and supportive services will 
be assessed, using the data submitted in the Exhibit 1 CoC Project 
Performance on Form HUD 40076 CoC-M.
    b. 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:
    (1) 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 (ESG) 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

[[Page 27508]]

assistance under this program section of the SuperNOFA.
    (2) Applying relative need: HUD will then apply that relative need 
index to the total amount of funding estimated to be competitively 
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 CoC's number one priority project 
qualifies as an eligible, new permanent housing project, then the full 
amount of that project's eligible housing activities, up to the lesser 
of 100 percent of the CoC's preliminary pro rata need or the applicable 
amount indicated below, will be added to the final pro rata need amount 
for the Continuum. The maximum permanent housing bonus for a CoC with a 
preliminary pro rata need (PRN) amount of:
     $10.0 million or more is $2.0 million;
     $5.0 million up to $10.0 million is $1.5 million;
     less than $5.0 million is $750,000 or the PRN amount, 
whichever is less.
    For this purpose, HUD will consider the same housing activities 
identified in Section V.A.2.a(5) above as counting toward the permanent 
housing bonus. HUD also reserves the right to adjust pro rata need, if 
necessary, to address SHP project renewals.
    (3) Awarding need points to projects: Once HUD establishes the pro 
rata need, HUD applies it 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 CoC. 
Thereafter, HUD proceeds further down the priority project list and 
awards 10 points for need to each project if at least one half of its 
requested amount falls within the ``second level'' of pro rata need 
amount for that CoC. The ``second level'' is the amount between the pro 
rata need and twice the pro rata need for the CoC. Remaining projects 
each receive 5 points. If the projects for the Continuum are not 
prioritized, then all projects will receive 0 points for Need.
    In the case of competing Continuums from a single jurisdiction or 
service area, projects in the application that received the highest 
score out of the possible 60 points for CoC are eligible for up to 40 
points under Need. Projects in the competing applications with lower 
CoC scores will receive 0 points under ``Need.''

B. Reviews and Selection Process

1. Ranking
    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--
threshold review and selection factor rating. Applicant and Sponsor 
Eligibility as well as Project Eligibility and Project Quality are 
threshold reviews. These reviews are explained in Section III.C.2 of 
this program section of the SuperNOFA, which covers eligible applicants 
and projects. HUD will add the score for CoC to the Need score to 
obtain a total score for each project. The projects will then be ranked 
from highest to lowest according to the total combined score.
2. Conditional Selection and Adjustments to Funding
    a. Conditional Selection. Whether a project is conditionally 
selected, as described in Section VI.A, 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, as well as the 10 percent 
chronic homeless requirement. (See Section V.B.3 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 fund non-permanent 
housing, safe haven and transitional housing projects that 
predominantly serve individuals experiencing chronic homelessness in 
order to achieve the 10 percent chronic homeless 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 CoC score, CoC 
Process and Strategy, CoC Gaps and Priorities, CoC Supplemental 
Resources, Housing Emphasis and Performance. The final tie-breaking 
factor is the priority number of the competing projects on the 
applicable CoC priority list(s).
    HUD has determined that the Congressional goal of enhancing 
homeless data collection at the CoC level is best achieved by assisting 
CoCs seeking dedicated Homeless Management Information Systems (HMIS) 
to receive Supportive Housing funds. To this end, HUD reserves the 
right to fund lower rated eligible dedicated HMIS projects receiving 40 
need points and at least 25 Continuum points for at least one year.
    b. Adjustments to Funding: HUD has determined that geographic 
diversity is an appropriate consideration in selecting homeless 
assistance projects in the competition. 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 level projects on the CoC priority list 
must be at least 65 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. If 
you do not submit clear project priority designations for the 
Continuum, or if HUD, at its sole discretion, cannot determine the 
CoC's priority designations, then HUD will give all projects 0 Need 
points. Finally, if the total amount that would be awarded for first 
level projects in a CoC exceeds the final pro rata need amount for that 
CoC by more than $100,000, the lowest priority first level project 
being selected for funding will be reduced to the amount necessary to 
ensure that the total sum being awarded for such projects does not 
exceed the final pro rata need amount by more than $100,000. HUD may 
otherwise adjust funding of applications in accordance with the 
provisions 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. If the geography included in your CoC 
strategy geographically overlaps to the extent that it competes with 
another application, projects within the CoC application that receive 
the highest CoC score will be eligible for up to 40 Need points. 
Projects in the competing CoC application with the lower CoC score will 
receive 0 need

[[Page 27509]]

points. 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 CoC 
system is also likely to be claimed under another CoC system in this 
competition.
    3. Additional Selection Considerations. HUD also will apply the 
limitations on funding described below in making conditional 
selections.
    a. Thirty Percent Permanent Housing Requirement. In accordance with 
the appropriation for homeless assistance grants in the Fiscal Year 
2004 Appropriation Act for HUD, HUD will use not less than 30 percent 
of the total FY 2004 Homeless Assistance Grants appropriation, 
excluding amounts provided for renewals under the S+C Program, to fund 
projects that meet the definition of permanent housing. Projects 
meeting the definition of permanent housing for this purpose are:
    (1) New and renewal projects under the SHP that are designated as 
either permanent housing for homeless persons with disabilities or Safe 
Havens projects designated as having the characteristics of permanent 
housing for homeless persons with disabilities, including leases with 
the program participants. All such permanent housing projects chosen 
for this purpose must have received at least 10 Need points, and must 
be submitted as part of a CoC application receiving at least 25 points 
under the CoC scoring factor. However, no CoC applicant may receive 
more than 30 percent of its pro rata need, up to $3 million, for 
``second-level'' permanent housing projects assigned 10 Need points 
that are selected for funding under this procedure. (See Section 
V.A.2.b (3) for definition of ``second-level''.) As stated above, HUD 
will award no less than 30 percent of the total FY2004 Homeless 
Assistance Grants appropriation, excluding amounts for S+C renewals, 
for permanent housing projects unless an insufficient number of 
approvable permanent housing projects are submitted. In order to meet 
this permanent housing funding requirement and stay within the total 
funding amount available, initially selected Supportive Service Only 
(SSO) and non-permanent housing projects will be deselected if 
necessary to add an adequate number of permanent housing projects, even 
if they are lower scoring housing projects. HUD will, if necessary, 
first proceed to de-select new SSO projects initially selected, 
starting with lowest scoring new projects and proceeding to higher 
scoring new SSO projects initially selected. If the funding line is 
still exceeded, HUD will proceed to de-select the lowest scoring new 
non-permanent housing projects initially selected and proceed to higher 
scoring new non-permanent housing projects. Finally, if the funding 
line is still exceeded HUD will proceed to de-select SSO and then other 
non-permanent housing renewal projects until all selected projects are 
within the funding line.
    (2) New S+C projects; and
    (3) SRO projects.
    b. Ten Percent Housing for Chronic Homeless Requirement: This year, 
HUD has implemented an additional requirement that at least 10 percent 
of the appropriation must be awarded for projects predominantly serving 
individuals experiencing chronic homelessness. To be considered 
predominantly serving chronically homeless people, at least 70 percent 
of the persons served meet HUD's definition of chronic homelessness. 
Permanent housing, transitional and safe haven housing projects, 
whether new or renewal, that commit to predominantly serving persons 
experiencing chronic homelessness will be counted for this purpose. To 
meet this requirement, HUD will also include permanent housing projects 
selected for the 30 percent requirement that predominantly serve 
chronically homeless persons. S+C renewals will then be screened to 
count projects predominantly serving chronically homeless persons. If 
the 10 percent requirement is not yet met, permanent, transitional and 
safe haven housing projects below the funding line that predominantly 
serve chronically homeless persons will also be selected to achieve 
this requirement.
    c. Distribution of Selections: 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 S+C 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 Single Room Occupancy 
(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 S+C 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 SRO Section 8 
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 S+C and $10 million 
for Section 8 SRO. However, if the amount awarded under either of these 
two programs exceeds $100 million, then the amount awarded to any one 
unit of general local government (for purposes of the S+C Program) or 
city or urban county (for the purposes of the Section 8 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.
    4. Corrections to Deficient Applications. The General Section of 
the SuperNOFA provides the procedures for corrections to deficient 
applications.

VI. Award Administration Information

A. Award Notices

    1. Action on Conditionally Selected Applications. HUD will notify 
conditionally selected applicants in writing. HUD may subsequently 
request them to submit additional project

[[Page 27510]]

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; 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 and add them to funds available for the 
next competition for the applicable program.
    2. Applicant Debriefing: See the General Section of the SuperNOFA.
    3. Appeals Process: Applicants may appeal the results of HUD's 
review and selection process if they believe a HUD error has occurred. 
Appeals must be in writing to the Assistant Secretary for Community 
Planning and Development and must state what HUD error the applicant 
believes has occurred.

B. Administrative and National Policy Requirements

1. Administrative Requirements
    a. The Government Performance and Results Act (GPRA) require 
federal agencies measure the performance of their programs. HUD 
captures this information not only from monitoring visits and APRs, but 
also on the data gathered in annual competitions. For example, the 
description of methods used in determining the project priority order 
submitted in Exhibit 1, Form HUD-40076 CoC-K, Project Priorities Chart, 
provides verification that projects are performing satisfactorily and 
are effectively addressing the needs for which they were designed. 
HUD's homeless assistance programs are measured in 2004 by the 
objective to ``end chronic homelessness and to move homeless families 
and individuals to permanent housing.'' This objective has a number of 
measurable indicators, five of which relate directly to the Continuum 
of Care homeless assistance programs. These five indicators are:
    (1) At least 360 CoC communities or 90 percent of our continuums 
will have a Homeless Management Information System (HMIS) in 2004. This 
information is collected via Exhibit 1, Form HUD-40076 CoC-J, HMIS;
    (2) The number of persons experiencing chronic homelessness 
declines by up to 50 percent by FY2008. This information is captured in 
Exhibit 1, Form HUD-40076 CoC-I, Homeless Population and Subpopulations 
Chart;
    (3) HUD's homeless programs will help at least 80,000 homeless 
persons move into permanent housing in 2004. Stability in this 
permanent housing is addressed in Exhibit 1, Form HUD-40076 CoC-M, CoC 
Project Performance;
    (4) At least 180,000 homeless persons become housed in HUD-funded 
transitional housing with supportive services in 2004.The success of 
transitional housing is addressed in Exhibit 1, Form HUD-40076 CoC-M, 
CoC Project Performance; and
    (5) At least 45,000 homeless persons become employed while in HUD's 
homeless assistance projects in 2004. Obtaining employment is addressed 
in Exhibit 1, Form HUD-40076 CoC-M, Participation in Mainstream 
Programs and Employment Chart.
    b. To achieve this objective and each of these measurable 
indicators, HUD needs your community's help. The emphasis in this 
year's competition on housing chronically homeless persons, using HUD 
funds for transitional and especially permanent housing, helping 
clients access mainstream service programs and jobs, and implementing 
HMIS are all aligned with this GPRA objective and its performance 
indicators.
    2. Sanctions. Should HUD determine, in its sole discretion, that 
sufficient evidence exists to confirm that the entity responsible for 
convening and managing the CoC 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 nonprofit organizations, HUD reserves the 
authority to impose sanctions up to and 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.

C. Reporting

    Once conditionally selected applications advance to full award and 
execution of a grant agreement, they will be required to submit an 
Annual Progress Report (APR) to both HUD Headquarters and the 
respective field office each year. The APR for HUD's competitive 
homeless programs provides information to HUD necessary for program 
monitoring and evaluation. A key element that has been recently added 
to the APR is measuring the incidence of chronic homelessness and your 
Continuum's progress in moving individuals into permanent housing. The 
process of gathering and analyzing the information needed to complete 
the APR also assists local projects with their own program evaluation. 
The APR is the mechanism used by HUD Headquarters and field offices to 
review the performance of funding recipients on an annual basis. The 
reports permit HUD to understand what types of clients are being served 
in its homeless assistance programs and what the programs' success rate 
is in helping homeless families and individuals achieve residential 
stability and increase their skills and/or incomes. For the SHP and S+C 
programs, the APR also reports to HUD the amount of local match that 
has been provided to fulfill statutory and regulatory requirements.
    The Department has used the reports to monitor grant execution and 
to evaluate the eligibility of the population being served and housed, 
as well as the supportive services offered to the participants. The APR 
helps identify how effective the grantee has been in helping program 
participants achieve residential stability, greater self-determination, 
and increase skills or income which are our program goals and 
objectives. This also allows the grantee to revise or set goals for the 
next year.

VII. Agency Contacts

    A. For Further Information. You may contact the HUD field office 
serving your area, at the telephone number shown in the General Section 
of the SuperNOFA, or you may contact the Community Connections 
Information Center at 800-998-9999 or by Internet at: http://www.hud.gov. Individuals who are hearing- or speech-impaired should use 
the Information Relay Service at 800-877-8339 (these are toll-free 
numbers).
    B. 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

[[Page 27511]]

developing the CoC 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.
    C. Satellite Broadcast. HUD will hold one or more information 
broadcasts via satellite for potential applicants to learn more about 
the program and preparation of the application. Viewing of these 
broadcasts, which will provide critical information on the application 
process, is highly recommended. For more information about the date and 
time of the broadcast, you should consult the HUD Web site at: http://www.hud.gov.

VIII. Other Information

    A. This final section describes the attachments that are critical 
to the application process:

1. Forms and instructions to complete Exhibit 1, CoC. These include:
    Form HUD-40076 CoC-A--2004--Application Summary
    Form HUD-40076 CoC-B--Planning Process Organizations
    Form HUD-40076 CoC-C--Goals and System Under Development
    Form HUD-40076 CoC-D--Discharge Planning Policy
    Form HUD-40076 CoC-E--Unexecuted Grants Chart
    Form HUD-40076 CoC-F--Service Activity Chart
    Form HUD-40076 CoC-G--Housing Activity Chart
    Form HUD-40076 CoC-H--Housing Gaps Analysis Chart
    Form HUD-40076 CoC-I--Homeless Population and Subpopulations Chart/
Information Collection Methods
    Form HUD-40076 CoC-J--Homeless Management Information System
    Form HUD-40076 CoC-K--Project Priorities Chart/Information
    Form HUD-40076 CoC-L--Enrollment and Participation in Mainstream 
Programs
    Form HUD-40076 CoC-M--CoC Project Performance
    Form HUD-40076 CoC-N--Use of Other Resources Chart
    Form HUD-40076 CoC-O--Removal of Regulatory Barriers to Affordable 
Housing
    Form HUD-40076 CoC-P--Project Leveraging Chart
2. Forms and instructions to complete Exhibit 2, SHP--New Projects. 
These include:
    SF-424--For Grantees Only
    Form HUD-40076 CoC-2A--Project Narrative
    Form HUD-40076 CoC-2B--Project Information
    Form HUD-40076 CoC-2C--Existing Facilities and/or Activities
    Form HUD-40076 CoC-2D--Number of Beds, Participants, and Supportive 
Services
    Form HUD-40076 CoC-2E--HMIS Budget
    Form HUD-40076 CoC-2F--Operating Costs Chart
    Form HUD-40076 CoC-2G--Leasing Information
    Form HUD-40076 CoC-2H--Project Budget
    Form HUD-40076 CoC-2I--Additional Key Information
    Other attachments as needed
3. Forms and instructions to complete Exhibit 2R, SHP--Renewal 
Projects. These include:
    SF-424--For Grantees Only
    Form HUD 40076 CoC-2RA--Project Information/Project Budget
    Form HUD 40076 CoC-2RB--Supportive Services Chart
    Form HUD 40076 CoC-2RC--HMIS Budget
    Form HUD 40076 CoC-2RD--Operating Costs Chart
    Other Attachments as needed
4. Forms and instructions to complete Exhibit 3, S+C--New Projects. 
These include:
    SF 424--For Grantees Only
    Form HUD 40076 CoC-3A--S+C Component Comparisons
    Form HUD 40076 CoC-3B--Project Narrative
    Form HUD 40076 CoC-3C--Project Component/Information/Participant 
Count/Major Milestones
    Form HUD 40076 CoC-3D--TRA Project Budget
    Form HUD 40076 CoC-3E--SRA Project Budget
    Form HUD 40076 CoC-3F--PRA Project Budget
    Form HUD 40076 CoC-3G--SRO Project Budget
    Form HUD 40076 CoC-3H--Additional Key Information
    Other attachments as needed
5. Forms and instructions to complete Exhibit 3R, S+C Renewal Projects. 
These include:
    SF424--For Grantees Only
    Form HUD 40076 CoC-3RA--Project Narrative/Performance/Component/
Information
    Form HUD 40076 CoC-3RB--Participant Count
    Form HUD 40076 CoC-3RC--S+C Renewal Budget
    Form HUD 40076 CoC-3RD--S+C Renewal Budget/SRO Only
    Form HUD 40076 CoC-3RE--Additional Key Information
    Other Required Attachments
6. Forms and instructions to complete Exhibit 4, SRO--New Projects. 
These include:
    SF424--For Grantees Only
    Form HUD 40076 CoC-4A--Project Narrative
    Form HUD 40076 CoC-4B--Experience Narrative/Project Information
    Form HUD 40076 CoC-4C--Budget
    Form HUD 40076 CoC-4D--PHA Certification
    Form HUD 40076 CoC-4E--Additional Key Information
    Other attachments as needed
7. Questions and Answers
8. Applicant Certifications
BILLING CODE 4210-32-P

[[Page 27512]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.235


[[Page 27513]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.236


[[Page 27514]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.237


[[Page 27515]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.238


[[Page 27516]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.239


[[Page 27517]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.240


[[Page 27518]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.241


[[Page 27519]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.242


[[Page 27520]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.243


[[Page 27521]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.244


[[Page 27522]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.245


[[Page 27523]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.246


[[Page 27524]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.247


[[Page 27525]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.248


[[Page 27526]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.249


[[Page 27527]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.250


[[Page 27528]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.251


[[Page 27529]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.252


[[Page 27530]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.253


[[Page 27531]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.254


[[Page 27532]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.255


[[Page 27533]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.256


[[Page 27534]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.257


[[Page 27535]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.258


[[Page 27536]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.259


[[Page 27537]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.260


[[Page 27538]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.261


[[Page 27539]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.262


[[Page 27540]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.263


[[Page 27541]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.264


[[Page 27542]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.265


[[Page 27543]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.266


[[Page 27544]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.267


[[Page 27545]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.268


[[Page 27546]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.269


[[Page 27547]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.270


[[Page 27548]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.271


[[Page 27549]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.272


[[Page 27550]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.273


[[Page 27551]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.274


[[Page 27552]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.275


[[Page 27553]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.276


[[Page 27554]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.277


[[Page 27555]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.278


[[Page 27556]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.279


[[Page 27557]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.280


[[Page 27558]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.281


[[Page 27559]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.282


[[Page 27560]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.283


[[Page 27561]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.284


[[Page 27562]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.285


[[Page 27563]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.286


[[Page 27564]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.287


[[Page 27565]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.288


[[Page 27566]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.289


[[Page 27567]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.290


[[Page 27568]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.291


[[Page 27569]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.292


[[Page 27570]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.293


[[Page 27571]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.294


[[Page 27572]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.295


[[Page 27573]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.296


[[Page 27574]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.297


[[Page 27575]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.298


[[Page 27576]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.299


[[Page 27577]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.300


[[Page 27578]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.301


[[Page 27579]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.302


[[Page 27580]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.303


[[Page 27581]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.304


[[Page 27582]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.305


[[Page 27583]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.306


[[Page 27584]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.307


[[Page 27585]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.308


[[Page 27586]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.309


[[Page 27587]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.310


[[Page 27588]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.311


[[Page 27589]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.312


[[Page 27590]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.313


[[Page 27591]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.314


[[Page 27592]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.315


[[Page 27593]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.316


[[Page 27594]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.317


[[Page 27595]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.318


[[Page 27596]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.319


[[Page 27597]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.320


[[Page 27598]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.321


[[Page 27599]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.322


[[Page 27600]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.323


[[Page 27601]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.324


[[Page 27602]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.325


[[Page 27603]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.326


[[Page 27604]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.327


[[Page 27605]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.328


[[Page 27606]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.329


[[Page 27607]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.330


[[Page 27608]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.331


[[Page 27609]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.332


[[Page 27610]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.333


[[Page 27611]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.334


[[Page 27612]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.335


[[Page 27613]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.336


[[Page 27614]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.337


[[Page 27615]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.338


[[Page 27616]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.339


[[Page 27617]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.340


[[Page 27618]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.341


[[Page 27619]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.342


[[Page 27620]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.343


[[Page 27621]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.344


[[Page 27622]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.345


[[Page 27623]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.346


[[Page 27624]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.347


[[Page 27625]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.348


[[Page 27626]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.349


[[Page 27627]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.350


[[Page 27628]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.351


[[Page 27629]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.352


[[Page 27630]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.353


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27631]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.354


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27633]]



Housing Opportunities for Persons With AIDS (HOPWA) Overview 
Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Community Planning and Development (CPD), Office 
of HIV/AIDS Housing.
    B. Funding Opportunity Title: Housing Opportunity for Persons With 
AIDS (HOPWA).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is: FR-4900-N-17. The OMB approval number for this program is 
2506-0133.
    E. Catalog of Federal Domestic Assistance (CFDA) Numbers: 14.241 
Housing Opportunities for Persons With AIDS Program.
    F. Dates: The application due date shall be on July 14, 2004, for 
the renewal of expiring HOPWA projects which provide permanent 
supportive housing. Refer to the General Section of the SuperNOFA for 
application submission, delivery, and timely receipt requirements.
    G. Additional Overview Information:
    1. 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 low-income persons with Human Immunodeficiency Virus/Acquired 
Immunodeficiency Syndrome (HIV/AIDS) and their families. Grant 
recipients will measure client outcomes in how housing assistance 
results in creating or maintaining stable housing, reduces risks of 
homelessness and improves access to health-care and other needed 
support. States, units of general local government, and nonprofit 
organizations interested in applying for funding under this grant 
program should carefully review the General Section of the SuperNOFA 
and this detailed information listed in the program NOFA. There is no 
separate Application Kit for this Program NOFA.
    2. Available Funds. Approximately $29,227,000 in FY2004 funds is 
available to renew grant agreements for Special Projects of National 
Significance and projects in areas that do not receive HOPWA formula 
allocations. Funds will be made available under this program NOFA for 
the renewal of expiring HOPWA grants which provide permanent supportive 
housing as described in this Program NOFA.
    3. Eligible Applicants. States, units of general local government, 
and nonprofit organizations that meet the requirements established in 
this notice for the renewal of expiring permanent supportive housing 
projects may apply for HOPWA competitive funding under this Program 
NOFA.
    4. Match. As a new requirement under this notice, requests for 
HOPWA funding for supportive service activities must be matched on a 
one-to-one dollar amount; see instructions for match under Section 
III(B).
    5. Other Types of Projects. HUD will issue a separate Notice of 
Funding Availability at a later date for new projects and projects 
which continue non-permanent supportive housing efforts, if funding 
remains after the award of funds under this program NOFA. Funding 
opportunities may also exist through states and cities, which receive 
HOPWA formula funds.
    6. Authorities. If you are interested in applying for funding under 
this program, please review carefully the General Section of the 
SuperNOFA and the following sections of this Program NOFA. For more 
information on the program itself including eligible uses of funds, see 
the HOPWA program regulations at 24 CFR Part 574 and the AIDS Housing 
Opportunity Act (42 U.S.C. 12901-12912), which govern the information 
contained in this Program NOFA.
    Full Text of Announcement:

I. Funding Opportunity Description

A. Program Description for the Renewal of Permanent Supportive Housing 
Grants

    Under the provisions of the Consolidated Appropriations Act, 2004 
(Pub. L. 108-199, approved January 23, 2004) (FY2004 Appropriations 
Act), the Secretary is required to renew qualifying expiring contracts 
for permanent supportive housing projects. Grants funded under prior 
HOPWA competitions that meet the stated eligibility requirements below 
and meet all program requirements will be renewed by HUD. Applications 
will be reviewed on a pass/fail threshold review system and are not 
required to address the Departmental policy priorities described in the 
General Section of the SuperNOFA.
1. Definitions
    a. Permanent Supportive Housing is defined as housing in which the 
eligible person has a continuous legal right to remain in the unit and 
which provides the eligible person on-going supportive services through 
qualified providers. HUD will consider a grant to be providing 
permanent supportive housing if 51 percent or more of HOPWA program 
activity funds are used: (1) To provide permanent housing where on-
going supportive services are made available through other resources; 
(2) to provide supportive services where permanent housing is provided 
through other resources; (3) or some combination of these. Projects 
primarily offering transitional, or emergency housing options are not 
eligible under this notice.
    b. Expiring Grant is defined by the end date in the grant agreement 
signed with HUD on the existing project, including any amendment or 
one-year extension approved by HUD, under which the existing grant 
agreement will expire in federal fiscal year 2004 (i.e., after October 
1, 2003), or will expire within 18 months after the date of the 
publication of this notice).

B. Statutory and Regulatory Requirements

    If you are interested in applying for funding under this program, 
please review carefully the General Section of the SuperNOFA and the 
following sections of this Program NOFA. For more information on the 
program itself including eligible uses of funds, see the HOPWA program 
regulations at 24 CFR Part 574 and the AIDS Housing Opportunity Act (42 
U.S.C. 12901), which govern any information contained in this NOFA.

C. Availability of Other HOPWA Resources

    1. Other Competitive Funds. HUD is not requesting applications for 
new projects or projects which would continue non-permanent supportive 
housing programs under this notice. HUD will issue a separate Notice of 
Funding Availability at a later date, if funding is available for 
additional projects, after the award of funds for the renewal of 
permanent supportive housing Grants.
    2. Formula Allocations. You should also consider seeking funds from 
the formula component of the HOPWA program and from other resources. 
Ninety percent of the HOPWA program is allocated by formula to eligible 
states and qualifying cities. In FY2004, a total of $263,039,000 was 
allocated by formula to the qualifying cities for 79 eligible 
metropolitan statistical areas (EMSAs) and to 38 eligible states for 
areas outside of EMSAs and recipients must follow HUD's Consolidated 
Plan process. Information on consolidated planning, including HOPWA 
formula programs and descriptions of previously awarded competitive 
grants, is available on the HUD Web site at www.hud.gov/grants.
    3. National HOPWA Technical Assistance. To apply for funding to

[[Page 27634]]

serve as a provider of HOPWA technical assistance, you must submit an 
application for funds under the Community Development Technical 
Assistance (CDTA) part of the SuperNOFA. The CDTA notice makes 
available up to $2,485,000 in FY2004 funds in HOPWA funds to 
organizations qualified to provide technical assistance support to 
HOPWA grantees and project sponsors on a national or regional basis. 
Organizations seeking help in managing their HOPWA project, such as in 
planning, operating, reporting to HUD and evaluating HOPWA programs, 
can request TA help by contacting the state or area CPD office.

II. Award Information

A. Total

    Through this program NOFA, approximately $29,227,000 in FY2004 
funds is being made available for HOPWA awards for the renewal of 
permanent supportive housing projects.

B. Number and Timing of Awards

    HUD anticipates that 24-28 projects will be renewed under this 
notice and that awards will be announced by August 31, 2004. It is 
expected that the selected projects will continue program activities 
under a new grant agreement for an additional three years, to begin 
following the completion or termination of their existing grant 
agreement.

C. Maximum Grant Award

    In order to fairly distribute available funding, the maximum grant 
award that you may receive for your project is:
    1. For program activities: $1,300,000 (e.g., activities that 
directly benefit eligible persons);
    2. For grant administrative costs of the grantee: 3 percent of the 
awarded grant amount (e.g., an additional $39,000 if the maximum grant 
is awarded);
    3. For grant administrative costs for project sponsors: 7 percent 
of the amounts received by the project sponsor under the grant (e.g., 
an additional $91,000 if the maximum grant is awarded);
    4. For data collection on project outcomes: An additional $25,000; 
and
    5. Total for maximum renewal grant amount: $1,455,000.

D. Average Grant Award

    Based on the results of the 2003 HOPWA competition, the average 
grant award for the 28 grants selected was $1,056,000.

E. Restrictions

    Funding restrictions are found in Section IV(E) of this Program 
NOFA.

III. Eligibility Information

A. Eligible Applicants

    1. General Eligibility on Expiring Grants for Permanent Supportive 
Housing. Eligible applicants are states, units of general local 
government, and nonprofit organizations, which have been awarded funds 
under a previous HOPWA national competition and operated their project 
under a signed grant agreement with HUD. To be eligible, your project 
must provide permanent supportive housing to eligible persons under an 
expiring grant and meet the threshold requirements established under 
this program NOFA for your proposal to continue this project.
    2. Additional Eligibility for Grants to Nonprofit Organizations. If 
you are a nonprofit organization, you must also continue to satisfy the 
nonprofit requirements established in the definition of eligible 
nonprofit organization found in 24 CFR 574.3. In the case that your 
nonprofit status has changed since the time of your original 
application to HUD under the prior competition, or, in the case that a 
nonprofit organization is being added to your continuing project in 
your application, you will also need to submit the related required 
information described in Section IV(B) of this program NOFA.
    3. Additional Eligibility for Grants That Meet Program 
Requirements. To be eligible, you must be operating your existing 
project in a manner that meets program requirements. This is evidenced 
by having no unresolved grants management issues with your existing 
project, such as unresolved actions pending under a HUD notice of 
default on your current grant. This is evidenced by no unresolved 
problems or weak performance on your existing grant, during the active 
competitive period from the date of publication of this program NOFA 
until the selection of renewal applications. Unresolved problems may 
include HUD knowledge that planned activities remain significantly 
delayed in their implementation, a significant number of planned 
housing units are vacant, annual progress reports are not filed with 
HUD, or significant citizen complaints are unresolved or not responded 
to with justified reasons. Weak performance is also evident if more 
than 50 percent of grant funds remain recorded as unexpended as of the 
application due date for renewals under this program NOFA, as measured 
by reimbursements filed with HUD's financial system, PAS (Performance 
Accounting System).

B. Cost Sharing or Matching

    A new requirement for this program NOFA is a matching of funds for 
supportive services. All applicants for HOPWA funds for renewal must 
document the commitment of other funds equal to or greater than the 
amount requested for supportive services. The list or chart of 
commitments should be attached to your application and must include: 
(1) The name of the organization or entity that will contribute match 
funds and if the organization will serve as a project sponsor; (2) 
describe the work to be accomplished, such as the type of supportive 
service activities to be undertaken to support the project; (3) the 
value of cash match contribution related to the HOPWA supportive 
service funding requested; and (4) a letter from the organization or 
entity confirming this commitment of resources. The Department expects 
to collect information in annual progress reports that the cash match 
funds are used, as committed, in undertaking the renewal project. 
Failure to evidence such use of the additional resources could result 
in a notice of default and affect the project's continued access to 
federal funds. Supportive service requests are also subject to funding 
restrictions found in Section IV(E) of this program NOFA.

C. Other Eligibility Requirements

1. Threshold Requirements
    HUD will review your application to determine that you are eligible 
for renewal funding, as follows:
    a. Eligible Applicant. (1) Your application is consistent with the 
requirements of Section III of this program NOFA for eligibility based 
on applicant requirements, project sponsors and the lack of any 
unresolved management issues; and
    (2) Your application complies with the Dun and Bradstreet Data 
Universal Numbering System (DUNS) Number Requirement. Beginning in 
federal Fiscal Year 2004, any applicant seeking funding directly from 
HUD must obtain a DUNS number and include it in their SF-424 
Application for Federal Assistance submission. Failure to provide a 
DUNS number can prevent you from obtaining an award. This policy is 
pursuant to OMB Policy issued in the Federal Register on June 27, 2003 
(68 FR 38402). More information on the requirement of the DUNS Number 
can be found in the General Section of this NOFA.
    b. Expiring Grants. Your application is consistent with the 
definition for a

[[Page 27635]]

HOPWA expiring grant in Section I(A)(1) of this program NOFA.
    c. Permanent Supportive Housing Projects. Your application is 
consistent with the definition for a HOPWA expiring grant in Section 
I(A)(2) of this program NOFA.
    d. Eligible Project Sponsors. Your application is consistent with 
the requirements for eligibility of project sponsors, as follows:
    (1) If the project sponsor is a nonprofit organization, that 
organization must also continue to satisfy the nonprofit requirements 
established in the definition of eligible nonprofit organization found 
in 24 CFR 574.3. In the case that the organization's nonprofit status 
has changed since the time of your original application to HUD under 
the prior competition, or, in the case that a nonprofit organization is 
being added to your continuing project in your application, you will 
also need to submit the related required information described in 
Section IV(B) of this program NOFA.
    The project should also continue with the same project sponsors, as 
documented in the prior HOPWA application or amendments to that 
application as approved by HUD. HUD will consider the merits for 
changing a project sponsor as sufficient if the new sponsor evidences 
the capacity to enhance project operations or improve responsiveness to 
eligible persons. Such examples for changing a project sponsor may be 
that a new project sponsor has greater management, financial, or 
program service delivery capacity to conduct program activities or a 
prior project sponsor is no longer in operation, had evidence of 
inefficient or unresponsive behavior under their prior service, or has 
merged with another entity.
2. Program Requirements
    a. General Provisions. The provisions outlined within the General 
Section of the SuperNOFA apply to the HOPWA program unless otherwise 
stated within this program NOFA. Specifically, you are encouraged to 
review, Section III(C)--Other: Requirements and Procedures Applicable 
to All Programs. The threshold requirements in the General Section of 
the SuperNOFA apply to the HOPWA program and applicants must meet all 
threshold requirements to receive funding.
    b. Environmental Reviews. All HOPWA assistance is subject to the 
National Environmental Policy Act and applicable related federal 
environmental authorities. This year's NOFA is limited to the renewal 
of expiring HOPWA projects that provide permanent supportive housing. 
While most eligible activities, such as tenant-based rental assistance, 
supportive services, operating costs, and administrative costs, are 
excluded from environmental review because of the lack of environmental 
impact, some activities may require environmental review. In accordance 
with Section 856(h) of the AIDS Housing Opportunities Act, 
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 was implemented in a recent final amendment of the HOPWA 
regulation at 24 CFR 574.510 (68 FR 56130, published on September 29, 
2003). HOPWA grantees and project sponsors may not commit or expend any 
grant or nonfederal funds on project activities until HUD has approved 
a Request for Release of Funds (RROF) and environmental certification 
from the responsible entity (other than those listed in 24 CFR 
58.22(f), 58.34 or 58.35(b) for which the responsible entity documents 
its findings of exemption or exclusion for the environmental review 
record (24 CFR 58.34 (b) or 24 CFR 58.35 (d)). The recipient, its 
project partners and their contractors may not acquire, rehabilitate, 
convert, lease, repair, dispose of demolish, or construct property for 
a project, or commit or expend HUD or local funds for such eligible 
activities, until the responsible entity (as defined in 58.2) has 
completed the environmental review procedures required by 24 CFR part 
58 and the environmental certification and RROF have been approved. 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. The recipient shall 
supply all available, relevant information necessary for the 
responsible entity to perform, for each property, any environmental 
review required.
    c. Required HOPWA Performance Goals. Grant recipients must conduct 
activities consistent with their planned annual housing assistance 
output goals, objectively measure actual achievements against 
anticipated achievements and report on their actual outputs. Please use 
the Renewal Project Information Form, found in Appendix A, for 
recording your summary of proposed accomplishments on housing 
assistance outputs. Also please use the HOPWA Renewal Budget Form, 
found in Appendix A, for recording the funding for housing assistance 
activities that is associated with these outputs, including any funding 
request for HOPWA funds and/or your commitment to use other funds for 
this purpose. If other funds were used in your current grant to provide 
the permanent housing support, please establish your annual output 
targets for continuing this housing assistance at a similar level of 
housing activity. Applicants should also establish a reasonable client 
outcome goal to be quantified as a baseline after each year of 
operation to demonstrate client outcomes.
    (1) Required Output. The projected number of households by type of 
housing units, to be provided through your project during each 
operating year.
    (2) Required Outcome. Increase the amount of housing assistance and 
related supportive services to eligible persons to establish or 
maintain housing stability, reduce the risk of homelessness, and access 
health care, and other support for eligible persons.
    d. Optional Program Performance Goals.
    (1) Outputs. Your application for the HOPWA Program may include 
other measures or annual indicators, such as the projected numbers of 
persons, client contacts by service, the number of permanent housing 
client plans established by case managers, the number of jobs created 
through a job training or skills development program or other measures 
of the numbers to be served through each activity during each project 
operating year.
    (2) Outcomes. In addition, the applicant may establish other 
outcome goals, such as: Increase the access to permanent housing for 
eligible persons to enable these households to become more self-
sufficient as evidenced by increase in income or reduced need for 
housing or other subsidies and support; improve the neighborhood 
housing conditions in which low-income and homeless eligible persons 
and their families live, by promoting the development of housing that 
is safe, decent, and sanitary. Results may be evidenced by increases in 
property values, improved neighborhood security, home-ownership rates, 
or other measurable indicators that would describe evidence of 
neighborhood stability and increased investment. In addition, outcomes 
should also address the challenge of homelessness for persons living 
with HIV/AIDS and their families, including persons who are

[[Page 27636]]

chronically homeless, by enabling them to move to permanent housing 
with appropriate supportive services assistance. Results may be 
measured in coordination with measures used by the area's homeless 
assistance efforts, such as decreases in the number of chronically 
homeless individuals in the community.
    e. HUD Logic Model. To illustrate the planning for the use of 
resources, project activities, outputs, outcomes, and goals please use 
the Logic Model (Form HUD-96010) in the General Section of the 
SuperNOFA to meet these application requirements. Applicants must make 
use of the required elements in paragraph (a) in this form.
3. Eligible Activities
    a. Renewal Guidelines on Eligible Activities.
    (1) The activities to be renewed must be on-going forms of support 
over three years, such as rental assistance and short-term rent, 
mortgage, and utility payments which establish or maintain stable 
permanent housing, reduce current resident's risks of homelessness, and 
improves eligible persons' access to health care and other needed 
support. The permanent supportive housing may also help maintain the 
client's current residence, establish a new residence, or provide 
operating costs for housing facilities, leasing of housing facilities, 
related supportive service costs, housing information services, 
resource identification activities, and technical assistance related to 
community residences. Housing information services and permanent 
housing placement services may also be used in order to assist 
beneficiaries in moving to other permanent housing, such as 
outplacement to independent living arrangements, homeownership, or 
other on-going housing, which do not involve HOPWA funds.
    (2) Operating costs for permanent supportive housing facilities 
that involved the use of funding for its acquisition, new construction 
or rehabilitation in the prior or original grant, will be eligible to 
maintain the operation of these projects over the term of the renewal 
grant.
    (3) Administrative costs for grantees and project sponsors and 
funds for data collection on project outcomes is available as part of 
your renewal budget request. HUD expects that the use of data 
collection funds will help to ensure strong program management and 
result in accurate reporting on the provision of planned housing 
assistance outputs and related client outcomes in achieving housing 
stability, reduced risks of homelessness and improved access to health-
care and other support for beneficiaries.
    b. General Guidelines on Eligible Activities. In addition to the 
above, eligible activities with their standards and limitations may be 
found in the HOPWA regulations at 24 CFR 574.300-340. A copy of the 
regulations may be downloaded from http://www.hud.gov/offices/cpd/aidshousing/lawsregs/index.cfm. You are encouraged to review the HOPWA 
regulations before seeking funding.
    (1) Housing Assistance. Your renewal project must clearly address 
the permanent supportive housing needs of eligible persons. If you are 
proposing to continue some level of emergency or transitional housing 
assistance, your plan must include linkages to the provision of 
permanent supportive housing and show that the permanent supportive 
housing activity is the primary activity of your grant.
    (2) Supportive Services. Many of the eligible persons who will be 
served by HOPWA may need services in addition to housing. It is 
important that you design programs which enhance access to those needed 
services, including access to existing mainstream resources of health-
care, AIDS drug assistance, and other services funded through the Ryan 
White CARE Act or other federal, state, local, or private funds. To the 
extent possible, HUD encourages projects to incorporate mainstream 
resources into their project plans to maximize the benefit of requested 
HOPWA funds. Mainstream resources may include private, other public, 
and mainstream services and housing programs that provide benefits to 
eligible persons. Applicants are encouraged to create community wide 
strategies to coordinate assistance to eligible persons through these 
mainstream programs. These mainstream programs include Medicaid, 
Children's Health Insurance Program, Temporary Assistance for Needy 
Families, Food Stamps, and services funded through the Mental Health 
Block Grant and Substance Abuse Block Grant, Workforce Investment Act, 
and the Welfare-to-Work grant program. While HUD recognizes that there 
are many ways to ensure that eligible persons receive the services they 
need, to the extent possible, HUD encourages you to operate housing 
programs which do not require participation in services as a part of 
your or your project sponsor's tenancy requirements. Additional 
restrictions and limitations that apply to supportive services such as 
health care costs can be found in the program regulations at 24 CFR 
574.300.
    (3) Other Approved Activities. You may propose to continue other 
activities in your application based on HUD's prior approval of this 
activity under your current grant. Such other activities have included 
shallow rent subsidy programs and homeownership efforts. Please discuss 
the beneficial impact of these alternative activities in addressing 
housing needs of eligible persons in your application.
    (4) Project Outcome Funding. You must request funding to conduct 
data collection on project outcomes to support accurate reporting to 
HUD on the performance outputs and outcomes of your service delivery 
model. Project outcome activities include:
    (a) Defining monitoring questions that will be addressed and 
examined during the project period;
    (b) Specifying additional measures, in addition to the use of 
standard HOPWA output and outcome measures, for your project as 
incorporated in the standard logic model.
    (c) Developing instruments to assess project outcomes and systems 
outcomes;
    (d) Training project staff in the collection of data, including the 
preparation of the standard HOPWA Annual Progress Report to HUD;
    (e) Using Management Information System (MIS), including 
coordinating assistance for persons who are homeless and persons who 
are chronically homeless in collaboration with area Homeless Management 
Informative System (HMIS) efforts under the area's Continuum of Care;
    (f) Monitoring data collection activities to assure that 
submissions are complete and accurate, including data coding and entry;
    (g) Summarizing and analyzing data collected in an effort to 
identify project baseline data on outcomes and any statistical trends 
to determine program effectiveness for the clients served;
    (h) Participating in HUD-sponsored collaborations and HUD-
designated training events in order to prepare and disseminate the 
findings of reports on project accomplishments and lessons learned; and
    (i) Applicants may include an expert third-party to conduct project 
outcome activities, but grantees are encouraged to train staff 
internally. Such training will increase the internal capacity of your 
organization and your partner organizations by learning how to make use 
of project outcome data in operating and adjusting assistance provided 
to eligible persons.
4. Ineligible Renewal Activities
    Funds for acquisition, new construction or for rehabilitation costs

[[Page 27637]]

will not be renewed. These capital development activities are not 
ongoing or available for additional sites. If you wish to undertake 
additional capital development activities or to add funding for new 
activities, such as operating costs and services, you must apply under 
a separate notice that will be issued by HUD, if funds remain 
available.

IV. Application and Submission Information

A. Addresses To Request Application Package

    For Applications. All information required to complete and return a 
valid application is included in the General Section and this program 
NOFA of the SuperNOFA, including appendices. Copies of the General 
Section, this program NOFA, and appendices, including the application, 
are available and may be downloaded from http://www.grants.gov. If you 
are unable to download any of the materials in the SuperNOFA, program 
NOFA and its appendixes, please call the SuperNOFA Information Center 
at 800-HUD-8929 (800-483-8929) for a copy of the General Section and 
this program NOFA of the SuperNOFA. Persons with hearing or speech 
challenges may access the above number via TTY (text telephone) by 
calling the Federal Information Relay Service at 800-877-8339 (this is 
a toll-free number).

B. Content and Form of Application Submission

    Applicants are requested to submit the following information:
    1. Application for Federal Assistance (Form SF-424). You should 
complete this form and include these responses, as applicable, for 
items 1 through 18:

--Item 7--The applicable letters are ``A'' for state; ``B, C, or D'' 
for a unit of local government; or ``O'' for Nonprofit;
--Item 9--Enter U.S. Department of Housing and Urban Development or HUD 
if not preprinted;
--Item 10--Enter 14-241 and the title ``Housing Opportunities for 
Persons With AIDS Program'' or ``HOPWA'' for the Catalog of Federal 
Domestic Assistance;
--Item 15--You must complete the budget on page 1 and the HOPWA Renewal 
Project Budget Form. Please make sure that both the Total Amount on 
page 1 and the ``Total Budget'' section on the HOPWA Renewal 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''.

    2. Executive Summary and Synopsis. On no more than five double 
spaced pages, please provide an Executive Summary of the proposed 
renewal project, beginning with a two to three sentence synopsis of the 
focus or special purposes of your project. The summary should provide 
an overview of the main components of your planned HOPWA project, 
including any updated elements from the original project application. 
In the Executive Summary, please provide the name of the grantee and 
any project sponsors, along with contact names, phone numbers, and e-
mail address.
    3. HOPWA Renewal Project Information Form (see 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. Service Areas. Your application must identify the area(s) in 
which you are proposing to continue to provide housing, related 
supportive services and other assistance.
    c. Planned Results. The form should summarize your proposed 
accomplishments in annual housing assistance outputs and the number of 
persons expected to be assisted for each year of the expected three-
year operating period. As described in Section VI(C), the grantee is 
expected to report on client outcomes in achieving housing stability, 
reduced risks of homelessness and improved access to health-care and 
other needed support and an Outputs and Outcomes Worksheet is provided 
for informational purposes in developing your evaluation plans.
    4. 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 and attach to your application 
the documentation of the organization's nonprofit status and HIV/AIDS 
purposes, as described in Section III(A) on eligibility. Please provide 
this narrative information on no more than two double-spaced typed 
pages. If you are adding more than one project sponsor, you may include 
up to two additional pages per project sponsor. In your statement, 
please address the extent to which the project sponsor(s) have the past 
organizational experience and knowledge: In serving persons with HIV/
AIDS and their families; in programs similar to those proposed in your 
application; in monitoring and evaluating program performance and 
disseminating information on project outcomes; and, in achieving the 
purpose for which funds were provided, as measured by expenditures and 
measurable progress in operating the project. In the case that your 
nonprofit status has changed since the time of your original 
application to HUD for which you were selected for funding, or, in the 
case that a nonprofit organization is being added to your continuing 
project in your application, you will also need to submit the related 
required information to establish that you are an eligible nonprofit 
organization and that your organizational documents include a purpose 
of significant activities related to providing services or housing to 
persons with HIV/AIDS. Please submit these items listed below.
    a. We will accept as evidence of your nonprofit status:
    (1) A copy of the Internal Revenue Service (IRS) ruling providing 
tax-exempt status under Section 501(c)(3), (4), (6), (7), (9) or (19) 
of the IRS code; or
    (2) 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); or
    (3) Documentation that the applicant is a certified United Way 
agency; or
    (4) Copy of your most recent completed tax statement, Form IRS-990 
or Form 990-EZ; or
    (5) All of these:
    (a) A certification by the appropriate official of the jurisdiction 
under whose laws the nonprofit was organized that your organization was 
so organized and is in good standing;
    (b) A certification from a designated official of the organization 
that no part of the net earnings of the organization inures to the 
benefit of any member, founder, contributor, or individual; that the 
organization has a voluntary board; and that the organization practices 
nondiscrimination in the provision of assistance in accordance with 
applicable program requirements; and
    (c) An opinion letter from an independent public accounting (IPA) 
firm that the nonprofit has a functioning accounting system that 
provides for each of these (the letter must mention all of them).
    (i) Accurate, current, and complete disclosure of the financial 
results of each federally funded project;
    (ii) Records that identify adequately the source and application of 
funds for federally funded activities;
    (iii) Effective control over and accountability for all funds, 
property and other assets;

[[Page 27638]]

    (iv) Comparison of outlays with budget amounts;
    (v) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the use 
of funds for program purposes;
    (vi) Written procedures for determining reasonableness, allocable, 
and allowable costs; and
    (vii) Accounting records including cost accounting records that are 
supported by source documentation.
    b. We will accept as evidence of your organization's HIV/AIDS-
related purpose, a copy of the organization's articles of incorporation 
and by-laws, mission statement, program management plan, or other 
organizational policy document which evidences the organization's 
activities or objectives related to providing services or housing to 
persons with HIV/AIDS.
    5. Provision of Current Permanent Supportive Housing Narrative. On 
no more than four double-spaced pages, demonstrate how your project 
provides permanent supportive housing through HOPWA and other 
resources, and report on how the project has been meeting housing 
assistance outputs compared to planned and approved number of 
households or units of housing under the current grant. Include the 
type of assistance and number of housing units being provided and a 
description of the supportive services provided. Additionally, your 
description should outline how HOPWA and other funding, if applicable, 
work together to provide permanent supportive housing, including any 
efforts that have helped clients achieve greater self-sufficiency 
through access to other on-going housing options, which do not depend 
on HOPWA funds. Describe how your project has been meeting planned 
performance benchmarks, as appropriate, in program development and 
operation; in meeting project performance goals, such as, that the 
number of persons assisted is comparable to the number that was planned 
at the time of the application; and in expending funds consistent with 
the existing agreement with HUD. Also describe how you evaluated 
project data on performance, adjusted program activities and shared 
information that you have gained from your lessons learned on these 
past activities.
    6. Need for Renewal Chart. Additionally, you should complete the 
HOPWA Need for Renewal Chart, which demonstrates that your prior grant 
agreement with HUD will expired in federal fiscal year 2004 or will 
expire within eighteen months of the date of publication of this 
notice. You must complete the HOPWA Need for Renewal Chart (Appendix 
A).
    7. Achieving New Results and Program Evaluation Narrative. On more 
than three pages identify the housing benefits or outcomes of your 
renewal program including your activities, benchmarks, and performance 
output indicators over the next three grant operating years. Your 
application should address your evaluation plan or your method for 
collecting data on HUD program measures to evidence achievement of your 
project's goals and objectives and to establish a baseline for client 
outcomes. You should also complete and attach to your application the 
Logic Model (Form HUD-96010) found in the General Section of the 
SuperNOFA, to illustrate you plans for the use of resources, project 
activities, outputs, outcomes, and goals.
    8. HOPWA Renewal Budget Form. Please complete the HOPWA Renewal 
Budget Form (see Appendix A), which will provide a summary of the total 
budget for this project, the annual HOPWA amounts to be used in each of 
the three years of operations and description budget by project sponsor 
of the HOPWA funds to be used by each sponsor. You must provide a 
description of each of your requested budget line items and how the 
funds will be used, including the amount of requested funding by line 
item for you and your project sponsors.
    9. Documentation of Match for Supportive Services. If your project 
requests funding for supportive services, you must match the HOPWA 
amount with evidence of commitments from other state, local, federal, 
or private resources to provide the housing or supportive services. You 
must document that such assistance will be provided throughout the term 
of the renewal grant. In your application, provide a list or chart of 
the commitments and include: (1) The name of the organization or entity 
that will contribute match funds and if the organization will serve as 
a project sponsor; (2) describe the work to be accomplished, such as 
the type of supportive service activities to be undertaken to support 
the project; (3) the value of cash match contribution; and (4) attach a 
letter from the organization or entity confirming this commitment of 
resources
    10. 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. The following 
certifications must be included with your application. All 
certifications and forms, except those found in the General Section of 
the SuperNOFA, are included in the appendix in this program NOFA.
    a. Certifications found in the General Section of the SuperNOFA
    (1) Consolidated Plan Certification (HUD-2991). Except as stated 
below, you must include a Consolidated 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, or in one of the U.S. Territories of Guam, the Virgin Islands, 
American Samoa, or the Northern Mariana Islands, you are not required 
to include a Consolidated Plan certification with your application. The 
authorizing official from the state or local government must sign this 
certification.
    (2) Assurances and Certifications (HUD-424 B).
    (3) Consistency with the RC/EZ/EC Strategic Plan (HUD-2990)--if 
applicable to the service area of your project.
    (4) Applicant/Recipient Disclosure/Update Report (HUD-2880).
    (5) Disclosure of Lobbying Activities (SF-LLL).
    b. HOPWA Applicant Certifications (see Appendix A of this program 
NOFA--one form).
    (1) Fair Housing and Non-Discrimination for the HOPWA Eligible 
Population;
    (2) Environmental Law and Authorities; and
    (3) HOPWA Facility Use Periods.

C. Submission Dates

    Application Due Date. Your completed applications (an original and 
one copy to HUD Headquarters and one additional copy to the CPD 
Division of HUD's state or area office that supports the applicants' 
project area) are due on July 14, 2004. Failure to meet this due date 
will make any application for renewal funding ineligible for funds to 
be awarded under this program NOFA. Please follow standards for the 
submission of your application which are established in the General 
Section of the SuperNOFA.

D. Intergovernmental Review

    The HOPWA program is not subject to Executive Order (EO) 12372, 
Intergovernmental Review of Federal Programs.

E. Funding Restrictions

    As an applicant for renewal funding, you must specify the annual 
amount needed to continue each activity for each of the planned three 
years if

[[Page 27639]]

continuing operations or specify the number of years and related 
amounts for your request. HUD will review your application to determine 
the amount of approved funds, as follows:
    1. Your request for funding is consistent with the following 
limitations on maximum grant amounts:
    a. For program activities: A maximum of no more than $1,300,000 
(e.g., activities that directly benefit eligible persons), subject to 
the limitations in this section;
    b. For grant administrative costs of the grantee: A maximum of no 
more than an additional $39,000, subject to the limit on administrative 
costs of three percent of the amount requested for project activities 
in your application for grantees.
    c. For grant administrative costs for project sponsors: A maximum 
of no more than an additional $91,000, subject to the limit on 
administrative costs of seven percent of the amount requested for 
project activities to be conducted by project sponsors in your 
application.
    d. For data collection on project outcomes: A maximum of no more 
than an additional $25,000 for the purpose of the collection of data on 
program housing assistance outputs and client outcomes;
    e. Total for maximum renewal grant amount: $1,455,000, subject to 
applicable limitations in this section and if funds are requested for a 
term of less than three years, HUD reserves the right to reduced these 
amounts in a proportionate manner.
    2. Your request for the supportive services line item in program 
activities is consistent with the program limit of not more than 35 
percent of the maximum program activity costs, (i.e., not more than 
$455,000 over a three-year period), and any such costs must be matched 
with other resources consistent with the requirements of Section III of 
this program NOFA.
    3. Your request for the technical assistance for the community 
residences and resource identification activities line item in program 
activities is consistent with the program limit of not more than 5 
percent of the maximum program activity costs, (i.e., not more than 
$65,000 over a three-year period).
    4. Your request for program activity costs does not include a 
request for funds for acquisition, new construction, or for 
rehabilitation costs, or costs involving new housing facility sites, 
such as operating costs or leasing. These capital development 
activities are not on going and funds for additional facility sites are 
not being made available.
    5. Your request for program activity costs requests amounts for 
continuing a previously approved project at about the same level of 
housing and/or services provided in the previous grant. The amounts 
must not be more than 120 percent of the amount awarded or approved by 
HUD in the current grant for an activity, including any amendments 
affecting this amount that were approved by HUD, prior to the 
publication of this program NOFA, except as provided in paragraph (6).
    6. A reasonable amount of funds may be requested which exceed the 
limits of paragraph (5) in the case that:
    (a) A permanent supportive housing project in which acquisition, 
new construction, or rehabilitation were the major components of the 
original project; or
    (b) A project that was selected by HUD but the amount was reduced 
due to the lack of available competitive funds (i.e., the amount was 
not reduced due to an applicant's mathematical errors or for deletion 
of ineligible activities).
    The renewal application may establish a three-year budget for the 
annual on going housing, operating and related supportive services 
costs to maintain these permanent supportive housing projects based on 
the scope of their previously approved project or their application, as 
adjusted under Subsection
    (c). The amount requested must be based on information for the 
current costs for operating the project but the request may not exceed 
the other limits established in paragraphs (1) through (4) above. HUD 
reserves the right to adjust requests under this paragraph to the scale 
of projects of similar size and purpose.
    7. 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.

F. Other Submission Requirements

    Where and How to Send Your Application. Your completed application 
shall consist of an original signed application and two copies. Submit 
the original application and one copy to: HUD Headquarters; Robert C. 
Weaver Federal Building; 451 Seventh Street, SW., Room 7251; 
Washington, DC 20410; Attn: HOPWA. Submit the additional one copy of 
your application to the CPD Division of the state or area office that 
serves the area in which activities are proposed. For multi-state 
efforts, you must submit the copy of your application to the field 
office that serves your main office. See the General Section of the 
SuperNOFA for addresses for area HUD state or area offices. 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 more information see the 
General Section of the SuperNOFA for specific procedures governing the 
form of application submission (e.g., mailed applications, express 
mail, or overnight delivery).

V. Application Review Information

A. Criteria

    1. General. HUD will conduct a threshold review of all renewal 
applications based on the requirements found under Section III. (C)(1) 
to determine eligibility for the renewal of HOPWA grants that provide 
permanent supportive housing under an expiring grant.
    2. Criteria on New Sponsors. In the case that a project sponsor is 
being added, HUD will also conduct a substantive review of project 
capacity under the following criteria:
    a. HUD will review the project sponsor's ability to develop and 
operate your proposed program as a pass/fail review based on the 
requirements for an eligible project sponsor established in Section III 
and on a substantive review under this section. With regard to new 
project sponsor(s), HUD will consider the organization's past 
experience and knowledge: in serving persons with HIV/AIDS and their 
families; in programs similar to those proposed in your application; in 
monitoring and evaluating program performance and disseminating 
information on project outcomes; and in achieving the purpose for which 
funds were provided, as measured by expenditures and measurable 
progress in operating the project. A proposed sponsor, that fails to 
meet the conditions established for adding a sponsor or fails to 
demonstrate sufficient capacity will be ineligible to receive program 
funds.
    b. In reviewing the elements of organizational capacity as stated 
above, HUD will rate the proposed sponsor on the basis of 20 points, 
with a minimum of 14 points required for selection of this sponsor as 
eligible in demonstrating sufficient capacity. HUD will consider the 
extent to which your proposal demonstrates the following capacity, and 
award the highest points (20 to 16 points) to those with direct, 
extensive, clear and satisfactory experience, moderate scores (15 to 10 
points) to those with direct but not as extensive experience or where 
the experience

[[Page 27640]]

covers most but not all of these items; and lower scores (9 to 2 point) 
if the experience is limited, indirect on only some of the items or for 
which only limited or no information is provided. An organization with 
unresolved management issues affecting their HOPWA proposal will be 
scored at the lowest level (1 point):
    (1) 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. The project sponsor will be reviewed in terms 
of recent, relevant, and successful experience of staff to undertake 
eligible program activities, including experience and knowledge in 
serving low-income persons with HIV/AIDS and their families.
    (2) The project 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.
    (3) If the project sponsor received funding in previous years in 
the program area for which you are currently seeking funding, the 
sponsor's past experience will be reviewed in terms of its ability to 
attain demonstrated measurable progress in the implementation of the 
grant award. Measurable progress is defined as: meeting performance 
benchmarks, as applicable, in program development and operation; 
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; submitting timely performance reports; and 
expending prior funding as outlined in the prior proposal with no 
outstanding audit or monitoring issues.

B. Reviews and Selection Process

    1. Selection of Renewal Applications. To the degree that funds are 
available, 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. HUD will also review requests and adjust 
funding consistent with funding restrictions found in Section IV. (E). 
If the amount of the approvable request for renewal activities for all 
eligible applicants 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 pro rata reduction to the amount available 
under this notice. This action will help to ensure that all eligible 
and performing renewal grants receive funding that allows their 
continued operation.
    2. HUD Reviews. HUD staff will conduct this review, including staff 
from Headquarters' Office of HIV/AIDS Housing and in HUD's state and 
area field offices.
    3. Policy Priorities. Applicants seeking renewal funding under this 
program NOFA are not required to address HUD's policy priorities. 
Applicants are encouraged to review and voluntarily address relevant 
HUD's policy priorities as outlined in the General Section of the 
SuperNOFA. Please note in your application if you undertake any of this 
optional program effort.

C. Anticipated Announcement and Award Dates

    The anticipated announcement of the FY2004 HOPWA renewal awards is 
no later than August 31, 2004.

VI. Award Administration Information

A. Award Notices

    1. Applicant Notification. HUD will notify the eligible applicants 
of their selection for award or non-selection by letter to be mailed to 
the applicant's authorized official and the address provided in your 
application. The CPD Division of HUD's state or area office will 
provide a second letter with a copy of a proposed grant agreement along 
with instructions on any adjustments to the grant amount requested and 
other conditions identified during the review for conducting planned 
activities and on the close out of the current grant. After the 
issuance of the selection notice letter, a grantee may be eligible for 
pre-award costs if necessary to continue delivery of the project 
activities. Such costs are subject to the recipient's own risk and 
other limitations, and require HUD approval to incur pre-award costs.
    2. Applicant Debriefing. Applicants requesting to be debriefed must 
send a written request to: U. S. Department of Housing and Urban 
Development; Attention: Office of HIV/AIDS Housing; 451 Seventh Street, 
SW., Room 7212; Washington, DC 20401-7000. Telephone number is (202) 
708-1934. Persons with hearing or speech challenges may access the 
above number via TTY (text telephone) by calling the Federal 
Information Relay Service at 800-877-8339 (this is a toll-free number). 
Additional information regarding debriefing can be found in the General 
Section of the SuperNOFA.

B. Administrative and National Policy Requirements

1. Grant Purposes and Agreements to Operate Eligible Permanent 
Supportive Housing Grants
    Subject to penalties for false representation, and as a requirement 
for the receipt of these federal funds, the grant applicant agrees to 
maintain project eligibility and related documentation on the 
following:
    a. Agreement to Continue the Provision of Permanent Housing. In 
applying for these renewal funds, your application constitutes an 
agreement that you will continue to provide permanent supportive 
housing support to HOPWA eligible persons over the operating period of 
this grant. This agreement must insure that at least 51 percent of the 
HOPWA program activity funds awarded to your grant are used for this 
purpose and any new funds and related commitment of other funds will 
continue to provide permanent supportive housing to eligible persons 
for the planned annual outputs. These output goals will be established 
in your application by recording your summary of proposed 
accomplishments on housing assistance outputs for each of the planned 
three years of operation. The output goals were established in 
connection with the plan for funding the housing assistance activities, 
including any funding request for HOPWA funds and/or your commitment to 
use other funds for this purpose. If other funds were used in your 
current grant to provide the permanent housing support, your 
application will establish your annual output targets for continuing 
this housing assistance, as addressed in the next paragraph. To 
determine whether your grant continues to meets this purpose, you may 
also adapt the use the Permanent Supportive Housing Worksheet found in 
the appendix. Failure to maintain this project purpose would constitute 
a grant default.
    b. Agreement to Continue the Use of Other Resources. If your 
project has relied on other state, local, federal, or private resources 
to provide the permanent housing or supportive services portion of your 
project, you must agree to ensure that the other resources will 
continue to be available for that purpose throughout the term of the 
renewal grant. The continuing assistance must be substantially similar 
to the type or resources, which were documented within the original 
application to HUD (including any amendments approved by HUD and 
renewals), and the continuing resources will be used in conjunction 
with

[[Page 27641]]

requested HOPWA funds. As a new requirement in 2004, the application 
must demonstrate commitments that match or exceed the amount of HOPWA 
funds requested for supportive services. See instruction under Section 
III. (B) for match requirements. Failure to maintain this project use 
of other resources would constitute a grant default.
    c. Agreement to Evidence of Permanent Client Occupancy. Except for 
funds used for short-term mortgage, rent and utility payments, you must 
agree to maintain evidence that the client has a continuous legal right 
to remain in the unit or property and has access to on-going supportive 
services provided through qualified providers. You must include in your 
grant files a copy of the standard lease form or occupancy agreement 
used for residents of the project. The lease or occupancy agreement 
must be for a term of at least one month. The lease or occupancy 
agreement must also be automatically renewable upon expiration, except 
on reasonable prior notice by either the tenant or the landlord. The 
requirements governing termination of housing are located in 24 CFR 
574.310(e). Failure to maintain this project documentation of the 
client's lease or occupancy agreement would constitute a grant default.
    2. Performance Benchmark Requirements. All grantees receiving funds 
under this program NOFA are expected to meet the following benchmark 
requirements and operate activities in a consistent and on going manner 
over the expected three-year operating period. If a selected project 
does not meet the appropriate performance benchmark, HUD reserves the 
right to cancel or withdraw the grant funds.
    a. Execution of Grant Agreement. Selected applicants must execute 
grant agreements, as soon as practicable but no later than six months 
after the notice of selection. HOPWA grants are obligated upon grant 
execution and the FY2004 Appropriations Act requires HUD to obligate 
funds by no later than September 30, 2005.
    b. Disbursement of Funds. Grantees receiving awards under this 
program NOFA should fully expend their grant in a consistent and on 
going manner and complete the use of the funds by no later than three 
years following the effective date or the operation start date in the 
grant agreement. As a vehicle constraint on funding, the National 
Defense Authorization Act for Fiscal Year 1991 requires expenditure of 
all HOPWA funds awarded under the FY2004 Appropriations Act by 
September 30, 2010. After September 30, 2010, any unexpended funds 
(whether obligated or unobligated) shall be canceled and, thereafter, 
shall not be available for obligation or expenditure for any purpose.
    3. Affirmatively Furthering Fair Housing. See Section III.C. of the 
General Section of the SuperNOFA for the information on how to meet 
this requirement.
    4. Local Resident Employment (Section 3 Requirements). For grants 
in excess of $200,000, to the extent that grant funds are used for 
housing rehabilitation (including reduction and abatement of lead-based 
paint hazards, but excluding routine maintenance, repair, and 
replacement) or housing construction, the activity is subject to 
Section 3 of the Housing and Urban Development Act of 1968 and the 
implementing regulations at 24 CFR part 135. Section 3 requires 
recipients to ensure that training, employment, and economic 
opportunities shall, to the greatest extent feasible, will be directed 
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 (also see Section 
III.C.4.c. of the General Section of the SuperNOFA).
    5. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Toward Government Contractor's Labor Relations on 
Federal and Federally Funded Contract Project. See Section III.C. of 
the General Section of the SuperNOFA for the information on how to meet 
this requirement.
    6. Procurement of Recovered Materials. See Section III.C. of the 
General Section of the SuperNOFA for the information on how to meet 
this requirement.

C. Reporting

    1. Measuring Performance. You must report after each year of 
operation on the annual accomplishments of your projects under the 
HOPWA Annual Progress Report (form HUD-40110-B), including the required 
performance measures described in Section III. (C)2, including 
reporting on client outcomes in achieving housing stability, reduced 
risks of homelessness, and improved access to health-care and other 
needed support. See the Outputs and Outcomes Worksheet in attachment A 
to be used for informational purposes in developing your evaluation 
plans. HUD will use these reports and information obtained from HUD 
financial systems, along with any remote or on-site monitoring, to 
measure your progress and achievements in evaluating your performance 
on your HOPWA grant.
    2. Beneficiary Information. HUD requires that funded recipients 
collect racial and ethnic beneficiary data. It has adopted the Office 
of Management and Budget's Standards for the collection of Racial and 
Ethnic Data. In view of these requirements, you should use one of the 
following:
     HUD-27061, Racial and Ethnic Data Reporting Form 
(instructions for its use) found on http://www.HUDclips.org;
     A comparable program form (HOPWA--Annual Performance 
Report (APR) form); or
     A comparable electronic data system for this purpose.

VII. Agency Contacts

A. For Further Information and Technical Assistance (TA)

    You may call the HUD field office serving your area (find the 
telephone number on HUD's Web site: www.hud.gov/offices/cpd/about/local/index.cfm) 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. Persons with hearing or 
speech challenges may access the above number via TTY (text telephone) 
by calling the toll-free Federal Information Relay Service at 800-877-
8339.

B. Seeking Technical Assistance (TA) 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. If, after your application has been selected for an award, HUD 
determines that HOPWA technical assistance was used to draft your 
application, the award will be withdrawn and you may be liable to 
return to HUD any funds already spent.

C. Satellite Broadcast

    HUD will hold information broadcasts 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.

VIII. Other Information

    Paperwork Reduction Act. The information collection requirements

[[Page 27642]]

contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2506-0133. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 413 hours per annum per respondent 
for the application and grant administration. This includes the time 
collecting, reviewing, and reporting the data for the application, 
semi-annual reports and final report. The information will be used for 
grantee selection and monitoring the administration of funds. Response 
to this request for information is required in order to receive the 
benefits to be derived.
BILLING CODE 4210-32-P

[[Page 27643]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.355


[[Page 27644]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.356


[[Page 27645]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.357


[[Page 27646]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.358


[[Page 27647]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.359


[[Page 27648]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.360


[[Page 27649]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.361


[[Page 27650]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.362


[[Page 27651]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.363


[[Page 27652]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.364


[[Page 27653]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.365


[[Page 27654]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.366


[[Page 27655]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.367


[[Page 27656]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.368


[[Page 27657]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.369


[[Page 27658]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.370


[[Page 27659]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.371


[[Page 27660]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.372


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27661]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.373


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27663]]



Assisted Living Conversion Program (ALCP) for Eligible Multifamily 
Housing Projects Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Housing Assistance and Grant Administration.
    B. Funding Opportunity Title: The Assisted Living Conversion 
Program for Eligible Multifamily Projects.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The OMB Approval Number is: 2502-
0542. The Federal Register number for this NOFA is: FR-4900-N-16.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: The 
Assisted Living Conversion Program for Eligible Multifamily Housing 
Projects is 14.314.
    F. Dates: Application Deadline Date: The application is due to the 
appropriate HUD Multifamily Hub Office on July 22, 2004.
    G. Optional, Additional Overview Content Information: 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. Private nonprofit owners 
of eligible developments interested in applying for funding under this 
grant program should carefully review the General Section of the 
SuperNOFA and the detailed information listed in this program NOFA. 
Funding will only be provided for those items related to the 
conversion. There is no separate Application Kit for this NOFA.
    The ALCP will fund those applications that may impact federal 
problem solving and policymaking and that are relevant to HUD's policy 
priorities and annual goals and objectives. (Refer to the General 
Section of the SuperNOFA for discussion of these priorities and annual 
goals and objectives).

Full Text of Announcement

I. Funding Opportunity Description

    Program Description. Assisted living facilities (ALFs) 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 unit configuration and related 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, as well as related 
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.
    The Assisted Living Conversion Program is authorized by Section 
202(b) of the Housing Act of 1959 (12 U.S.C. 1701q-2) and the 
Consolidated Appropriations Act, 2004 (Pub. L. 108-199, approved 
January 23, 2004) (FY2004 Appropriations Act). The FY2004 
Appropriations Act provides $24,852,500 (which reflects a .59 percent 
across-the-board rescission pursuant to Public Law 108-199) for grants 
under Section 202b of the Housing Act of 1959 for the conversion of 
eligible projects to assisted living or related use and for emergency 
capital repairs. The Department has set-aside $10 million for emergency 
capital repairs. The eligibility requirements for obtaining funding for 
emergency capital repairs will be described in a separate Notice. Any 
unused funds from the emergency capital repairs set-aside will be 
returned to the funds allocated for eligible multifamily assisted 
projects.

II. Award Information

A. Available Funds

    This NOFA makes available approximately $55.5 million including 
carryover funds. Approximately $7,500,000 will be provided for the 
conversion of up to two unused or underutilized commercial properties 
to ALFs. The remaining $47,980,500 will be fair shared and used for the 
physical conversion of eligible multifamily assisted housing projects 
or portions of projects to ALFs.
    The allocation formula used to fair share the $47,980,500 for the 
ALCP reflects demographic characteristics of age and incidence of 
frailty that would be expected for program participants. The FY2004 
formula consists of one data element from the 2000 decennial census: 
The number of non-institutional elderly population aged 75 years or 
older with a disability. A fair share factor for each state was 
developed by taking the sum of the persons aged 75 or older with a 
disability within each state as a percentage of the sum of the same 
number of persons 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 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:

B. FY2004 Allocation

 FY2004 Allocation for the Assisted Living Conversion Program (ALCP) of
                 Eligible Assisted Multifamily Projects
------------------------------------------------------------------------
                                                                Grant
                            HUB                               authority
------------------------------------------------------------------------
Boston....................................................    $2,907,396
Buffalo...................................................     1,286,468
New York..................................................     2,766,642
Philadelphia..............................................     5,245,844
Baltimore.................................................     1,958,343
Greensboro................................................     2,015,569
Atlanta...................................................     3,514,056
Jacksonville..............................................     4,149,827
Chicago...................................................     3,664,614
Columbus..................................................     2,057,739
Detroit...................................................     1,681,452
Minneapolis...............................................     1,748,837
Fort Worth................................................     3,673,859
Kansas City...............................................     2,978,315
Denver....................................................     1,063,086
Los Angeles...............................................     2,813,804
San Francisco.............................................     2,860,287

[[Page 27664]]

 
Seattle...................................................     1,594,360
                                                           -------------
  Total...................................................    47,980,500
------------------------------------------------------------------------

    The ALCP Grant Agreement, when fully executed, obligates and 
contracts the HUD funds. This Agreement establishes the legal 
relationship between HUD and the ALCP award recipient. The period of 
performance will be based on the scope of work.

III. Eligibility Information

A. Eligible Applicants

    Only private 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 (Pub. L. 
102-550, approved October 28, 1992) and private nonprofit owners of an 
unused or underutilized commercial property are eligible for funding.
    1. Ineligible Applicants. Ineligible applicants are:
    a. Owners of developments designed specifically for people with 
disabilities.
    b. Owners of Section 232 developments.
    c. Property management companies and agents of property management 
companies.
    d. Limited dividend partnerships.
    e. Nonprofit Public Agencies.
    f. Owners of unused/underutilized hospitals or other health-related 
facility which are considered to be eleemosynary institutions rather 
than commercial enterprises.
    2. Eligible Developments. Eligible projects must be owned by a 
private, nonprofit entity and designated primarily for occupancy by 
elderly persons. Projects must have been in occupancy for at least five 
years from the date the form HUD-92485, Permission to Occupy Project 
Mortgage, was approved by HUD's Construction Manager as Chief 
Architect, and have completed final closing. Additionally, eligible 
projects must meet one of the following criteria:
    a. Section 202 direct loan projects with or without Section 8 
rental assistance,
    b. Section 202 capital advance projects receiving rental assistance 
under their Project Rental Assistance Contract (PRAC),
    c. Section 515 rural housing projects receiving Section 8 rental 
assistance,
    d. Other projects receiving Section 8 project-based rental 
assistance,
    e. Projects subsidized with Section 221(d)(3) below-market interest 
mortgage,
    f. Projects assisted under Section 236 of the National Housing Act.
    g. Unused and underutilized commercial properties owned by a 
private nonprofit.

B. Cost Sharing or Matching

    No matching required.

C. Other

    1. Eligible conversion activities are:
    a. 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:
    (1) Sprinkler systems;
    (2) An elevator or upgrades thereto;
    (3) Lighting upgrades;
    (4) Major physical or mechanical systems of projects necessary to 
meet local code or assisted living requirements;
    (5) 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.;
    (6) Upgrades to safety and emergency alert systems;
    (7) Addition of hallway railings; and
    (8) Medication storage and work stations;
    b. 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).
    c. 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.
    d. Temporary relocation (not applicable to commercial property).
    e. Consultant, architectural, and legal fees.
    f. Vacancy payments not more than 30 days after conversion to an 
ALF.
    g. Any excess Residual Receipts (over $500/unit) and Reserve for 
Replacement 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 toward 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 Real Estate Assessment Center (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 reserve for 
replacement and residual receipts balances to determine the extent of 
available residual receipts and reserve for replacement funds for the 
ALCP. (This paragraph is not applicable to commercial properties.)
    2. Threshold Requirements. Applicants must meet the following 
requirements to receive funding for this program.
    a. Be an eligible applicant. HUD will only award funding to 
eligible applicants.
    b. Obtain a DUNS number. To receive ALCP funds, you must obtain a 
DUNS number. (Refer to Section III.C.2.b. of the General Section of the 
SuperNOFA for information regarding the DUNS requirement.)
    c. You must be in compliance with all fair housing and civil rights 
laws, statutes, regulations, and executive orders as enumerated in 
Section III.C. of the General Section of the SuperNOFA.
    d. You cannot request more funds than advertised in this NOFA.
    e. You must provide commitment and funding support letters from the 
appropriate funding organizations and the appropriate licensing 
agency(ies). HUD will reject your application if the commitment and 
support letter(s) from the appropriate funding organizations and the 
appropriate licensing agency(ies):
    (1) Are not submitted with your application;
    (2) 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;
    (3) Do not show commitment for funding the meals and supportive 
services proposed; or
    (4) Indicate that the project as proposed will not meet the 
licensing requirements of the appropriate state/local agency(ies).
    f. You must comply with all applicable statutory requirements to 
the project specified in Section 202(b) and statutory requirements 
under Section 232(b)(6).
    g. Minimum Size Limits for an ALF. An ALF must be economically 
feasible.

[[Page 27665]]

Consistent with HUD Handbook 4600.1, CHG-1, the minimum size for an ALF 
is five units.
    h. Conduct Business in Accordance with Core Values and Ethical 
Standards. ALCP applicants must develop and maintain a written code of 
conduct to receive an award. (Refer to Section III.C. of the General 
Section of the SuperNOFA for further information on this requirement.)
    i. Name Check Review. Name checks are intended to reveal matters 
that reflect your management and financial integrity, or if any key 
individuals have been convicted or are presently facing criminal 
charges. HUD may deny funding based upon information obtained and 
verified through the Name Check Review. (Refer to Section III.C. of the 
General Section of the SuperNOFA for specific procedures regarding this 
requirement.)
    j. False Statements. A false statement in this application is 
grounds for denial or termination of the ALCP award and grounds for 
possible punishment as provided in 18 U.S.C.1001.
    3. Program Requirements.
    a. Have a residual receipts account separate from the Reserve for 
Replacement account, or agree to establish this account as a condition 
for getting an award(s).
    b. You 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. (Not applicable 
to applicants of unused and underutilized commercial property.)
    c. You must file a form HUD-2530 for all construction contractors, 
architects, consultants, and service provider organizations under 
direct contract with you that will be engaged under this NOFA.
    d. Your project must 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 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. 
(Not applicable to applicants of unused or underutilized commercial 
property)
    e. You must submit an agreement to pursue appropriate ALF licensing 
in a timely manner.
    f. 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 fund 
those supportive services. (See below in Section IV.B.8. for 
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 an indication of 
the funding commitment, which you will then include with the 
application you submit to HUD.
    g. Licensing Requirements. 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.
    h. 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, bedroom, living/dining area (1 bedroom unit) or kitchen, 
bathroom, bedroom/living/dining area (efficiency unit) and must meet 
the state and/or local licensing, building, zoning, and other 
requirements for an ALF.
    i. 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.
    j. 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. (Not applicable to applicants of unused or underutilized 
commercial property.)
    k. At a minimum, your ALF must provide room, board, 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:
    (1) 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.
    (2) Dependent occupants: Supervision of nutrition, assistance with 
medication and continuous responsibility for the occupants' welfare.
    l. 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. m. Your ALF must 
provide three meals per day to each resident.
    (1) 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.
    (2) 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., two meals, two snacks daily).
    In either case, ALF management must coordinate meal requirements 
with the needs of residents who are out part of the day (e.g., in day 
care). The meal program may not be operated at a profit by the project 
owner.
    n. Priority admissions for ALF units are as follows: (Not 
applicable to applicants of unused or underutilized commercial 
structures.)
    (1) Current residents desiring an ALF unit and meeting the program 
requirements (no resident can be required to accept an ALF unit).
    (2) Qualified individuals or families needing ALF services who are 
already on the project's waiting list;
    (3) Qualified individuals or families in the community needing ALF 
services

[[Page 27666]]

wanting to be added to the project's waiting list.
    (4) Qualified disabled non-elderly persons needing assisted living 
services are eligible to occupy these units on the same basis as 
elderly persons, except for section 202 project rental assistance 
contracts (PRAC) projects and unused/underutilized commercial 
properties.
    o. 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.
    p. 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 years or for the term of the mortgage on the 
property whichever is longer.
    q. The ALCP requires service coordination for linking the ALF to 
available services in the community for 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 IV.B.8.b. and 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 SF-424 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 form SF-424 which is exhibit 10(a) 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.
    (1) 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.
    (2) 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.
    (3) The ALF may cater to the special needs of residents depending 
on their 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.
    (4) 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 percent 
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.
    (5) 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/cgi/index.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.
    r. 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:
    (1) Charges/payment for board, which may be on a sliding scale or 
any other equitable fee system; and
    (2) Charges/payment for necessary supportive services, which may 
include a combination of resident fees, Medicaid and/or other third 
party payments.
    s. Prohibition Against Lobbying Activities. The Byrd Amendment 
prohibits ALCP recipients of federal contracts, grants, or loans from 
using appropriated funds for lobbying activities. (Refer to Section 
III.C. of the General Section of the SuperNOFA for further instructions 
regarding this requirement.)
    4. Additional Non-discrimination and Other Requirements. Comply 
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, which requires that the 
project be marketed to those least likely to apply including those who 
are not generally served by the agency administering the program, 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. (Refer to Section III.C.4.of the General Section of the 
SuperNOFA for additional requirements and information.)
    a. Comply 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 Americans with Disabilities Act 
of 1990 for all portions of the development physically affected by this 
proposal.
    b. Comply 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

[[Page 27667]]

portion of the project is 12 units or more.
    c. Ensuring the Participation of Small Business, Small 
Disadvantaged Businesses, and Woman-Owned Businesses. HUD is committed 
to ensuring that small businesses, small disadvantage businesses, and 
woman-owned businesses participate fully in HUD's direct contracting 
and in contracting opportunities generated by HUD's financial 
assistance. (Refer to Section III.C.4.c. of the General Section of the 
SuperNOFA for further instructions regarding this requirement.)
    d. Executive Order 13166, Improving Access to Persons with Limited 
English Proficiency (LEP). ALCP applicants must seek to improve access 
to persons with limited English proficiency by providing materials and 
information in languages other than English.
    e. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations. HUD has undertaken a review of all 
policies and regulations that have implications for faith-based and 
community organizations, and has established a policy priority to 
provide full and equal access to grassroots faith-based and other 
community-based organizations. (Refer to Section III.C.4.g. of the 
General Section of the SuperNOFA for specific instructions regarding 
this requirement.)
    f. Accessible Technology. The Rehabilitation Act Amendments of 1998 
apply to all electronic information technology (EIT) used by an ALCP 
recipient for transmitting, receiving, using, or storing information to 
carry out the responsibilities of the ALCP awards. (Refer to Section 
III.C.4.h. of the General Section of the SuperNOFA for specific 
instructions regarding this requirement.)
    g. Participation in HUD-Sponsored Program Evaluation. As a 
condition of the receipt of ALCP funds, successful applicants are 
required to cooperate with all HUD staff or contractors performing HUD-
funded research and evaluation studies.
    h. Comply with Executive Order 13202, Preservation of Open 
Competition and government Neutrality toward Government Contractors' 
Labor Relations on Federal and Federally Funded Construction Projects. 
(Refer to Section III.C.4.k. of the General Section of the SuperNOFA 
for additional information on this requirement).
    i. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance. ALCP applicants are subject to the Administrative 
Requirements of OMB Circular A-133, Audits of States, Local Governments 
and Non-Profit Organizations; OMB Circular A-122, Cost Principles for 
Non-Profit Institutions; the administrative requirements of 24 CFR Part 
84; and the procurement requirements of 24 CFR 84.44. (Refer to the 
General Section of the SuperNOFA for additional information on this 
requirement).
    j. Environmental Requirements. All ALCP projects must conform to 
the 500-year flood plain limitation. Your ALCP application is subject 
to the National 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 awarding any 
grant under this program. Pursuant to 24 CFR part 55, ALCP projects are 
critical actions for purposes of flood plain management review.

    Note: If your eligibility status changes during the course of 
the grant term, making you 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.

IV. Application and Submission Information

    A. Addresses to Request Application Package. All information for 
requesting an application is included in this NOFA and Section IV. A. 
of the General Section of the SuperNOFA. You may obtain an ALCP 
application by calling the NOFA Information Center at (voice) 800-HUD-
8929 (800-483-8929). Persons with a hearing or speech impairment may 
call the Center's TTY number at 800-HUD-2209. Please be sure to provide 
your name, address (including zip code), and telephone number 
(including area code). The application is also available on the 
Internet through the Web site at http://www.hud.gov/grants/index.cfm.
    1. Application Kits. There is no application kit for the ALCP. All 
the information you need to apply for this program is available in this 
NOFA and available on http://www.hud.gov/grants/index.cfm. (Refer to 
Section IV. A. 1. of the General Section of the SuperNOFA for further 
information.)
    2. For Technical Assistance. Before the ALCP application due date, 
HUD staff will be available to provide you with general guidance and 
technical assistance. However, HUD staff is not permitted to assist in 
preparing your application.
    B. Content and Form of Application Submission. There are ten 
required exhibits under the ALCP, including prescribed forms and 
certifications. In cases where your articles of incorporation and 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. Exhibits for which self-certification of 
currency is possible are denoted below by double asterisks (**.)
    In addition to the relief of paperwork burden, 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 FY2003 Annual Financial 
Statement. Your application must include all of the information, 
materials, forms, and exhibits listed below:
    1. Application Summary for the Assisted Living Conversion Program, 
Form HUD-92045, and Evidence that you are a private nonprofit 
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** 
and
    b. By-laws, 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 support:
    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:
    (1) The development of the application;
    (2) The development of the ALF operating philosophy;
    (3) Review of the application prior to submission to HUD; and
    (4) Your intent whether or not to involve eligible ALF residents in 
the operation of the project.
    Also, make applications and other materials available in languages 
other than English that are common in the community, if speakers of 
these languages are found in significant numbers and come into frequent 
contact with the program. For further guidance on serving persons with 
Limited English Proficiency (LEP) in HUD assisted programs, see the 
recently published HUD LEP Guidance at 68 FR 70968 or Section III of 
the General Section of the SuperNOFA.

[[Page 27668]]

    c. A description of your involvement in your community's 
Consolidated Planning and Analysis of Impediments to Fair Housing (AI) 
processes including:
    (1) An identification of the lead/facilitating agency(ies) that 
organizes and/or administers the process;
    (2) A listing of the Consolidated Plan/AI issue areas in which you 
participate; and
    (3) The level of your 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 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 how the assisted living facility will implement 
practical solutions that will result in assisting residents in 
achieving independent living and improved living environment. The 
description should include a discussion of performance goals with 
performance indicators (refer to Section V.B.1. of the General Section 
of the SuperNOFA for further detail).
    3. Evidence of your project being occupied for at least five years 
prior to the date of application to HUD. (Not applicable to applicants 
of unused or underutilized commercial property.)
    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 applicants of unused or underutilized commercial 
property.)
    (1) 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, race, 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 applicants of 
unused or underutilized commercial property.)
    (2) A description of the services currently available to the 
residents and/or provided on or off-site and what services are lacking; 
(Not applicable to applicants of unused or underutilized commercial 
property.)
    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 existing 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 IV.B.4.2.c. above.
    5. A description of the physical construction aspects of the 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 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 in the most 
integrated setting appropriate to the needs of the participating 
residents with disabilities 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 
as well as a copy of the plans of the facility as most recently 
operated, if different).
    d. A description of the conversion must clearly address how the 
units will conform to the accessibility requirements described in the 
Uniform Federal Accessibility Standards (UFAS). (For example, all door 
openings must have a minimum clear opening of 32 inches; and, all 
bathrooms and kitchens must be accessible to and functional for persons 
in wheelchairs.)
    e. Architectural sketches of the conversion to a scale of 1/4 inch 
to one foot that indicate the following:
    (1) All doors being widened;
    (2) Typical kitchen and bathroom reconfiguration: show all 
wheelchair clearances, wall reinforcing, grab bars, and elevations of 
counters and work surfaces;
    (3) Bedroom/living/dining area modification, if needed;
    (4) Any reconfigured common space;
    (5) Added/reconfigured office and storage space;
    (6) Monitoring stations, and
    (7) The kitchen and dining facility.
    All architectural modifications must meet section 504 and ADA 
requirements as appropriate.
    f. A budget showing estimated costs for materials, supplies, 
fixtures, and labor for each of the items listed in Section IV.B.5.e, 
items (1) through (7), above.
    g. Include firm financial 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 applicants of unused or 
underutilized commercial property.)
    (1) Indicates the estimated cost of temporary relocation payments 
and other related services;
    (2) Identifies the staff organization that will carry out the 
relocation activities; and
    (3) 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 
financial 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 that 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 that 
will cover the cost of any work outside the scope of this NOFA.
    7. A letter from the local zoning official indicating evidence of

[[Page 27669]]

permissive zoning. Also, showing that the modifications to include the 
ALF into the project as proposed are permissible under applicable 
zoning ordinances or regulations.
    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 III.C.2.f. above in this NOFA. For those applicants needing to 
contact state Medicaid offices, a list is provided on the Internet at 
http://www.cms.hhs.gov/medicaid. 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 (1) 
meals and such other supportive services required locally or by the 
state, and (2) 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: (1) General operating procedures; (2) ALF philosophy and how 
it will promote the autonomy and independence of the frail elderly and 
persons with disabilities; (3) what will the service coordination 
function do and the extent to which this function already exists, or 
will be augmented or new; (4) ALF staff training plans; and (5) 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 paragraph e, 
above.
    g. A support letter from EACH governmental agency that 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 or 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 SF-424, indicating the dollars requested must be attached 
as Exhibit 10(a). Do NOT attach the whole service coordinator 
application.


    9. A description of your project's resources: (Items (9)(a)-(b) are 
not applicable to applicants of unused or underutilized commercial 
property.)
    a. A copy of the most recent project Reserve and Replacement 
account statement, and a Reserve for Replacement 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 FY2004 AFS was due to 
REAC more than 120 days BEFORE the due date 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 of this application, you MUST include a paper copy of your AFS. 
For commercial properties, submit the most recent financial statement 
or annual report.
    10. Forms and Certifications. The following exhibits, forms, 
certifications, and assurances are required:
    a. Form SF-424, Application for Federal Assistance*, and compliance 
with Executive Order 12372 (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 (refer to the General Section of the SuperNOFA for instructions 
in submitting this form).
    b. SF-424 Supplement, Survey for Ensuring Equal Opportunity for 
Applicants* (optional)
    c. Form HUD-424B, Applicant Assurances and Certifications*
    d. 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.
    e. Form HUD-2991, Certification of Consistency with the 
Consolidated 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

[[Page 27670]]

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.
    f. Form HUD-2530, Previous Participation Certification. This form 
will provide HUD with a report of all your previous participation in 
HUD multifamily projects. This is in addition to the ``Name Check 
Review'' process. Refer to the General Section of the SuperNOFA for 
information on this requirement under ``Name Check Review''.
    g. Standard Form-LLL, Disclosure of Lobbying Activities*.
    h. Form HUD-96010, Program Outcome Logic Model*.
    i. Form HUD-27300, Removal of Regulatory Barriers*
    *Copies of these forms may be found in Appendix 1 of the General 
Section of the SuperNOFA.

C. Submission Date and Time

    1. Application Due Date. Your completed application (one original 
and four copies) is due to the appropriate local HUD Multifamily Hub on 
July 22, 2004. (Refer to Section IV.F. of the General Section of the 
SuperNOFA for further instructions on the delivery and receipt of 
applications.

D. Intergovernmental Review

    1. Executive Order 12372. ALCP applicants are subject to the 
Executive Order 12372 process. Standard Form 424, Application for 
Federal Assistance, includes compliance with Executive Order 12372 (a 
certification that you have submitted a copy of your application, if 
required, to the state agency (Single Point of Contact) for state 
review. (Also, refer to Section IV.D. of the General Section of the 
SuperNOFA for instructions on the intergovernmental review process.)
    2. You must submit a Supportive Services Plan (SSP) for the 
services and coordination of the supportive services that will be 
offered in the assisted living facility (ALF) to the appropriate state 
or local organization(s) which are expected to fund those supportive 
services. 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 an indication of the 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) 
that 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.

E. Funding Restrictions

    1. 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. The 
assisted living supportive services program must promote independence 
and provide personal care assistance based on individual needs in a 
home-like environment. In accordance with Section 504 of the 
Rehabilitation Act of 1973 and HUD's regulations at 24 CFR 8.4(d), the 
project must deliver services in the most integrated setting 
appropriate to the needs of qualified individuals with disabilities.
    2. 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). (Not applicable to applicants of commercial property.)
    3. Ineligible Activities. You may not use funds available through 
this NOFA to:
    a. Add additional dwelling units to the existing project (not 
applicable to applicants of commercial property);
    b. Pay the costs of any of the necessary direct supportive services 
needed to operate the ALF;
    c. Purchase or lease additional land;
    d. 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.
    e. Use the ALCP to reduce the number of accessible units in the 
project that are not part of the ALF (not applicable to applicants of 
commercial property);
    f. Permanently displace any resident out of the project (permanent 
relocation is prohibited under this program)
    g. Increase the management fee.
    h. Cover the cost of activities not directly related to the 
conversion of the units and common space. (i.e., if an applicant is 
applying to convert 24 units on 2 floors of a 5-story elderly housing 
development and the inspection by the Fire Marshal reveals that 
sprinklers must be installed in the entire building, ALCP funds will be 
used only to install sprinklers for the 24 units on the 2 floors 
requested in the application. The cost to install sprinklers in the 
remaining units must be paid for out of other resources.

F. Other Submission Requirements:

    1. Mailing and Receipt Procedures. HUD has implemented new 
procedures that impact application submission procedures. Refer to 
Section IV.F.1. of the General Section of the SuperNOFA for specific 
procedures for the mailing of applications.
    2. Proof of Timely Submission. ALCP applicants must be able to 
provide proof of timely submission of their application. (Refer to the 
General Section of the SuperNOFA for specific procedures regarding 
proof of timely submission of applications.)
    3. Addresses for submitting applications. The official place for 
receipt of your application is only in the appropriate HUD Multifamily 
Hub office. Submit an original and four copies of the ALCP application 
to the Director of the appropriate HUD Multifamily Hub office with 
jurisdiction over your development. (Refer to Appendix 1 of this NOFA 
for a list of HUD Multifamily Hub offices. For your use in determining 
the appropriate HUD Multifamily Hub office to which you must submit 
your application, HUD Program Centers are under each Hub.) Note: Do not 
use the list of addresses in the General Section for the mailing of 
ALCP applications.

V. Application Review Information

    A. Criteria. 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 IV.B. above. The maximum number of points an 
application may receive under this program is 100.
    HUD wants to make its programs more effective, efficient, and 
accessible by expanding opportunities for grassroots organizations to 
participate in developing solutions for their own neighborhood. The 
Department encourages applicants to partner, fund, or sub-contract with 
grassroots organizations, including faith-based and other community-
based organizations in

[[Page 27671]]

conducting their work programs. (Refer to the General Section of the 
SuperNOFA for the definition of ``grassroots organizations'').
1. Rating Factor 1: Capacity of the Applicant and Relevant 
Organizational Staff (20 Points)
    This factor addresses your capacity to carry out the conversion in 
a timely, cost-conscious and effective manner. It also addresses your 
experience with the supportive services 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 Sections 
IV.B.5.a. and b. and 8.a. through c. and h. 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:
    a. (9 points). The time frame planned for carrying out the physical 
conversion of the development to the ALF.
    b. (10 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 (2 points), arranging for or providing personal 
care (3 points), providing 24-hour staffing (1 point), providing or 
making available on-site preventive health care (2 points) and other 
support services (2 points).
    c. (1 point). The Department will provide 1 point to those 
applicants who currently or propose to partner, fund, or subcontract 
with grassroots organizations. HUD will consider an organization a 
``grassroots organization'' if the organization is headquartered in the 
local community and has a social services budget of $300,000 or less; 
or has six or fewer full-time equivalent employees. (Refer to the 
General Section of the SuperNOFA for further information on grassroots 
organizations.)
2. Rating Factor 2: Need/Extent of the Problem (20 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 
persons with disabilities who have limitations in three or more 
activities of daily living). The application must include evidence of 
current needs among project residents (not applicable to applicants 
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, elderly, and persons 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. Submit information responding to this factor in 
accordance with Application Submission Requirements in Section IV.B.4. 
a. through d., 2.c. and 9. a. through c. of the NOFA. In evaluating 
this factor, HUD will consider:
    a. (7 points). The need for assisted living among the elderly and 
disable 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.)
    b. (3 points (10 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 persons with 
disabilities in the housing market area.
    c. (9 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 and residual receipts. 
If the available Reserve for Replacement and residual receipts are less 
than 10 percent of the total funds needed = 9 points; if the available 
Reserve for Replacement and residual receipts are 10-50 percent of need 
= 5 points; and, if the available Reserve for Replacement and residual 
receipts are 51 percent or more of the total funds needed = 0 points). 
For commercial properties, if the available working capital is 10 
percent or more of the total conversion = 5 points; if the working 
capital is less than 10 percent of the total conversion = 9 points.
    d. (1 point). The Department will provide one point to 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.
3. Rating Factor 3: Soundness of Approach (40 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 and 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 process (not applicable to 
applications proposing to convert unused or underutilized commercial 
facilities). There must also 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 Sections IV.B.2.a. through c., 
IV.B.5.b. through e., IV.B.8.a. through e., g., and h. of this NOFA. In 
evaluating this factor, HUD will consider the following:
    a. (12 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 = 12 points; ALF design partially meets 
needs = 6 points; and ALF design does not meet needs = 0 points).
    b. (12 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 = 12 
points; ALF design/management plan partially meets needs of management 
operations = 6 points; and ALF design/management plan does not meet 
needs of management operations = 0 points.)
    c. (7 points). The extent to which the proposed supportive services 
meet the anticipated needs of the frail elderly and disabled residents 
(does meet = 7 points; partially meets needs = 4 points; and, does not 
meet needs = 0 points); and

[[Page 27672]]

    d. (7 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 = 7 points, partially 
meets = 4 points, does not meet = 0 points).
    e. (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 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;
4. Rating Factor 4: Leveraging Resources (10 Points)
    This factor addresses your ability to secure other community 
resources that 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 the 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 IV.B.5.f., g., and B.6. 
and B.8.f. of this NOFA.
    a. (5 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 percent or more commitment of the total budget 
with no more than 10 percent for meals and services = 5 points; 80-89.9 
percent with no more than 20 percent for meals and services = 4 points; 
65-79.9 percent with no more than 35 percent for meals and services = 3 
points; 40-64.9 percent with more than 60 percent for meals and 
services = 2 points; less than 40 percent commitment of the total 
budget with no more than 60 percent support for meals and services = 0 
points.
    b. (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 percent = 2 
points, and under 20 percent = 0 points).
    c. (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 (funds firmly committed = 2 points, funds not 
committed = 0 points).
5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability. This factor emphasizes HUD's 
commitment to ensure that promises you make in the application are 
kept; and to ensure performance goals with outcomes are established and 
are met (refer to Section V.B.1. of the General Section of the 
SuperNOFA for more detail). Outcomes may include the extent to which 
your project will implement practical solutions that will result in 
assisting residents in achieving independent living and an improved 
living environment, as well as the extent to which the project will be 
viable absent HUD funds but rely more on state, local, and private 
funds. Submit information responding to this factor in accordance with 
Application Submission Requirements in Section IV.B.5.a. through g., 
2.d., 8.a. through e. of this NOFA.
    a. (4 points). Describe the extent to which your conversion time 
frame reflects the length of time it will take to convert the units 
describing how residents will benefit from the conversion of the units; 
and how the converted units will result in ALF residents being able to 
age in place;
    b. (2 points). Describe the extent to which your assisted living 
facility will implement practical solutions that will result in 
assisting residents in achieving independent living and improved living 
environment.
    c. (2 points). Demonstrate how the project will be viable absent 
HUD funds while relying more on state, local, and private funds.
    d. (2 point). Describe the extent to which the ALFs operating 
philosophy promotes the autonomy and independence of the frail elderly 
persons it is intended to serve (is fully addressed = 2 points, no or 
not addressed = 0 points).

B. Reviews and Selection Process

    1. The ALCP will fund those applications that may impact federal 
problem solving and policymaking and that are relevant to HUD's policy 
priorities and annual goals and objectives. (Refer to the General 
Section of the SuperNOFA for discussion of these priorities and annual 
goals and objectives).
    2. 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 curable deficiencies. Please note, however, that HUD may not 
seek clarification of items or responses that improve the substantive 
quality of a response to any rating 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) 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 curable deficiency. You must 
submit clarifications or responses to curable deficiencies in 
accordance with the information provided by the Hub office within 14 
calendar days of the date of 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

     *Application Summary.
     *Articles of Incorporation, or certification of Articles 
of Incorporation.
     *By-laws, or certification of by-laws.
     Evidence of occupancy for at least five years (not 
applicable to commercial facilities).
     Original project plans.
     Relocation Plan (not applicable to commercial property).
     Evidence of Permissive Zoning.
    3. Certifications and Forms.
    a. Standard Form-424, Application for Federal Assistance, including 
Compliance with Executive Order 12372.

[[Page 27673]]

    b. SF-424 Supplement, Survey for Ensuring Equal Opportunity for 
Applicants (optional).
    c. Form HUD-424B, Applicant Assurances and Certifications, 
Certification to Influence Federal Transaction and Standard Form-LLL, 
Disclosure of Lobbying Activities and
    d. Form HUD-2880, Applicant/Recipient Disclosure/Update Report 
including Social Security and Employment Identification numbers.
    e. Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan), for the Jurisdiction in which the Proposed 
ALF will be located.
    f. Form HUD-2530, Previous Participation Certification.
    g. Standard Form-LLL, Disclosure of Lobbying Activities.
    h. Form HUD-96010, Program Outcome Logic Model.
    i. Form HUD-27300, Removal of Regulatory Barrier.
    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 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.
    4. Threshold Review. Only those ALCP applications that meet all 
threshold requirements will be eligible to receive an award. 
Applications that do not pass threshold will be rejected. (See Section 
III.C 2. above of this NOFA for threshold requirements).
    5. Appeal Process. Upon rejection of an ALCP application, HUD must 
send a letter to the Owner outlining all reasons for rejection. The 
Owner has 14 calendar days from the date of the letter to appeal the 
rejection. If the Owner submits an appeal, which causes the rejection 
to be overturned, the application is then rated, ranked, and submitted 
to the selection panel for consideration. If the Owner does not appeal 
or does appeal but the rejection is not overturned, the application 
remains a reject.
    6. Review Panels. The Office of Housing's Multifamily Hubs will 
establish panels to review all eligible applications that have passed 
threshold.
    7. 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 outlined 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.A. 
above 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.
    8. Ranking and Selection Procedures. (Paragraphs (5)(a)-(d) are not 
applicable to applications from owners of commercial properties.)
    Applications submitted in response to this NOFA that are eligible, 
pass threshold and have a total score of 75 points (or more) are 
eligible for ranking and selection. (Applications for the conversion of 
commercial properties with a score of at least 75 points will not be 
ranked but will be submitted to HUD Headquarters for selection.)
    a. Hub staff teams will be established for ALCP review in each Hub 
to do the application ratings.
    b. From within rank order, Hub staff teams in each of the 18 Hubs 
will select the highest ranked applications from within that Hub in 
rank order, which can be funded from within the dollars available. Each 
Hub will select applications based on rank order up to and including 
the last application that can be funded out of each Hub's allocation. 
Hubs must not skip over any applications in order to select one based 
on the funds remaining.
    c. 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 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.
    d. Funds remaining after these processes are completed will be 
returned to HUD Headquarters. HUD Headquarters will use these funds to 
restore units to any project reduced as a result of using the residual 
grant funds in a Hub. Finally, 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.
    e. Up to two 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 properties 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.C. 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, includes all technical 
corrections by the designated deadline date and must have received a 
score of 75 points or more. Headquarters will select no more than two 
applications on a first-come, first-served basis that can be funded 
within the money available.


    Note: Only applications that can be fully funded will be 
selected. Any remaining funds after this selection process will be 
returned to the funds allocated for eligible multifamily assisted 
projects.

VI. Award Administration Information

A. Award Notices

    1. The Grant Agreement, and the Form HUD-1044, signed by both the 
Recipient and Grant Officer, shall serve as the authorizing award 
documents. Unsuccessful applicants will be notified, by mail, within 30 
days of the announcement of the awards.
    2. Adjustments to Funding.
    a. HUD will not fund any portion of your application that is not 
eligible for funding under specific program statutory or regulatory 
requirements; does not meet the requirements of this notice; or may be 
duplicative of other

[[Page 27674]]

funded programs or activities. Only the eligible portion of your 
application will be funded.
    3. Applicant Debriefing. All requests for debriefing must be made 
in writing and submitted to the local Hub in which you applied for 
assistance. Materials provided to you during your debriefing will 
include the final scores you 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. 
Information regarding this procedure may be found in the General 
Section of the SuperNOFA.

B. Administrative and National Policy Requirements

    None.

C. Reporting

    1. Recipients of funding under this program NOFA shall submit a 
progress report every six months after the effective date of the Grant 
Agreement. Progress reports shall include reports on both performance 
and financial progress.

VII. Agency Contacts

    A. 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 1 of 
this NOFA.)
    You also may contact Faye Norman, Housing Project Manager at (202) 
708-3000, extension 2482 or Aretha Williams, Director, Grant Policy and 
Management Division, Room 6138 at (202) 708-3000, extension 2480 for 
questions regarding the ALF grant award process. These are not toll-
free numbers. Ms. Norman can be reached by e-mail at [email protected] and Ms. Williams at [email protected]. Both 
Ms. Norman and Ms. Williams 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 800-877-8339.
    Application. All information for the submission of your application 
is included in this NOFA and the General Section of the SuperNOFA. You 
may also obtain an ALCP application by calling the SuperNOFA 
Information Center at (voice) 800-HUD-8929 (800-483-8929). Persons with 
a hearing or speech impairment may call the Center's TTY number at 800-
HUD-2209. Please be sure to provide your name, address (including zip 
code), and telephone number (including area code). The application is 
also available on the Internet through the HUD Web site at http://www.hud.gov.grants/index.cfm.


    Note: There is a separate application for service coordinator 
funds (which is necessary for those needing to enhance or add 
service coordination per Section III.C.3. of this NOFA).

VIII. Other Information

    A. Paperwork Reduction Act. The information collection requirements 
contained in this document have been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(4 U.S.C. 3501-3520) and assigned OMB control number 2502-0542. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 2,550 hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting data for the 
application, semi-annual reports, and final report. The information 
will be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.
    B. Appendices. Appendix 1 presents the list of HUD offices. 
Appendix 2 to this NOFA provides the forms that are specific to this 
NOFA.
BILLING CODE 4210-32-P

[[Page 27675]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.374


[[Page 27676]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.375


[[Page 27677]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.376


[[Page 27678]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.377


[[Page 27679]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.378


[[Page 27680]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.379


[[Page 27681]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.380


[[Page 27682]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.381


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27683]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.382


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27685]]



Service Coordinators in Multifamily Housing Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of the Assistant Secretary for Housing-Federal 
Housing Commissioner.
    B. Funding Opportunity Title: Service Coordinators In Multifamily 
Housing.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-N-19. The OMB approval number for this program is 2502-
0447.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.191, 
Multifamily Housing Service Coordinators.
    F. Application Due Date: The application due date is July 22, 2004.
    G. Optional Additional Overview Information:
    1. Available Funds. Approximately $25 million, Fiscal Year 2004 
funds.
    2. Purpose of the program: The Service Coordinator program allows 
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.
    3. Eligible Applicants: Only owners of eligible multifamily 
assisted developments may apply for and become the recipient of grant 
funds.

Full Text of Announcement

I. Funding Opportunity Description

    A. The Service Coordinator Program. The Service Coordinator Program 
provides funding for the employment and support of Service Coordinators 
in insured and assisted housing developments that were 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 
Service 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 their current homes. 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.

B. 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).

C. Definition of Terms Used in this Program NOFA

    1. ``Activities of daily living (ADLs)'' means eating, dressing, 
bathing, grooming, and household management activities, as further 
described below:
    a. Eating--May need assistance with cooking, preparing, or serving 
food, but must be able to feed self;
    b. Bathing--May need assistance in getting in and out of the shower 
or tub, but must be able to wash self;
    c. Grooming--May need assistance in washing hair, but must be able 
to take care of personal appearance;
    d. Dressing--Must be able to dress self, but may need occasional 
assistance; and
    e. Home management activities--May need assistance in doing 
housework, grocery shopping, laundry, or getting to and from activities 
such as going to the doctor and shopping, but must be mobile. The 
mobility requirement does not exclude persons in wheelchairs or those 
requiring mobility devices.
    2. ``At-risk elderly person'' is an individual 62 years of age or 
older who is unable to perform one or two ADLs, as defined in the above 
paragraph.
    3. ``Frail elderly person'' means an individual 62 years of age or 
older who is unable to perform at least three ADLs as defined in the 
above paragraph.
    4. ``People with disabilities'' means those individuals who:
    a. Have a disability as defined in Section 223 of the Social 
Security Act;
    b. Have a physical, mental, or emotional impairment expected to be 
of long, continued, and indefinite duration that impedes the 
individual's ability to live independently; or
    c. Have a developmental disability.
    5. ``Reasonable costs'' mean that costs are consistent with 
salaries and administrative costs of similar programs in your Field 
office's jurisdiction.
    D. Functions of a Service Coordinator. The major functions of the 
Service Coordinator include the following:
    1. Refer and link the residents of the development to supportive 
services provided by the general community. Such services may include 
case management, personal assistance, homemaker, meals-on-wheels, 
transportation, counseling, occasional visiting nurse, preventive 
health screening/wellness, and legal advocacy.
    2. Educate residents on service availability, application 
procedures, client rights, etc.
    3. Establish linkages with agencies and service providers in the 
community. Shop around to determine/develop the best ``deals'' in 
service pricing, to assure individualized, flexible, and creative 
services for the involved resident. Provide advocacy as appropriate.
    4. Provide case management when such service is not available 
through the general community. This might include evaluation of health, 
psychological and social needs, development of an individually tailored 
case plan for services, and periodic reassessment of the resident's 
situation and needs. Service Coordinators can also set up a 
Professional Assessment Committee (PAC) to assist in performing initial 
resident assessments. (See the guidance in the Congregate Housing 
Services Program (CHSP) regulations at 24 CFR 700.135 (or 1944.258 for 
Rural Housing developments).
    5. Monitor the ongoing provision of services from community 
agencies and keep the case management and provider agency current with 
the progress of the individual. Manage the provision of supportive 
services where appropriate.
    6. Help the residents build informal support networks with other 
residents, family and friends.
    7. Work and consult with tenant organizations and resident 
management corporations. Provide training to the development's 
residents in the obligations of tenancy or coordinate such training.
    8. Create a directory of providers for use by both development 
staff and residents.
    9. Educate other staff of the management team on issues related to 
aging in place and Service Coordination, to help them to better work 
with and assist the residents.

[[Page 27686]]

E. Basic Qualifications of Service Coordinators and Aides

    1. Service Coordinator qualifications include the following:
    a. A Bachelor of Social Work or degree in Gerontology, Psychology 
or Counseling is preferable; a college degree is fully acceptable. You 
may also consider individuals who do not have a college degree, but who 
have appropriate work experience.
    b. Knowledge of the aging process, elder services, disability 
services, eligibility for and procedures of federal and applicable 
state entitlement programs, legal liability issues relating to 
providing Service Coordination, drug and alcohol use and abuse by the 
elderly, and mental health issues.
    c. Two to three years experience in social service delivery with 
senior citizens and people with disabilities. Some supervisory or 
management experience may be desirable if the Service Coordinator will 
work with aides.
    d. Demonstrated working knowledge of supportive services and other 
resources for senior citizens and non-elderly people with disabilities 
available in the local area.
    e. Demonstrated ability to advocate, organize, problem-solve, and 
provide results for the elderly and people with disabilities.
    2. Aides working with a Service Coordinator should either have a 
college degree or appropriate experience in working with the elderly 
and/or people with disabilities. An example of an aide position could 
be an internship or work-study program with local colleges and 
universities to assist in carrying out some of the Service 
Coordinator's functions.

II. Award Information

    A. Available Funding. The Consolidated Appropriations Act, 2004 
(Pub. L. 108-199, approved January 23, 2004) provides $29,823,000, 
which reflects a .59 percent across-the-board rescission, to fund 
Service Coordinators and the continuation of existing Congregate 
Housing Services Program (CHSP) grants. Of this amount, approximately 
$25 million will be used to fund new Service Coordinator programs. The 
remaining amount, plus carryover funds, will be used to fund one-year 
extensions to expiring Service Coordinator and CHSP grants.
    B. Maximum Grant Award. There is no maximum grant amount. The grant 
amount you request will be based on the Service Coordinator's salary 
and the number of hours worked each week by that Service Coordinator 
(and/or aide). You should base your determination of the appropriate 
number of weekly work hours on the number of people in the development 
who are frail, at-risk, or non-elderly people with disabilities. Under 
normal circumstances, a full-time Service Coordinator should be able to 
serve about 50-60 frail or at-risk elderly or non-elderly people with 
disabilities on a continuing basis. Your proposed salary must also be 
supported by evidence of comparable salaries in your area. Gather data 
from programs near you to compare your estimates with the salaries and 
administrative costs of currently operating programs. HUD Field staff 
can provide you with contacts at local program sites. HUD provides 
funding in the form of three-year grants. HUD may renew grants subject 
to the availability of funds and acceptable program performance.

III. Eligibility Information

    A. Eligible Applicants
    1. You must meet all of the applicable eligibility requirements of 
Section III.C of the General Section of the SuperNOFA.
    2. You must be an owner of a development assisted under one of the 
following programs:
    a. Section 202 Direct Loan;
    b. Project-based Section 8 (including Section 8 Moderate 
Rehabilitation), or
    c. Section 221(d)(3) below-market interest rate, and 236 
developments that are insured or assisted.
    3. You must be approved to conduct new business with the 
Department, based on HUD's evaluation of the applicant's previous 
participation activities as reported on the ``Previous Participation 
Certification'', form HUD-2530.
    4. Additionally, developments listed in paragraph III.A.2, above, 
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. (For example, in a 52-unit development, at 
least 13 residents must be frail, at-risk, or non-elderly people with 
disabilities.)
    b. Were 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 (Pub. L.102-550). 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. If FHA insured or financed by a Section 202 Direct Loan, are 
current in mortgage payments or are current under a workout agreement.
    d. 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 
on the last physical inspection or by an approved plan for developments 
scoring less than 60.
    e. Are in compliance with their regulatory agreement, Housing 
Assistance Payment (HAP) Contract, and any other outstanding HUD grant 
or contract document.
    f. Have no available project funds (i.e., Section 8 operating 
funds, residual receipts, or excess income) that could pay for a 
Service Coordinator program. (``Available funds'' are those that 
require HUD approval for their use and are not needed to meet critical 
project needs.) Field office staff will make this determination based 
on financial records maintained by the Department and information 
provided by the applicant in the grant application.
    5. 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 
HAP contract), HUD has the right to terminate your grant.
    6. Ineligible Applicants and Developments.
    a. 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.
    b. Developments not designed for the elderly, people with 
disabilities, or those no longer operating as such;
    c. Section 221(d)(4) and Section 515 developments without project-
based Section 8 assistance;
    d. Section 202 and 811 developments with a Project Rental 
Assistance Contract (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;

[[Page 27687]]

    e. Conventional public housing, as such term is defined in section 
3(b) of the United States Housing Act of 1937), and Units assisted by 
project-based Housing Choice Vouchers, as set forth in 24 CFR Part 983.
    f. Renewals of existing Section 8 Service Coordinator subsidy 
awards or grants. HUD currently provides one-year extensions to these 
subsidy awards and grants through a separate funding action.

B. Cost Sharing or Matching Requirement.

    None required.

C. Other

    1. Eligible Activities.
    a. Service Coordinator Program grant funds may be used to pay for 
the salary, fringe benefits, and related support costs of employing a 
service coordinator. Support costs may include quality assurance, 
training, travel, purchase of office furniture, equipment, and 
supplies, computer hardware, software, and Internet service, and 
indirect administrative costs.
    b. You may use grant funds to pay for Quality Assurance (QA) in an 
amount that does not exceed ten percent of the Service Coordinator's 
salary. Eligible QA activities are those that evaluate your program, to 
assure that the position and program are effectively implemented. A 
qualified, objective third party must perform the program evaluation 
work and must have work experience and education in social or health 
care services. Your QA activities must identify short and long term 
program outcomes and performance indicators that will help you measure 
your performance. On-site housing management staff cannot perform QA 
and you may not augment current salaries of in-house staff for this 
purpose.
    c. 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.
    d. 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. Likewise, ALCP applicants may apply for new 
or augmented Service Coordinator costs to serve Assisted Living 
residents and/or all residents of the development.
    e. 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 and grants provided by the Department through program Notices 
beginning in FY1992. HUD currently provides one-year extensions to 
these subsidy awards and grants through a separate funding action.
    f. You may provide service coordination to low-income elderly 
individuals or people with disabilities living in the vicinity of an 
eligible development. Community residents should come to your housing 
development to meet with and receive service from the Service 
Coordinator, but you must make reasonable accommodations for those 
individuals unable to travel to the housing site.
    2. Threshold Requirements.
    a. At the time of submission, grant applications must contain the 
materials in Section IV.B.2.a and d of this Program NOFA in order to be 
considered for funding. If any of these items is missing, HUD will 
immediately reject your application.
    b. In cases where field office staff request information in 
response to technical deficiencies in applications, applicants must 
submit the response by the designated deadline date. If requested 
responses are not received by this date, HUD will reject the 
application.
    c. DUN and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Refer to the General Section of the SuperNOFA for 
information regarding the DUNS requirement. You will need to obtain a 
DUNS number to receive an award from HUD.
    3. Program Requirements. In managing your Service Coordinator 
grant, you must meet the requirements of this Section. These 
requirements apply to all activities, programs, and functions used to 
plan, budget, and evaluate the work funded under your program
    a. You must make sufficient separate and private office space 
available for the Service Coordinator and/or aides to meet with 
residents, without adversely affecting normal activities.
    b. The Service Coordinator must maintain resident files in a 
secured location. Files must be accessible ONLY to the Service 
Coordinator, unless residents provide signed consent otherwise. These 
policies must be consistent with maintaining confidentiality of 
information related to any individual per the Privacy Act of 1974.
    c. Grantees must ensure that the Service Coordinator receives 
appropriate supervision, training, and ongoing continuing education, 
consistent with statutory and HUD administrative policies. This 
includes 36 hours of training in age-related and disability issues 
during the first year of employment, if the Service Coordinator has not 
received recent training in these areas, and 12 hours of continuing 
education each year thereafter.
    d. Grantees are responsible for any budget shortfalls during the 
three-year grant term.
    e. As a condition of receiving a grant, Section 202 developments 
without a dedicated residual receipts account must amend their 
regulatory agreement and open such an account, separate from their 
Reserve for Replacement account.
    f. Subgrants and Subcontracts. You may directly hire a Service 
Coordinator or you may contract with a qualified third party to provide 
this service.
    g. Environmental Requirements. It is anticipated that most 
activities under this program are categorically excluded from the 
National Environmental Policy Act (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 
exempt from environmental review requirements--such as acquisition, 
leasing, construction, or building rehabilitation, HUD must perform an 
environmental review to the extent required by 24 CFR part 50, prior to 
grant award.
    4. Submission Information.
    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 at 
separate developments. The developments 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.

[[Page 27688]]

    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 
that joined together to hire and share a part or full-time Service 
Coordinator.
    c. Application Submission Requirements for ALCP Applicants.
    (1) If you are an ALCP applicant and you request new or additional 
Service Coordinator funds specifically for your proposed Assisted 
Living Program, you must submit an application containing all required 
documents listed in Section IV.B of this Program NOFA. You may provide 
a copy of all standard forms in your Service Coordinator application.
    (2) Be sure to indicate the amount of grant funds you are 
requesting for both programs on your SF-424 forms. HUD field office 
staff will review both applications simultaneously.
    (3) 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 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. If you request Service 
Coordinator funding to serve all residents of your development, 
indicate whether or not your request should be entered into the 
national lottery if your ALCP application is not selected to receive an 
award. Provide this information in your related narrative, pursuant to 
paragraph IV.B.2.d(6) of this NOFA.

IV. Application and Submission Information

    A. Addresses to Request Application Package. Application Kits. 
Please note that all information needed for the preparation and 
submission of your application is included in this program NOFA and in 
the General Section of the SuperNOFA. HUD will not provide a separate 
application kit.
    SuperNOFA, Guidebook, and Further Information. You may request 
general information, copies of the General Section and Program Sections 
of the SuperNOFA, and the SuperNOFA Guidebook from the NOFA Information 
Center (800-HUD-8929 or 800-HUD-2209 (TTY)) between the hours of 9 a.m. 
and 8 p.m. (eastern time) Monday through Friday, except on federal 
holidays. When requesting an application, please refer to the 
Multifamily Housing Service Coordinator Program and provide your name, 
address (including zip code) and telephone number (including area 
code). To ensure sufficient time to prepare your application, you may 
request copies of this Program section of the SuperNOFA immediately 
following publication. The NOFA Information Center opens for business 
simultaneously with the publication of the SuperNOFA. You can also 
obtain information on this Program section of the SuperNOFA from http://www.grants.gov.
    B. Content and Form of Application Submission. Your application 
must contain the items listed in paragraphs 1 and 2, following. 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 and other required forms can be found following the 
General Section of the SuperNOFA. The items are as follows:
    1. Standard Forms.
    a. Application for Federal Assistance (SF-424)
    b. SF-424 Supplement `` Survey on Ensuring Equal Opportunity for 
Applicants.
    c. Applicant Assurances and Certifications (HUD-424B)
    d. If engaged in lobbying, the Disclosure Form Regarding Lobbying 
(SF-LLL)
    e. Applicant/Recipient Disclosure/Update Report Form (HUD-2880)
    f. Acknowledgment of Application Receipt (HUD-2993)
    g. Client Comments and Suggestions (HUD-2994), optional
    2. Other Application Items. All applications for funding under the 
Service Coordinator Program must contain the following documents and 
information:
    a. Service Coordinator First-Time Funding Request, form HUD-91186.
    b. Previous Participation Certification, form HUD-2530.
    c. If more than one owner is proposing to share a Service 
Coordinator, one agency must designate itself the ``lead''. This lead 
agency must submit a letter along with the completed application 
materials from each owner. The letter must be on organization 
letterhead and contain the number of developments, their names and 
addresses, and the dollar amount requested for each site. The legal 
signatory for the owner corporation must sign the letter, indicating 
agreement to administer grant funds for the housing developments listed 
in the letter.
    d. Evidence of comparable salaries in your local area.
    e. Narrative Statements Describing Your Program.
    (1) Explain your method of estimating how many residents of your 
development are frail or at-risk elderly or non-elderly people with 
disabilities. Please document that individuals meeting these criteria 
make up at least 25 percent of your resident population. (Do not 
include elderly individuals or people with disabilities who do not live 
in the eligible developments included in your application.)
    (2) Explain how you will provide on-site private office space for 
the Service Coordinator, to allow for confidential meetings with 
residents. If construction is planned, also include a plan and a cost-
estimate.
    (3) Your quality assurance program evaluation activities and 
itemized list of estimated expenses for this activity if included in 
your request for funding. Indicate the type of professional or entity 
that will perform the work if known at this time or the criteria you 
will use to select the provider.
    (4) If you wish to augment an existing program, describe your 
program's needs and explain how the additional staff hours requested 
will help meet these needs. .
    (5) A description of your plan to address community resident needs, 
if applicable to your program.
    (6) If you are applying for an Assisted Living Conversion Program 
(ALCP) grant in conjunction with your Service Coordinator application, 
describe how the new or additional Service Coordinator hours will 
support your proposed assisted living program (by following the 
instruction provided in the ALCP NOFA), and indicate if you want your 
Service Coordinator application entered into the lottery if your ALCP 
application is not selected to receive an award.
    f. Evidence that no project funds are available to fund a Service 
Coordinator program. You must include a copy of your development's most 
recent bank statement, showing the project's current residual receipts 
or excess income balance (if any). It is incumbent upon the applicant 
to demonstrate that no such project funds are available.
    g. If applicable, evidence that prior funding sources for your 
development's Service Coordinator program are no longer available or 
will expire within

[[Page 27689]]

six months following the application deadline date.
    h. If an agent is preparing the application for an owner, an 
authorizing letter from the owner.
    C. Submission Dates and Times. Your application will be considered 
timely filed if it is received by the designated HUD field office or 
postmarked on or before July 22, 2004. Applicants must follow the 
timely submission requirements in the General Section.
    D. Intergovernmental Review: Intergovernmental review is not 
applicable to this program.
    E. Funding Restrictions.
    1. Alternative Funding for Service Coordinators. If your 
development has available Section 8 operating funds, residual receipts, 
or excess income, not needed for critical project expenses, you must 
use these project funds prior to receiving grant monies. Owners may 
submit requests to use Section 8 operating funds, residual receipts, or 
excess income pursuant to instructions in Housing's Management Agent 
Handbook 4381.5, REVISION-2, CHANGE-2, Chapter 8 and Housing Notice H 
02-14. HUD field staff may approve use of these project funds at any 
time, consistent with current policy. You should discuss these 
alternative funding options with your field office staff prior to 
submitting a grant application.
    2. Ineligible Activities and Program Costs.
    a. 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.
    b. Owners with existing service coordinator subsidy awards or 
grants may not apply for renewal or extension of those programs under 
this NOFA. HUD will provide extension funds through a separate funding 
process.
    c. You cannot hire an additional part or full-time Service 
Coordinator for the sole purpose of serving community residents.
    d. Grant recipients may not use grant funds to pay for supervision 
performed by property management staff; (Management fees already pay 
for such supervision).
    e. Cost overruns associated with creating private office space and 
usual audit and legal fees are not eligible uses of grant funds.
    f. The cost of application preparation is not eligible for 
reimbursement.
    g. Grant funds cannot be used to increase a project's management 
fee.
    h. Grant funds may not cover the cost of Service Coordinator-
related training courses for members of a development's management 
staff who do not directly provide Service Coordination. Owners must use 
their management fees to pay this expense.
    i. Owners/managers cannot use Reserve for Replacement funds to pay 
costs associated with a Service Coordinator program.
    j. Congregate Housing Services Program 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.
    k. Grantees cannot use grant funds to pay PAC members for their 
services.
    l. The grant amount allowed for QA may not exceed ten percent of 
the Service Coordinator's salary.
    3. Prohibited Service Coordinator Functions. During work hours paid 
for by this grant, Service Coordinators may not perform the following 
activities:
    a. Act as a recreational or activities director;
    b. Provide supportive services directly;
    c. Act as a Neighborhood Networks program director or coordinator;
    d. Perform property management work, regardless of the funding 
source used to pay for these activities.
    F. Other Submission Requirements:
    1. Application Copies. You must submit an original and two copies 
of your application.
    2. Application Delivery. You must submit your application to the 
field office that has jurisdiction over the housing developments 
included in your application. Also see the General Section of the 
SuperNOFA for more application delivery information including delivery 
times and timely submission requirements.
    3. Use the field office list provided in the appendix to this NOFA 
to address your applications and to contact your local HUD field office 
staff. Use this list rather than the field office list provided in the 
General Section of the SuperNOFA.

V. Application Review Information

A. Criteria

    1. HUD will not award Service Coordinator Program grant funds 
through a rating and ranking process. Instead, the Department will hold 
one national lottery for all eligible applications forwarded from 
Multifamily Hub and Multifamily Program Centers.
    2. 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 received by 
the designated deadline date.

B. Review and Selection Process

    1. Funding Priorities.
    a. Prior to the lottery, HUD will fund Service Coordinator 
applications submitted by FY2004 ALCP applicants, whose ALCP 
applications are selected for funding under that program's NOFA. HUD 
estimates that approximately $1 million will be used to fund ALCP 
Service Coordinator applications. Any funds not used by the ALCP 
program to fund service coordinators will be added to the funds 
available for the National Lottery.
    b. After setting aside funds for ALCP applicants, and prior to the 
lottery, HUD will next fund all applications submitted by owners who 
are applying for grant funds to continue a currently operating program 
previously funded by project funds. As stated in paragraph III.A.4.f of 
this NOFA, such applications are eligible only if project funds are no 
longer available to continue the program.
    2. Selection Process.
    a. HUD will use remaining funds to make grant awards through the 
use of a national lottery. A computer program performs the lottery by 
randomly selecting eligible applications. b. HUD will fully fund as 
many applications as possible with the given amount of funds available. 
After all fully fundable applications have been selected by lottery, 
HUD may make an offer to partially fund the next application on the 
lottery's list, in order to use the entire amount of funds allocated. 
If the applicant selected for partial funding turns down the offer, HUD 
will make an offer to partially fund the next application on the 
lottery list. HUD will continue this process until an applicant accepts 
the partial funding offer.
    3. Reduction in Requested Grant Amount. HUD may make an award in an 
amount less than requested, if:
    a. HUD determines that some elements of your proposed program are 
ineligible for funding;
    b. There are insufficient funds available to make an offer to fully 
fund the application;
    c. HUD determines that reduced grant amount would prevent 
duplicative federal funding.

[[Page 27690]]

    4. Corrections to Deficient Applications. Section V.B.4 of the 
General Section of the SuperNOFA provides the procedures for 
corrections to deficient applications.

VI. Award Administration Information

A. Award Notices

    HUD field staff will send, by postal or overnight mail, selection 
letters and grant agreements to the award recipient organization. The 
grant agreement is the obligating document and funds are obligated once 
the HUD grant officer signs the agreement. Field staff will send non-
selection letters during this same period of time. If your application 
is rejected, field staff may notify you by letter any time during the 
application review process.

B. Administrative and National Policy Requirements

C. Reporting

    1. All award recipients must submit the following reports on a 
yearly basis:
    a. Two Semi-Annual Financial Status Reports (SF-269-A), for each 
half-year period of the federal fiscal year;
    b. Two Semi-Annual Service Coordinator Performance Reports, (HUD-
92456), for each half-year period of the federal fiscal year. The 
objectives of the Service Coordinator program are to enhance a 
resident's quality of life and ability to live independently and age in 
place. The data that HUD collects on the performance report measures 
the grantee's success in meeting these intended program outcomes. The 
data reported include the numbers of residents served, their ages, 
frailty levels, and the range of services provided to them. In 
addition, the performance report assesses the Service Coordinator's 
efficiency in providing coordination, by reporting the number of hours 
worked, the amount of time spent doing administrative tasks, the types 
of professional training attended, and examples of problems encountered 
throughout the course of their work.
    c. Periodic reimbursement requests (i.e., Payment Voucher, form 
HUD-50080-SCMF), providing program expenses for the associated time 
period, and submitted in accordance with the due dates stated in the 
grant agreement. Grantees must request grant payments directly 
following the end of each agreed-upon time period and the funds must 
reimburse those program costs already incurred.
    2. If your grant includes Quality Assurance activities, you must 
submit a copy of at least one annual QA Report. Your report is due on 
October 30 of each year, along with the semi-annual financial and 
performance reports.

VII. Agency Contacts

    You may contact your local HUD field office staff for questions you 
have regarding this program section of the SuperNOFA and your 
application. 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 HUD field office that monitors your Section 8 contract. If you have 
a question that the field staff is unable to answer, please call 
Carissa Janis, Housing Project Manager; Office of Housing Assistance 
and Grants Administration; U. S. Department of Housing and Urban 
Development; 451 Seventh Street, SW., Room 6146; Washington, DC 20410; 
(202) 708-3000, extension 2487 (this is not a toll-free number). If you 
are hearing- or speech-impaired, you may access this number via TTY by 
calling the Federal Information Relay Service at 800-877-8339.

VIII. Other Information

    A. Satellite Broadcast. HUD will hold an information program for 
potential applicants via satellite broadcast to learn more about the 
program and preparation of the application. For more information about 
the date and time of the broadcast, you should contact your local field 
office staff or consult the HUD Web site at http://www.hud.gov.
    B. Paperwork Reduction Act. The information collection requirements 
contained in this document has been approved by the Office of 
Management and Budget (OMB) under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501-3520) and assigned OMB control number 2502-0447. In 
accordance with the Paperwork Reduction Act, HUD may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless the collection displays a currently valid OMB 
control number. Public reporting burden for the collection of 
information is estimated to average 50.25 hours per annum per 
respondent for the application and grant administration. This includes 
the time for collecting, reviewing, and reporting the data for the 
application, semi-annual reports and final report. The information will 
be used for grantee selection and monitoring the administration of 
funds. Response to this request for information is required in order to 
receive the benefits to be derived.
    C. Appendices. Appendix A to this NOFA presents the list of HUD 
offices. Appendix B to this NOFA provides the forms that are specific 
to this NOFA.

Appendix

Local HUD Offices

    Notes: 1. Your application must be sent to the appropriate local 
HUD Office having jurisdiction over the locality in which your 
project is located. If you send your application to the wrong local 
HUD Office, it will be rejected. Therefore, if you are uncertain as 
to which local HUD Office to submit your application, you are 
encouraged to contact the local HUD Office below that is closest to 
your project's location to ascertain the Office's jurisdiction and 
ensure that you submit your application to the correct local HUD 
Office.
    2. If your project is located within the jurisdiction of the 
Boston, Massachusetts Office, your application must be submitted to 
the Manchester, New Hampshire Office.

BILLING CODE 4210-32-P

[[Page 27691]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.383


[[Page 27692]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.384


[[Page 27693]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.385


[[Page 27694]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.386


[[Page 27695]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.387


[[Page 27696]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.388


[[Page 27697]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.389


[[Page 27698]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.390


[[Page 27699]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.391


[[Page 27700]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.392


[[Page 27701]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.393


[[Page 27702]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.394


[[Page 27703]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.395


[[Page 27704]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.396


[[Page 27705]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.397


[[Page 27706]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.398


[[Page 27707]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.399


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27709]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.400


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27711]]



Funding Availability for the Section 202 Supportive Housing for the 
Elderly Program (Section 202 Program)

Overview Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Housing.
    B. Funding Opportunity Title: Section 202 Supportive Housing for 
the Elderly.
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: OMB Approval Number: 2502-0267. The 
Federal Register number for this NOFA is: FR-4900-N-27.
    E. Catalog of Federal Domestic Assistance (CFDA) Number(s): 14.157, 
Section 202 Supportive Housing for the Elderly.
    F. Dates: Application Deadline Date: July 7, 2004. Refer to Section 
IV below and the General Section for information on application 
submission requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of the Program. This program provides funding for the 
development and operation of supportive housing for very low-income 
persons 62 years of age or older.
    2. Available Funds. Approximately $495.2 million in capital advance 
funds, plus associated project rental assistance contract (PRAC) funds 
and any carryover funds available.
    3. Types of Funds. Capital advance funds will cover the cost of 
developing the housing. PRAC funds will cover the difference between 
the HUD-approved operating costs of the project and the tenants' 
contributions toward rent (30 percent of their adjusted monthly 
income).
    4. Eligible Applicants. Private nonprofit organizations and 
nonprofit consumer cooperatives. (See Section VI.B.6. of this program 
NOFA for further details and information regarding the formation of the 
Owner corporation).
    5. Eligible Activities. New construction, rehabilitation, or 
acquisition (with or without rehabilitation) of housing. (See Section 
III.C.1. below of this program NOFA for further information.
    6. Match Requirements. None required.
    7. Local HUD Offices. The local HUD Office structure, for the 
purpose of implementing the Section 202 program, consists of 18 
Multifamily Hub Offices. Within the Multifamily Hubs, there are 
Multifamily Program Centers with the exception of the New York Hub, the 
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future 
references shall use the term ``local HUD Office'' unless a more 
detailed description is necessary as in Limitations on Applications and 
Ranking and Selection Procedures, below.

Full Text of Announcement

I. Funding Opportunity Description

    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 (FDIC)). Capital advance funds bear no interest and are 
based on development cost limits in Section IV.E.3. below. 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 the tenants' contributions toward rent (30 
percent of adjusted income) and the HUD-approved cost to operate the 
project. PRAC funds may also be used to provide supportive services and 
to hire a service coordinator in those projects serving frail elderly 
residents. The supportive services must be appropriate to the category 
or categories of frail elderly residents to be served (see Section G.3. 
above).
    B. 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), as amended by 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); the American Homeownership and Economic 
Opportunity Act of 2000 (Pub. L. 106-569; approved December 27, 2000); 
and the Consolidated Appropriations Act, 2004 (Pub. L. 108-199, 
approved January 23, 2004).
    C. Calculation of Fund Reservation. If selected, you will receive a 
fund reservation that will consist of both a reservation of capital 
advance funds and a reservation of contract authority (one year) and 
budget authority (five years) for project rental assistance.
    1. Capital Advance Funds. The reservation of capital advance funds 
is based on a formula which takes the development cost limit for the 
appropriate building type (elevator, non-elevator) and unit size(s) and 
multiplies it by the number of units of each size (including a unit for 
a resident manager, if applicable) and then multiplies the result by 
the high cost factor for the area. The development cost limits can be 
found in Section IV.E.3. of this program section of the SuperNOFA.
    2. PRAC Funds. The PRAC contract authority is determined by 
multiplying the number of revenue units for elderly persons by the 
appropriate operating cost standard and then multiplying the result by 
12 (months). The PRAC budget authority is determined by multiplying the 
PRAC contract authority by 5 (years). The operating cost standards will 
be published by Notice.

II. Award Information

    A. Available Funds. For FY2004, approximately $495.2 million is 
available for capital advances for the Section 202 Supportive Housing 
for the Elderly Program. The Consolidated Appropriations Act, 2004 
(Pub. L. 108-199, approved January 23, 2004) provides $ 699,171,000 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 (12 U.S.C. 1701q), as amended by section 801 of 
the Cranston-Gonzalez National Affordable Housing Act (Pub. L. 101-625, 
approved November 28, 1990), for project rental assistance, amendments 
to contracts for project rental assistance, and renewal of expiring 
contracts for such assistance for up to a one-year term, for supportive 
housing for the elderly under section 202(c)(2) of the Housing Act of 
1959 as well as the amount of $467,000 to be transferred to the Working 
Capital Fund all of which reflect a .59 percent across-the-board 
rescission pursuant to Public Law 108-199.
    Additionally, the FY2004 Consolidated Appropriations Act provide 
$20,000,000 for a Section 202 Demonstration Planning Grant Program for 
predevelopment grants to private nonprofit organizations and consumer 
cooperatives in connection with the development of housing under the 
Section 202 program. The announcement of the availability of these 
funds will be addressed in a separate NOFA.
    In accordance with the waiver authority provided in the FY2004 
Consolidated 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

[[Page 27712]]

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 FY2004 formula consists of one data element from 
the 2000 Census: number of one-person elderly renter households 
(householder age 62 and older) with incomes at or below the applicable 
Section 8 very low-income limit, and with housing conditions. Housing 
conditions are defined, as paying more than 30 percent of income for 
gross rent, or occupying a unit lacking some or all kitchen or plumbing 
facilities, or occupying an overcrowded unit (1.01 persons per room or 
more).
    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 local 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 
local 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 local HUD Office jurisdictions reflect the definitions of 
metropolitan and nonmetropolitan areas as of the 2000 Census, as 
defined by the Office of Management and Budget at that time.

    A fair share factor is developed for each metropolitan and 
nonmetropolitan portion of each local HUD Office jurisdiction by 
dividing the number of elderly renter households in the respective 
metropolitan and nonmetropolitan portion of the jurisdiction by the 
total number of elderly rental households in the metropolitan and 
nonmetropolitan portions of 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 local 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:
BILLING CODE 4210-32-P

[[Page 27713]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.401


[[Page 27714]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.402


[[Page 27715]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.403

BILLING CODE 4210-32-C

[[Page 27716]]

    B. Type of Award. Capital Advance and Project Rental Assistance 
Contract Funds for new Section 202 applications.
    C. Type of Assistance Instrument. The Agreement Letter stipulates 
the terms and conditions for the Section 202 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    D. Anticipated Start and Completion Date. Immediately upon your 
acceptance of the Agreement Letter, you are expected to begin work 
toward the submission of a Firm Commitment Application, which is the 
next application submission stage. You are required to submit a Firm 
Commitment Application to the local HUD office within 180 days from the 
date of the Agreement Letter. Initial closing of the capital advance 
and start of construction of the project are expected to be 
accomplished within the duration of the fund reservation award period 
as indicated in the above paragraph regarding the Type of Assistance 
Instrument. Final closing of this capital advance is expected to occur 
no later than six months after completion of project construction.

III. Eligibility Information

    A. Eligible Applicants. Private nonprofit organizations and 
nonprofit consumer cooperatives who meet the threshold requirements 
contained in the General Section of the SuperNOFA and Section III.C. 2. 
below 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.
    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 project pursuant to the statutory provision under Title 
VIII of the American Homeownership and Economic Opportunity Act of 
2000, a for-profit limited partnership with a nonprofit entity as the 
sole general partner.
    See Section IV.E.2. below regarding limits on the total number of 
units and projects for which you may apply for funding.
    B. Cost Sharing or Matching. No cost sharing or match is required; 
however, you are required to make a commitment to cover the estimated 
start-up expenses, the minimum capital investment of one-half of one 
percent of the HUD-approved capital advance, not to exceed $10,000 or 
for a national Sponsor not to exceed $25,000, and any funds required in 
excess of the capital advance, including the estimated cost of any 
amenities or features (and operating costs related thereto) which are 
not covered by the capital advance. You make such a commitment by 
signing the Sponsor's Resolution for Commitment to Project in Exhibit 
8(h) of the application found in Section IV.B. below.
    C. Other:
    1. Eligible Activities. Section 202 capital advance funds must be 
used to finance the development of housing through new construction, 
rehabilitation, or acquisition with or without rehabilitation. Capital 
advance funds may also be used in combination with other non-Section 
202 funding sources leveraged by a for-profit limited partnership (of 
which a single-purpose private nonprofit organization is the sole 
general partner) to develop a mixed-finance project, including a mixed-
finance project for additional units over and above the Section 202 
units. The development of a mixed-use project in which the Section 202 
units are mortgaged separately from the other uses of the structure is 
not considered a mixed-finance 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.

    Note:
    For purposes of approving Section 202 capital advances, HUD will 
consider proposals involving mixed-financing for additional units 
over and above the Section 202 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.

    A portion of the PRAC funds (not to exceed $15 per unit/per month) 
may be used to cover some of the cost of any supportive services for 
those frail elderly or those elderly determined to be at-risk of being 
institutionalized. The balance of the cost for services must be paid 
for from sources other than the capital advance or PRAC funds. Also, 
the cost of employing a service coordinator for those projects serving 
principally the frail elderly (when at least 25 percent of the 
residents will be frail or determined to be at-risk of being 
institutionalized) is an eligible use of PRAC funds. Section 202 
projects receiving Congregate Housing Services assistance under Section 
802 of the National Affordable Housing Act are not eligible to use 
capital advance or PRAC funds for supportive services or the cost of a 
service coordinator.
    2. Threshold Requirements for Funding Consideration. In addition to 
the threshold criteria outlined in the General Section of the SuperNOFA 
(such as the inclusion of a DUN and Bradstreet Data Universal Numbering 
System (DUNS) Number on the SF-424), the following threshold 
requirements must be met:
    a. Non-Responsive Application. Your application will be considered 
non-responsive to the NOFA and will not be accepted for processing if 
you:
    (1) Submit less than the required number of copies (an original and 
four copies are required);
    (2) Request more units than were allocated in either the 
metropolitan or nonmetropolitan allocation category to the local HUD 
Office to which you submitted your application or 125 units, whichever 
is less (see the allocation chart in Section II.A. above); or
    (3) Request less than the minimum number of 5 units per site.
    b. Other Criteria. (1) You, or a Co-Sponsor, must have experience 
in providing housing or services to elderly persons.
    (2) You and any Co-Sponsor must be eligible private nonprofit 
organizations or nonprofit consumer cooperatives with tax exempt status 
under Internal Revenue Service code.
    (3) Your application must contain acceptable evidence of site 
control (see Exhibit 4(d)(i) of the application in Section IV.B. of 
this program section of the SuperNOFA).
    (a) Evidence of Site Control. You must provide evidence of site 
control as described in this section and Exhibit 4(d)(i) of Section 
IV.B. of this program section of the SuperNOFA).
    (b) Historic Preservation. You are required to send a letter to the 
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to 
initiate consultation with their office and requests their review of 
your determinations and findings with respect to the historical 
significance of your proposed project. Appendix B to this program 
section of the SuperNOFA contains a sample letter to the SHPO/THPO that 
you may adapt for your use, if you so choose. You must include a copy 
of your letter to the SHPO/THPO

[[Page 27717]]

in your application. You must also include in your application either:
    (i) The response letter(s) from the SHPO/THPO, or
    (ii) A statement from you that you have not received a response 
letter(s) from the SHPO/THPO.
    (c) Contamination. HUD must determine if a proposed site contains 
contamination and, if so, HUD must be satisfied that it is eliminated 
to the extent necessary to meet non site-specific Federal, State or 
local health standards. You must assist HUD by doing the following:
    (i) Phase I Environmental Site Assessment (ESA). You must submit a 
Phase I ESA, prepared in accordance with the ASTM Standards E 1527-00, 
as amended, completed or updated no earlier than six months prior to 
the application deadline date. The Phase I ESA must be completed and 
submitted with the application. Therefore, it is important that you 
start the Phase I ESA process as soon after publication of the 
SuperNOFA as possible. To help you choose an environmentally safe site, 
HUD invites you to review the document ``Choosing an Environmentally 
Safe Site'' which is available on HUD's Web site at http://www.hud.gov/grants/index.cfm and the ``Supplemental Guidance, Environmental 
Information'', in Appendix C to this program section of the SuperNOFA.
    (ii) Phase II ESA. 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. However, 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. In order for your application to be considered for review 
under this FY2004 funding competition, the Phase II must be submitted 
to the local HUD Office on or before August 6, 2004.
    (iii) Clean-up--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 for 
review under this FY2004 funding competition, you must submit this 
information to the local HUD Office on or before August 6, 2004.

    Note:
    Clean-up could be an expensive undertaking. You must pay for the 
cost of any clean-up and/or remediation. If the application is 
approved, clean-up must be completed prior to initial closing. 
Completion of clean-up means that hud must be satisfied that the 
contamination has been eliminated to the extent necessary to meet 
non site-specific federal, state or local health standards, with no 
active or passive remediation still taking place, no capping over of 
any contamination, and no monitoring wells. However, it is 
acceptable if contamination remains solely in groundwater that is at 
least 25 feet below the surface.

    (d) Asbestos. Asbestos is a hazardous substance commonly used in 
building products until the late 1970s. Therefore, you must submit one 
of the following with your application:
    (i) If there is no pre-1978 structure on the site, a statement to 
this effect, or
    (ii) If there is a pre-1978 structure on the site, an asbestos 
report which is based on a thorough inspection to identify the location 
and condition of asbestos throughout any structures. In those cases 
where suspect asbestos is found, it would either be assumed to be 
asbestos or would require confirmatory testing. If the asbestos report 
indicates the presence of asbestos or the presence of asbestos is 
assumed, and if the application is approved, HUD will condition the 
approval on an appropriate mix of asbestos abatement and an asbestos 
Operations and Maintenance Plan.
    (4) There must be a market need for the number of units proposed in 
the area of the project location.
    (5) You are required to include a Supportive Services Plan that 
describes the supportive services proposed to be provided to the 
anticipated occupants, including a description of the public or private 
funds that are expected to fund the proposed services and the manner in 
which the services will be provided to the proposed residents (see 
Exhibit 5 in Section IV.B. of this program section of the SuperNOFA). 
You must not require residents to accept any supportive services as a 
condition of occupancy or admission.
    (6) Delinquent Federal Debt. Refer to the General Section of the 
SuperNOFA for information regarding delinquent Federal debt.
    3. Program Requirements. By signing Form HUD-92015-CA, Application 
for Section 202 Capital Advance, you are certifying that you will 
comply with all program requirements listed in the General Section of 
the SuperNOFA as well as the following requirements:
    a. Statutory and Regulatory Requirements. In addition to the 
statutory, regulatory, threshold and public policy requirements listed 
in the General Section of this SuperNOFA, you must comply with all 
statutory and regulatory requirements listed in Sections I and III of 
this program NOFA.
    b. Application/Project Size Limits.
    (1) Application Limits Applicable to Sponsors or Co-Sponsors. 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. Affiliated entities (organizations 
that are branches or offshoots of a parent organization) that submit 
separate applications are considered a single entity for the purpose of 
this limit.
    (2) Maximum Project Size. No single application may propose the 
development of a project for more than the number of units allocated to 
a local HUD Office (in either the metropolitan or nonmetropolitan 
allocation category, depending on the location of your proposed 
project) or 125 units, whichever is less. For example, the local HUD 
Office, which has jurisdiction over the area of your proposed project, 
was allocated 80 units (metropolitan) and 20 units (nonmetropolitan) 
for a total of 100 units. You cannot apply for more than 80 units if 
your proposed project is in a metropolitan area and no more than 20 
units if the project is in a nonmetropolitan area.
    (3) Minimum Project Size. The minimum number of units that can be 
applied for in one application is five units. If the proposed project 
will be a scattered-site development, the five-unit minimum requirement 
will apply to each site.
    c. Minimum Capital Investment. If selected, you 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.
    d. Accessibility. Your project must meet accessibility requirements 
published at 24 CFR 891.120, 24 CFR 891.210, and Section 504 of the 
Rehabilitation Act of 1973, and, if new construction, the design and 
construction requirements of the Fair Housing Act and HUD's 
implementing regulations at 24 CFR part 100. In addition, 24 CFR 
8.4(b)(5) prohibits the selection of a site or location which has the 
purpose or effect of excluding

[[Page 27718]]

persons with disabilities from the federally assisted program or 
activity. HUD will award higher points to applications that add 
accessible design features beyond those required under civil rights 
laws and regulations. Refer to Section V.A. below and the General 
Section of the SuperNOFA for information regarding the policy priority 
of encouraging accessible design.
    e. Conducting Business in Accordance with HUD Core Values and 
Ethical Standards. You Section are not subject to the requirements of 
24 CFR parts 84 and 85 as outlined in the General Section of the 
SuperNOFA. However, you are still subject to the core values and 
ethical standards as they relate to the conflict of interest provisions 
in 24 CFR 891.130. To ensure compliance with the program's conflict of 
interest provisions, you are required to sign a Conflict of Interest 
Resolution and include it in your Section 202 application. Further, if 
awarded a Section 202 fund reservation, the officers, directors, board 
members, trustees, stockholders and authorized agents of the Section 
202 Sponsor and Owner entities will be required to submit to HUD 
individual certifications regarding compliance with HUD's conflict of 
interest requirements.
    f. National Environmental Policy Act. You must comply with the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and 
applicable related environmental authorities at 24 CFR 50.4, HUD's 
programmatic implementing regulations at 24 CFR part 50 and 24 CFR 
891.155(b), especially, but not limited to, the provision of 
information to HUD at 24 CFR 50.31(b) and you must comply with any 
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
    Under 24 CFR Part 50, HUD has the responsibility for conducting the 
environmental reviews. HUD cannot approve any site unless it first 
completes the environmental review. In rare cases where HUD is not able 
to complete the environmental review, it is due to a complex 
environmental issue that could not be resolved during the time period 
allocated for application processing. Thus, HUD requires you to attempt 
to obtain comments from the State/Tribal Historic Preservation Officer 
(see Exhibit 4(d)(ix) of Section IV.B. below) to help HUD complete the 
environmental review on time. It is also why HUD may contact you for 
additional environmental information. So that you can review the type 
of information that HUD needs for its preparation of the environmental 
review as well as the type of information requests that HUD may make to 
you, you are invited to go to the following website to view the HUD 
form 4128, including the Sample Field Notes Checklist, which HUD uses 
to record the environmental review: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
    g. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. Refer to the 
General Section of the SuperNOFA for information regarding Executive 
Order 13202.

IV. Application and Submission Information

    A. Addresses to Request Application Package. All information 
required to complete and return a valid application is included in the 
General Section and this program section of the SuperNOFA, including 
appendices. Copies of the General Section, this program section, and 
the required forms and appendices are available and may be downloaded 
from HUD's Web site at http://www.hud.gov/grants/index.cfm.
    You may request general information, copies of the General Section 
and program section of the SuperNOFA (including appendices), and 
required forms from the NOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) between the hours of 9 a.m. and 8 p.m. (Eastern Time) 
Monday through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. 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 copies of the SuperNOFA can be 
made immediately following its publication. The NOFA Information Center 
opens for business simultaneously with the publication of the 
SuperNOFA.
    B. Content and Form of Application Submission. The exhibits to be 
included in your application are contained in the body of this program 
section of the SuperNOFA. There will not be a separate Application Kit 
provided this year. Before preparing your application, you should 
carefully review the requirements of the regulations (24 CFR Part 891) 
and general program instructions in Handbook 4571.3 REV-1, Section 202 
Capital Advance Program for Housing the Elderly. Note: Section 1001 of 
Title 18 of the United States Code (Criminal Code and Criminal 
Procedure, 72 Stat. 967 applies to all information supplied in the 
application submission). (18 U.S.C. 1001, among other things, provides 
that whoever knowingly and willfully makes or uses a document or 
writing containing any false, fictitious, fraudulent statement or 
entry, in any matter within the jurisdiction of any department or 
agency of the United States, shall be fined not more than $10,000 or 
imprisoned for not more than five years, or both.)
    The Application for a Section 202 Capital Advance consists of four 
parts with a total of eight Exhibits. Included with the eight Exhibits 
are prescribed forms, certifications and resolutions. The components of 
the Application are:
    Part 1--Application Form for Section 202 Supportive Housing--
Capital Advance (Exhibit 1)
    Part 2--Your Ability to Develop and Operate the Proposed Project 
(Exhibits 2 and 3)
    Part 3--The Need for Supportive Housing for the Target Population 
in the Area to be Served, Site Control and Suitability of Site, 
Adequacy of the Provision of Supportive Services and of the Proposed 
Project (Exhibits 4 and 5)
    Part 4--General Application Requirements, Certifications and 
Resolutions (Exhibits 6 through 8).
    Appendix A--Listing of Local HUD Offices
    Appendix B--Letter Requesting SHPO/THPO Review
    Appendix C--Supplemental to Choosing an Environmentally Safe Site
    Your application must include all of the information, materials, 
forms, and exhibits listed below (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 Exhibits 2(a), (b), and (c), which are the 
articles of incorporation, (or other organizational documents), by-
laws, and the IRS tax exemption, respectively. If there has been a 
change in any of these documents since your previous HUD approval, you 
must submit the updated information in your application. The local HUD 
Office will verify your indication of previous HUD approval by checking 
the project number and approval status with the appropriate local HUD 
Office based on the information submitted.
    In addition to this relief of paperwork burden in preparing 
applications, you will be able to use information and exhibits 
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

[[Page 27719]]

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.
    You must contact the appropriate local HUD Office to obtain 
information about the submission of applications within the 
jurisdiction of that Office as well as information relating to the 
Phase I Environmental Site Assessment, Exhibit 4(d)(vii).

    Note: You may propose a scattered site project in one 
application, in which case the minimum unit requirement per site and 
the maximum number of units per application as specified in Section 
III.C.3.b. above apply.

    Please submit your application using the following format provided 
in this program section of the SuperNOFA, indexed and tabbed 
accordingly.
    1. Table of Contents (This is also to be used as a checklist to 
assist you in submitting a complete application. After your application 
is complete, insert the page number on the blank line associated with 
the Exhibit or portion of the Exhibit.)
BILLING CODE 4210-32-P

[[Page 27720]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.404


[[Page 27721]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.405


[[Page 27722]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.406


[[Page 27723]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.407

BILLING CODE 4210-32-C?>

[[Page 27724]]

2. General Applications Requirements

a. Part I--Application Form for Section 202 Supportive Housing--Capital 
Advance

    (1) Exhibit 1--Form HUD-92015-CA, Application for Section 202 
Supportive Housing Capital Advance. Refer to Section IV.B.3. of this 
program section for a copy of this form.

b. Part II--Your Ability To Develop and Operate the Proposed Project

    (1) Exhibit 2--Evidence of your legal status (Private nonprofit or 
nonprofit consumer cooperative (If another organization(s) is co-
sponsoring the application with you, each Co-Sponsor must also submit 
the following):
    (a) Articles of Incorporation, constitution, or other 
organizational documents;
    (b) By-laws;
    (c) IRS tax exemption ruling (this must be submitted by all 
Sponsors, including churches).

[Exception: If you received a section 202 Fund Reservation within the 
last three funding cycles, you are not required to submit the documents 
described in (a), (b), and (c) above. Instead, submit the project 
number of the latest application and the local HUD office to which it 
was submitted. If there have been any modifications or additions to the 
subject documents, indicate such, and submit the new material.]

    (2) Exhibit 3--Your purpose, community ties and experience:
    (a) A description of your purpose(s), current activities, and how 
long you have been in existence.
    (b) A description of your ties to the community in which your 
project will be located and to the minority and elderly communities in 
particular, including a description of the specific geographic area(s) 
in which you have served.
    (c) A description of local government support for the project 
(including financial assistance, donation of land, provision of 
services, etc.).
    (d) Letters of support for your organization and for the proposed 
project from organizations familiar with the housing and supportive 
services needs of the target population that you expect to serve in the 
proposed project.
    (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 sponsored, own and/or 
operate, 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 
target population (the elderly 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.
    (f) A description of your efforts to involve members of the target 
population (elderly persons, including minority elderly persons) in the 
development of the application as well as your intent to involve the 
target population in the development and operation of the project.
    (g) A description of the practical solutions you will implement 
which will enable residents of your project to achieve independent 
living. In addition, describe the educational opportunities you will 
provide for the residents and how you will provide them. This 
description should include any activities that will enhance the quality 
of life for the residents. And, finally, describe how your proposed 
project will be an improved living environment for the residents when 
compared to their previous place of residence.
    (h) Describe your plan for completing the proposed project. Include 
a project development timeline which lists the major development stages 
for the project with associated dates that must be met in order to get 
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the 
project, including final closing. Completion of Exhibit 8(k), Logic 
Model, will assist you in completing your response to this Exhibit.
    (i) Describe how you will ensure that your proposed project will 
remain viable as housing with the availability of supportive services 
for the target population for the 40-year capital advance period. This 
description should address the measures you would take should any of 
the following occur:
    (i) funding for any of the needed supportive services becomes 
depleted;
    (ii) if, for any state-funded services for your project, the state 
changes its policy regarding the provision of supportive services to 
projects such as the one you propose; or
    (iii) if the need for housing for the population you will be 
serving wanes over time, causing vacancies in your project.
    (j) A description of the activities you have undertaken to remove 
barriers to affordable housing in the community in which your proposed 
project will be located. In this description include how you have 
supported state and local efforts to streamline processes and 
procedures, eliminate redundant requirements, statutes, regulations, 
and codes which impede the availability of affordable housing. 
Completion of Exhibit 8(l), Questionnaire for HUD's Initiative on 
Removal of Regulatory Barriers, will assist you in completing your 
response to this Exhibit.

c. Part III--The Need for Supportive Housing for the Target Population, 
Site Control and Suitability of Site, Adequacy of the Provision of 
Supportive Services and of the Proposed Project

    (1) Exhibit 4--Need and Project Information
    (a) Evidence of need for supportive housing. 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 the 
Rural Housing Service (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 or (where applicable) 
the State's Consolidated Plan, Analysis of Impediments to Fair Housing 
Choice (AI) or other planning document that analyzes fair housing 
issues was used in documenting the need for the project.
    (b) A description of how the proposed project will benefit the 
target population and the community in which it will be located.
    (c) Description of the project.
    (i) Narrative description of the building design including a 
description of the number of units with bedroom

[[Page 27725]]

distribution, any special design features, including any features that 
incorporate visitability standards and universal design, amenities, 
and/or commercial and community spaces, 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 the community spaces, amenities, or features do not 
comply with the project design and cost standards of 24 CFR 
891.120(a) and (c) and the special standards of 24 CFR 891.210, 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;


    (ii) Describe whether and how the project will promote energy 
efficiency, including any plans to incorporate energy efficiency 
features in the operation of the project through the use of Energy Star 
labeled products and appliances and, if applicable, innovative 
construction or rehabilitation methods or technologies to be used that 
will promote efficient construction.
    (iii) If you are proposing to develop a mixed-finance project by 
developing additional units (i.e., in addition to the 202 units), a 
description of any plans and actions you have taken to create such a 
mixed-finance project with the use of 202 capital advance funds, in 
combination with other funding sources. Provide the number of non-
Section 202 units to be included in the mixed-finance project (also 
provide the number of additional units in the appropriate space on Form 
HUD-92015-CA). Also, provide copies of any letters you have sent 
seeking outside funding for the non-202 units and any responses 
thereto. Your response to this Exhibit will be used to rate your 
application for Rating Factor 4.c., under Leveraging Resources.


    Notes: (1) If you propose to develop a mixed-finance project for 
additional units, you must complete the development of such a 
proposal. If you are later unable to develop a mixed-finance project 
for additional units, you will not be permitted to proceed with a 
Section 202 project without additional units and your fund 
reservation will be canceled. This is due to the fact that the 
project would have received points in the rating of the application 
in consideration of the additional units and, if selected for 
funding, a later change in the proposal to exclude the additional 
units would alter the fairness of the competition. (2) Section 202 
capital advance amendment money will not be approved for projects 
proposing mixed-financing for additional units. (3) If approved for 
a reservation of capital advance funds, you will be required to 
submit with your Firm Commitment Application, the additional 
documents required by HUD for mixed-finance proposals. (4) A mixed-
finance project does not include the development of a mixed-use 
project in which the Section 202 units are mortgaged separately from 
the other uses of the structure.


    (d) Evidence of site control and permissive zoning.
    (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 with renewable provisions for 25 years;
    (B) Contract of sale for the site that is free of any limitations 
affecting the ability of the seller 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 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, must state a firm price binding on the seller, and be 
renewable at the end of the six-month period. The only condition on 
which the option may be terminated is if you are not awarded a fund 
reservation;
    (D) If the site is covered by a mortgage under a HUD program, 
(e.g., a previously funded Section 202 or Section 811 project or an 
FHA-insured mortgage) you must submit evidence that consent to release 
the site from the mortgage has been obtained or is being requested from 
HUD and from the mortgagee, if other than HUD (approval to release the 
site from the mortgage must be done before the local HUD Office makes 
its selection recommendations to HUD Headquarters); or
    (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 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 of commitment will be 
considered sufficient evidence of site control.
    (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 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 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.


    (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 the 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.).
    (iv) Evidence of compliance with the URA requirement that the 
seller has been provided, in writing, with the required information 
regarding a voluntary, arm's length purchase transaction (i.e., (1) 
applicant does not have the power of eminent domain and, therefore, 
will not acquire the property

[[Page 27726]]

if negotiations fail to result in an amicable agreement, and (2) of the 
estimate of the fair market value of the property).


    Note: This information should have been provided before making 
the purchase offer. However, in those cases where there is an 
existing option or contract, the seller must be provided the 
opportunity to withdraw from the agreement or transaction, without 
penalty, after this information is provided.


    (v) Narrative describing topographical and demographic aspects of 
the site, the suitability of the site and area (as well as a 
description of the characteristics of the neighborhood), how use of the 
site will promote greater housing opportunities for minority elderly 
and elderly persons with disabilities, and how use of the site will 
affirmatively further 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 jurisdiction's Analysis 
of Impediments (AI) to Fair Housing Choice, which is a component of 
the jurisdiction's Consolidated Plan or any other planning document 
that addresses fair housing issues. The applicable Consolidated Plan 
and AI may be the community's, the county's, or the state's, to 
which input should have been provided by local community 
organizations, agencies in the community and residents of the 
community. Alternatively, a document that addresses fair housing 
issues and remedies to barriers to fair housing in the community 
that was previously prepared by a local planning, or similar 
organization, may be used. Applicable impediments could include the 
need for improved housing quality and services for elderly minority 
families, lack of affirmative marketing and outreach to minority 
elderly persons, and the need for quality eldercare services within 
areas of minority concentration when compared with the type and 
quality of similar services and housing in nonminority areas.


    (vi) A map showing the location of the site, the racial composition 
of the neighborhood, and any areas of racial concentration.


    Note: For this competition, when determining the racial and 
ethnic composition of the neighborhood surrounding the proposed 
site, use data from the 2000 Census of Population. Data from the 
2000 Census may be found at: http:www.factfinder.census.gov/servlet/BasicFactsServlet.

    (vii) A Phase I Environmental Site Assessment (ESA), in accordance 
with the ASTM Standards E 1527-00, as amended, 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. Therefore, it is 
important to start the site assessment process as soon after the 
publication of the NOFA as possible. If the Phase I ESA indicates 
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. 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 Assessment reveals site contamination, 
you must submit the extent of the contamination and a plan for clean-up 
of the site including 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 to the local HUD office. The 
Phase II and any necessary plans for clean-up do not have to be 
submitted with the application but must be submitted to the local HUD 
office by August 6, 2004. If it is not submitted by that date, the 
application will be rejected.


    Note: You must pay for the cost of any clean-up or remediation 
which can be very expensive.


    (viii) You must submit one of the following:
    (A) If there is no pre-1978 structure on the site, a statement to 
this effect, or
    (B) If there is a pre-1978 structure on the site, an asbestos 
report which is based on a thorough inspection to identify the location 
and condition of asbestos throughout any structures.

    Note: In those cases where suspect asbestos is found, it would 
either be assumed to be asbestos or would require confirmatory 
testing. If the asbestos report indicates the presence of asbestos, 
or the presence of asbestos is assumed, and if the application is 
approved, HUD will condition the approval on an appropriate mix of 
asbestos abatement and an asbestos Operations and Maintenance Plan.


    (ix) The letter you sent to the State/Tribal Historic Preservation 
Officer (SHPO/THPO) initiating consultation with their office and 
requesting their review of your determinations and findings with 
respect to the historical significance of your proposed project. 
Appendix B to this program section of the SuperNOFA contains a sample 
letter that you may adapt and send to the SHPO/THPO.
    (x) The SHPO/THPO response to your letter or a statement that you 
have not received a response letter from the SHPO/THPO.

(2) Exhibit 5--Supportive Services Plan

    (a) A detailed description of the supportive services proposed to 
be provided to the anticipated occupancy.
    (b) A description of public or private sources of assistance that 
reasonably could be expected to fund the proposed services.
    (c) 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 admission 
or occupancy, to accept any supportive services.

d. Part IV--General Application Requirements, Certifications and 
Resolutions

    (1) Exhibit 6: A list of the applications, if any, you have 
submitted or are planning to submit to any other local HUD office in 
response to the Section 202 or Section 811 NOFA. Indicate by local HUD 
office, the proposed location by city and state and the number of units 
requested for each application. Include a list of all FY2003 and prior 
year Section 202 and Section 811 capital advance projects to which you 
are a party. Identify each by project number and local HUD office and 
include the following information:
    (a) whether the project has initially closed and, if so, when;
    (b) if the project was older than 24 months when it initially 
closed (specify how old) or if older than 24 months now (specify how 
old) and has not initially closed, provide the reasons for the delay in 
closing;
    (c) whether amendment money was or will be needed for any project 
in (b) above; and,
    (d) those projects which have not been finally closed.
    (2) Exhibit 7: A statement that:
    (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.
    (b) indicates the estimated cost of relocation payments and other 
services.

[[Page 27727]]

    (c) identifies the staff organization that will carry out the 
relocation activities.
    (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).]


    (3) Exhibit 8: Certifications and Resolutions. With the exception 
of Form HUD-424CB and Form HUD-424CBW listed in the General Section of 
the SuperNOFA, and OMB Circulars A-87 and A-21, you are required to 
submit signed copies of the following:
    (a) Standard Form 424--Application for Federal Assistance, 
including a DUNS number, an indication of whether you are delinquent on 
any federal debt, and compliance with Executive Order 12372 (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). Refer to the General 
Section of the SuperNOFA for a copy of this form and instructions on 
how to obtain a DUNS number.
    (b) Standard Form 424 Supplement, Survey on Ensuring Equal 
Opportunity for Applicants. Although the information on this form will 
not be considered in making funding decisions, it will assist the 
federal government in ensuring that all qualified applicants have an 
equal opportunity to compete for federal funding. Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (c) Form HUD-424B, Applicant Assurances and Certifications. Refer 
to the General Section of the SuperNOFA for a copy of this form.
    (d) Standard Form LLL--Disclosure of Lobbying Activities (if 
applicable). A disclosure of activities conducted to influence any 
federal transactions. Refer to the General Section of the SuperNOFA for 
a copy of this form.
    (e) Form HUD-2880, Applicant/Recipient Disclosure/Update Report, 
including Social Security and Employee Identification Numbers. A 
disclosure of assistance from other government sources received in 
connection with the project. Refer to the General Section of the 
SuperNOFA for a copy of this form.
    (f) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan) 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 the program section of the SuperNOFA. The 
Plan regulations are published in 24 CFR part 91. Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (g) Form HUD-92041, Sponsor's Conflict of Interest Resolution. 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. Refer to Section IV.B.3. below 
for a copy of this Resolution.
    (h) Form HUD-92042, Sponsor's Resolution for Commitment to Project. 
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 or for national Sponsors, not to exceed $25,000), and 
the estimated cost of any amenities or features (and operating costs 
related thereto) that would not be covered by the approved capital 
advance. Refer to Section IV.B.3. below for a copy of this Resolution.
    (i) Form HUD-2990, Certification of Consistency with the RC/EZ/EC 
Strategic Plan. A certification that the project is consistent with the 
RC/EZ/EC strategic plan, is located within the RC/EZ/EC, and serves RC/
EZ/EC residents. (This certification is not required if the project 
site(s) will not be located in an RC/EZ/EC.) Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (j) Form HUD-2530, Previous Participation Certification. This form 
must be submitted for the Sponsor and all of the Officers and Directors 
of the Board of the Sponsor, including any Co-Sponsor, if applicable. 
This form provides HUD with a certified report of all your previous 
participation in HUD multifamily housing projects. The information is 
used to determine if you meet the standards established to ensure that 
all principal participants in HUD projects will honor their legal, 
financial and contractual obligations and are acceptable risks from the 
underwriting standpoint of an insurer, lender or governmental agency. 
Refer to Section IV.B.3. below for a copy of this form.
    (k) Form HUD-96010, Logic Model. In addition to the Project 
Development Timeline to be submitted in Exhibit 3(h) above, the 
information provided in the Logic Model will be used in rating your 
application for Rating Factor 5, Achieving Results and Program 
Evaluation. Refer to the General Section of the SuperNOFA for a copy of 
this form.
    (l) Form HUD-27300, Questionnaire for HUD's Initiative on Removal 
of Regulatory Barriers. In addition to the information you provided in 
response to Exhibit 3(j) above, this Questionnaire will be considered 
in the rating of your application for Rating Factor 3.k. Refer to the 
General Section of the SuperNOFA for a copy of this form.
    3. Required Forms. In addition to the required forms that are found 
in the General Section of the SuperNOFA as specified above, the 
following required forms (HUD-92015-CA, HUD-92041, HUD-92042, and HUD-
2530) are specific to the Section 202 program.
BILLING CODE 4210-32-P

[[Page 27728]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.408


[[Page 27729]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.409


[[Page 27730]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.410


[[Page 27731]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.411


[[Page 27732]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.412


[[Page 27733]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.413


[[Page 27734]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.414


[[Page 27735]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.415

BILLING CODE 4210-32-C?>
    C. Submission Dates and Time. You must submit an original and four 
(4) copies of your application. Applications may be hand delivered, 
mailed or submitted by courier service. If mailed by the United States 
Postal Service, the original and four copies must be postmarked on or 
before midnight of July 7, 2004, and received in the local HUD Office 
within 15 days of the due date. If hand delivered or submitted by 
courier service, the original and four copies must be received on or 
before the close of business for the appropriate

[[Page 27736]]

office on the application due date. Please refer to the General Section 
of the SuperNOFA for further instructions regarding application mailing 
and receipt procedures.

D. Intergovernmental Review.

    1. State Review. This funding opportunity is subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs''. You 
must contact your State's Single Point of Contact (SPOC) to find out 
about and comply with the State's process under EO 12372. The names and 
addresses of the SPOCs are listed in the Office of Management and 
Budget's home page at http://www.whitehouse.gov/omb/grants/spoc.html. 
If required by the State, the submission to the State needs to occur 
before the Section 202 application due date. It is recommended that you 
provide the State with sufficient time to review the application. 
Therefore, it is important that you consult with the SPOC for State 
review timeframes and take that into account when submitting the 
application.
    2. 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.

E. Funding Restrictions.

    1. Ineligible Activities. Section 202 funds may not be used for:
    a. Nursing homes;
    b. Infirmaries;
    c. Medical facilities;
    d. Mobile home projects;
    e. Community centers;
    f. Headquarters for organizations for the elderly;
    g. Nonhousekeeping accommodations;
    h. Refinancing of sponsor-owned facilities without rehabilitation, 
or
    i. Projects licensed or to be licensed as assisted living 
facilities.


    Note: You may propose to rehabilitate an existing currently-
owned or leased structure that does not already serve elderly 
persons, except that the refinancing of any Federally-funded or 
assisted project or project insured or guaranteed by a Federal 
agency is not permissible under this Section 202 NOFA. HUD does not 
consider it appropriate to utilize scarce program resources to 
refinance projects that have already received some form of 
assistance under a Federal program. (For example, Section 202 or 
Section 202/8 direct loan projects cannot be refinanced with capital 
advances and project rental assistance.)


    2. Application Limits (Units/Projects). Refer to Section III.C.3.b. 
of this program section of the SuperNOFA for information applicable to 
the limitations on the number of units you may apply for in a single 
application and the project sizes.
    3. Development Cost Limits.
    a. The following development cost limits, adjusted by locality as 
described in Section IV.E.3.b. below must be used to determine the 
capital advance amount to be reserved for projects for the elderly. You 
are responsible for any costs over and above the capital advance amount 
including costs associated with any excess amenities and design 
features.
    (1) The capital advance amount for the project attributable to 
dwelling use (less the incremental development cost and the capitalized 
operating costs associated with any excess amenities and design 
features and other costs you must pay for) may not exceed:
    Non-elevator structures:
    $42,980 per family unit without a bedroom;
    $49,557 per family unit with one bedroom;
    $59,766 per family unit with two bedrooms;
    For elevator structures:
    $45,232 per family unit without a bedroom;
    $51,849 per family unit with one bedroom;
    $63,049 per family unit with two bedrooms 1624
    (2) 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.
    b. Increased development cost limits.
    (1) HUD may increase the development cost limits set forth 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.


    Note: In applying the applicable high cost percentage, the local 
HUD Office may use a percentage that is higher or lower than that 
which is assigned to the local HUD Office if it is needed to provide 
a capital advance amount that is comparable to what it typically 
costs to develop a Section 202 project in that area.


    (2) 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 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.
    4. Commercial Facilities. A commercial facility for the benefit of 
the residents may be located and operated in the Section 202 project. 
However, the commercial facility cannot be funded with the use of 
Section 202 capital advance or PRAC funds. The maximum amount of space 
permitted for a commercial facility cannot exceed 10 percent of the 
total project cost. An exception to this 10 percent limitation is if 
the project involves acquisition or rehabilitation and the additional 
space was incorporated in the existing structure at the time the 
proposal was submitted to HUD. Commercial facilities are considered 
public accommodations under Title III of the Americans with 
Disabilities Act of 1990 (ADA), and thus must comply with all the 
accessibility requirements of the ADA.
    5. Expiration of Section 202 Funds. The Consolidated Appropriations 
Act, 2004, requires HUD to obligate all Section 202 funds appropriated 
for FY 2004 by September 30, 2006. Under 31 U.S.C. Section 1551, no 
funds can be disbursed from this account after September 30, 2011. 
Under Section 202, obligation of funds occurs for both capital advances 
and project rental assistance upon fund reservation and acceptance. If 
all funds are not disbursed by HUD and expended by the project Owner by 
September 30, 2011, the funds, even though obligated, will expire and 
no further disbursements can be made from this account. In submitting 
an application you need to carefully consider whether your proposed 
project can be completed through final capital advance closing no later 
than September 30, 2011. Furthermore, all unexpended balances, 
including any remaining balance on PRAC contracts, will be cancelled as 
of October 1, 2011. Amounts needed to maintain PRAC payments for any 
remaining term on the affected contracts beyond that date will have to 
be funded from other current appropriations.

[[Page 27737]]

F. Other Submission Requirements:

    1. Address for Submitting Applications. Submit an original and four 
copies of your completed application to the Director of the appropriate 
local HUD Office listed in Appendix A below.


    Note: Do not use the listing in Attachment B to the General 
Section of the SuperNOFA.

V. Application Review Information

A. Criteria.

    Policy Priorities. HUD encourages applicants to undertake specific 
activities that will assist the Department in implementing its policy 
priorities and which help the Department achieve its strategic goals 
for FY 2004. Refer to the General Section of the SuperNOFA for 
information regarding HUD's Strategic Goals and Policy Priorities. For 
the Section 202 program, applicants who include work activities that 
specifically address the policy priorities of encouraging accessible 
design features by incorporating visitability standards and universal 
design, and removing barriers to affordable housing will receive 
additional points. A Notice pertaining to the removal of barriers to 
affordable housing was published in the Federal Register and may be 
downloaded from the HUD Web site at www.hud.gov/grants/index.cfm.
    Rating Factors. 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 this 
program Section of the SuperNOFA. The maximum number of points an 
application may receive under this program is 102. This includes two 
(2) RC/EZ/EC bonus points, as described in the General Section of the 
SuperNOFA and Section V.A.6. below.
1. 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 
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. 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.
    b. (10 points) The scope, extent and quality of your experience in 
providing housing or related services to minority persons or families 
and your ties to the community at large and to the minority and elderly 
communities in particular.
    (1) (5 points). The scope, extent, and quality of your experience 
in providing housing or related services to minority persons or 
families.
    (2) (5 points). The scope, extent, and quality of your ties to the 
community at large and to the minority and elderly communities in 
particular.
    To earn the maximum number of points under sub criteria (b)(1) and 
(b)(2) above, you must describe both your relationships over time with 
the minority community and significant previous experience in providing 
housing and/or supportive services to minorities generally and to 
minority elderly in particular. For the purpose of this competition, 
``significant previous experience'' means that the previous housing 
assistance or related services to minorities, i.e., the percentage of 
minorities being provided housing or related services in your current 
developments, was equal to or greater than the percentage of minorities 
in the jurisdiction where the previous housing or services occurred.
    c. (-2 to -4 points). HUD will deduct (except if the delay was 
beyond your control) 2 points if a fund reservation you received under 
either the Section 202 Program of Supportive Housing for the Elderly or 
the Section 811 Program of Supportive Housing for Persons with 
Disabilities in FY 1999 or later has been extended beyond 24 months, 3 
points if beyond 36 months, and 4 points if beyond 48 months. Examples 
of such delays beyond your control include, but are not limited to, 
initial closing delays that are: (1) directly attributable to HUD, (2) 
directly attributable to third party opposition, including litigation, 
and (3) due to a disaster, as declared by the President of the United 
States.
    d. (-1 point). HUD will deduct 1 point if amendment money was 
required as a result of the delay (except if the delay was beyond your 
control).
2. 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 Exhibits 4(a) and 4(b) of 
Section IV.B. of this program section of the SuperNOFA. HUD will take 
into consideration the following in evaluating this factor:
    The extent of the need for the project in the area based on a 
determination by the local 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 local 
HUD Office. The data should include a general assessment of the current 
conditions in the market for the type of housing proposed, an estimate 
of the demand for additional housing of the type proposed in the 
applicable housing market area; as well as, information on the numbers 
and types of existing comparable Federally assisted housing units for 
the elderly (HUD and RHS), current occupancy in such housing and recent 
market experience, comparable assisted housing for the elderly 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 areas. 
The Department will also review more favorably those applications that 
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.
    In evaluating this factor, HUD will rate your application as 
follows:
    a. (12 points). The extent of the need for the project in the area 
based on a determination by the local HUD Office, taking into 
consideration the Sponsor's evidence of need in the area, as well as 
other economic, demographic and housing market data available to HUD.
    b. (3 points). The extent that a connection has been established 
between the project and the community's Consolidated Plan,

[[Page 27738]]

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.
3. Rating Factor 3: Soundness of Approach ( 45 Points)
    This factor addresses the quality and effectiveness of your 
proposal and the extent to which you involved elderly persons, 
including elderly minority persons, in the development of the 
application and will involve them in the development and operation of 
the project, and whether you have undertaken activities that will 
remove barriers to affordable housing within the community where the 
proposed project will be located. There must be a clear relationship 
between your proposed design, 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 
Exhibits 3(f), 3(j), 4(c)(i), 4(d)(iii), 4(d)(v), 4(d)(vi) and 5 of 
Section IV.B. of this program section of the SuperNOFA. In evaluating 
this factor, HUD will consider the following:
    a. (20 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. (-1 point). The site(s) is not permissively zoned for the 
intended use.
    c. (10 points). The suitability of the site from the standpoints of 
promoting a greater choice of housing opportunities for minority 
elderly persons/families, and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the local HUD Office. 
Where appropriate, HUD may visit the site.
    (1) 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). The term 
``nonminority area'' is defined as one in which the minority population 
is lower than 10 percent; 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.
    (2) 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:
    (a) 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 area as a 
whole;
    (b) 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,
    (c) In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its population.
    d. (2 points). The extent to which your proposed design will meet 
the special physical needs of elderly persons.
    e. (2 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.
    f. (2 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.
    g. (2 points). The extent to which the proposed supportive services 
meet the identified needs of the anticipated residents.
    h. (2 points). The extent to which you demonstrate that the 
identified supportive services will be provided on a consistent, long-
term basis.
    i. (1 point). The proposed design incorporates visitability 
standards and/or universal design in the construction or rehabilitation 
of the project. Refer to the General Section of the SuperNOFA for 
further information.
    j. (2 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.
    k. (2 points). You have undertaken activities that will remove 
barriers to affordable housing within the community in which the 
proposed project will be located, such as supporting State and local 
efforts to streamline processes and procedures, eliminate redundant 
requirements, statutes, regulations and codes which impede the 
availability of affordable housing. Refer to the General Section of the 
SuperNOFA for further information.
4. Rating Factor 4: Leveraging Resources (5 Points)
    This factor addresses your ability to secure other funding sources, 
including funding sources to develop a mixed-finance project for 
additional units for elderly over and above the Section 202 units, if 
proposed, and community resources that 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 Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), 4(c)(iii) and 
5(b) of Section IV.B. of this program section of the SuperNOFA.
    a. (1 point). The extent of local government support (including 
financial assistance, donation of land, provision of services, etc.) 
for the project.
    b. (2 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.
    c. (2 points). The extent of your plans to develop a mixed-finance 
project for additional units for the elderly over and above the Section 
202 units.
    (1) (1 point). The proposed project involves mixed-financing for 
additional units in which the non-Section 202 units represent 30 
percent or less of the Section 202 units in the project; or
    (2) (2 points). The proposed project involves mixed-financing for 
additional units in which the non-Section 202 units represent over 30 
percent of the Section 202 units in the project.


    Note: If you are proposing a mixed-financed project for 
additional units over and above the Section 202 units, your 
application may receive a maximum of 2 points under Rating Factor 
4(c). Your application will receive either 1 or 2 points under this 
Rating Factor, depending upon the number of non-Section 202 units to 
be developed in the project. If your project will not involve mixed-
financing for additional units, no points will be assigned for 
Rating Factor 4(c).


[[Page 27739]]


5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability and, as such, emphasizes HUD's 
commitment to ensuring that you keep the promises made in your 
application. This factor requires that you clearly identify the 
benefits or outcomes of your project and develop an evaluation plan to 
measure performance, which includes what you are going to measure, how 
you are going to measure it, and the steps you will have in place to 
make adjustments to your project development timeline should you not be 
able to achieve any of the major milestones. Completion of Exhibit 
8(k), Logic Model, will assist you in completing your response to this 
rating factor. This rating factor also addresses the extent to which 
your project will implement practical solutions that result in 
residents achieving independent living, educational opportunities, and 
improved living environments. Finally, this factor addresses the extent 
to which the long-term viability of your project will be sustained for 
the duration of the 40-year capital advance period. Submit information 
responding to this factor in accordance with Application Submission 
Requirements in Exhibits 3(g), 3(h), 3(i) and 8(k) of Section IV.B. of 
this program section of the SuperNOFA.
    a. (5 points). The extent to which your project development 
timeline is indicative of your full understanding of the development 
process and will, therefore, result in the timely development of your 
project.
    b. (2 points). The extent to which your project will implement 
practical solutions that will result in assisting residents in 
achieving independent living, educational opportunities, and improved 
living environments.
    c. (3 points). The extent to which you demonstrated that your 
project will remain viable as housing with the availability of 
supportive services for very low-income elderly persons for the 40-year 
capital advance period.
    6. Bonus Points (2 bonus points). Location of proposed site in an 
RC/EZ/EC area, as described in the General Section of the SuperNOFA. 
Submit the information responding to the bonus points in accordance 
with the Application Submission Requirements in Exhibit 8(h) of Section 
IV.B. of this program section of the SuperNOFA.

B. Reviews and Selection Process

    1. Review for Curable Deficiencies. You should ensure that your 
application is complete and that you have an original and four copies 
before submitting it to the appropriate HUD Office. Submitting fewer 
than an original and the required four copies is not a curable 
deficiency and will cause your application to be considered 
nonresponsive to the NOFA and returned to you. 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 the 
application. Refer to the General Section of the SuperNOFA for 
additional information regarding procedures for corrections to 
deficient applications. The following is a list of the only 
deficiencies that will be considered curable in a Section 202 
application:
BILLING CODE 4210-32-P

[[Page 27740]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.416

BILLING CODE 4210-32-C?>
    The local HUD Office will notify you in writing if your application 
is missing any of the above 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. If an Exhibit or portion of an Exhibit 
listed above as curable is not discovered as missing until technical 
processing, HUD will provide you with

[[Page 27741]]

14 calendar days in which to cure the deficiency.
    2. Rating. HUD will review and rate your application in accordance 
with the Review and Selection Process in the General Section of this 
SuperNOFA except as described in 3. Appeal Process below. Your 
application 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, including HUD 
approval of you, the Section 202 applicant, based on HUD's evaluation 
of the applicant's previous participation activities as reported on 
Form HUD-2530, Previous Participation Certification, it will be rated 
according to the rating factors in Section V.A. above.
    3. Appeal Process. 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 local HUD Office. The local HUD 
Office will make a determination on any appeals before making its 
selection recommendations.
    4. Ranking and Selection Procedures. Applications submitted in 
response to the advertised metropolitan allocations or nonmetropolitan 
allocations that have a total base score of 75 points or more (without 
the addition of RC/EC/EZ bonus points) and meet all of the applicable 
threshold requirements of the General Section of the SuperNOFA and this 
program NOFA 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 RC/EC/EZ, will be 
selected based on rank order, up to and including the last application 
that can be funded out of each HUD Multifamily Program Center's 
metropolitan or nonmetropolitan allocation. HUD Multifamily Program 
Centers will 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 Multifamily Program Centers 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 Multifamily Program 
Centers may combine their unused metropolitan and nonmetropolitan funds 
in order to select the next highest ranked application in either 
category, using the unit reduction policy described above, if 
necessary.
    After the HUD Multifamily Program Centers have funded all possible 
projects based on the process above, combined metropolitan and 
nonmetropolitan residual funds from all HUD Multifamily Program Centers 
within each Multifamily Hub will be combined. First, these funds will 
be used to restore units to projects reduced by HUD Multifamily Program 
Centers 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 Multifamily Program Center. 
More than one application may be selected per HUD Multifamily Program 
Center if there are no approvable applications in other HUD Multifamily 
Program Centers 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. However, the 
Multifamily Hub may use any remaining residual funds to select the next 
highest rated 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. Applications may not be skipped 
over to select one based on funds remaining. However, the Multifamily 
Hub may use any remaining residual funds to select the next highest 
rated 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 the Multifamily Hub selection process is 
completed will be returned to Headquarters. HUD Headquarters will use 
these residual funds first to restore units to projects reduced by HUD 
Multifamily Program Centers or Multifamily Hubs as a result of the 
instructions for using their residual funds. Second, HUD Headquarters 
will use these funds for selecting applications based on HUD 
Multifamily Program Centers' 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 of Section 202 of the Housing Act of 1959 pertaining to 
Section 202 funding in nonmetropolitan areas. Only one application will 
be selected per HUD Multifamily Program Center from the national 
residual amount. If there are no approvable applications in other HUD 
Multifamily Program Centers, 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. In order to use as much of the 
available remaining funds as possible, HUD Headquarters may skip over a 
higher-rated application.
    5. HUD Error. 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 NOFA, HUD may select that applicant 
when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

    1. Agreement Letter. If you are selected to receive a Section 202 
fund reservation, you will receive an Agreement Letter that stipulates 
the terms and conditions for the Section 202 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    Immediately upon your acceptance of the Agreement Letter, you are 
expected to begin work towards the submission of a Firm Commitment 
Application, which is the next application submission stage. You are 
required to submit a Firm Commitment Application to the local HUD 
Office within 180 days from the date of the Agreement Letter. Initial 
closing of the capital advance and start of construction of the project 
are expected to be accomplished within the duration of the fund 
reservation award. Final closing of the capital advance is expected to 
occur no later than six months after completion of project 
construction.
    2. Non-Selection Letter. If your application is approvable but 
unfunded due to insufficient funds or receives a rating that is below 
the minimum threshold score established for funding eligibility, you 
will receive a letter to this effect.
    3. Debriefing. Refer to the General Section of the SuperNOFA for 
further information regarding debriefings, except that the request for 
a debriefing

[[Page 27742]]

must be made to the Director of Multifamily Housing in the appropriate 
local HUD Office.

B. Administrative and National Policy Requirements

    1. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. Although the 
Section 202 program is not subject to the provisions of 24 CFR 85.36(e) 
as described in the corresponding paragraph in the General Section of 
the SuperNOFA, you are required to comply with Executive Order 12432, 
Minority Business Enterprise Development and Executive Order 11625, 
Prescribing Additional Arrangements for Developing and Coordinating a 
National Program for Minority Business Enterprise as they relate to the 
encouragement of HUD grantees to utilize minority business enterprises.
    2. Fair Housing Requirements. Refer to the General Section of the 
SuperNOFA for information regarding fair housing requirements.
    3. 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 which provide economic opportunities to low and very low-
income persons. To comply with Section 3 requirements you are hereby 
certifying that you will strongly encourage your general contractor and 
subcontractors to participate in local apprenticeship programs or 
training programs registered or certified by the Department of Labor's 
Office of Apprenticeship, Training, Employer and Labor Services or 
recognized State Apprenticeship Agency.
    4. Design and Cost Standards. You must comply with HUD's Section 
202 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, where applicable, the Americans with 
Disabilities Act of 1990.
    HUD has adopted a wide-ranging energy action plan for improving 
energy efficiency in all program areas. As a first step in implementing 
the energy plan, HUD, the Environmental Protection Agency (EPA) and the 
Department of Energy (DoE) have signed a joint partnership to promote 
energy efficiency in HUD's affordable housing efforts and programs. The 
purpose of the Energy Star partnership is to promote energy efficiency 
of the affordable housing stock, but also to help protect the 
environment. Although it is not a requirement, you are nonetheless 
encouraged to promote energy efficiency in design and operations. You 
are urged especially to purchase and use Energy Star-labeled products. 
Program activities can include developing Energy Star promotional and 
information materials, outreach to low- and moderate-income renters on 
the benefits and savings when using Energy Star products and 
appliances, and promoting the designation of community buildings and 
homes as Energy Star compliant. For further information about Energy 
Star, see http://www.energystar.gov or call 1-888-STAR-YES (1-888-782-
7937) or for the hearing-impaired, 1-888-588-9920 TTY.
    5. Acquisition and Relocation. You must comply with the Uniform 
Relocation Assistance and Real Property Acquisition Policies Act of 
1970, as amended (49 CFR part 24, and 24 CFR 891.155(e)) (URA), which 
covers the acquisition of sites, with or without existing structures, 
and with 24 CFR 8.4(b)(5) of the Section 504 regulations which 
prohibits discrimination based on disability in determining the site or 
location of a Federally-assisted facility. 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 in writing (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. Evidence of compliance with 
this advance notice requirement must be included in Exhibit 4(d)(iv) of 
your application.
    6. Formation of Owner Corporation. You must form an Owner entity 
(in accordance with 24 CFR 891.205) after issuance of the capital 
advance fund reservation and must cause the Owner entity to file a 
request for determination of eligibility and a request for capital 
advance, and must provide sufficient resources to the Owner entity to 
ensure the development and long-term operation of the project, 
including capitalizing the Owner entity at firm commitment processing 
in an amount sufficient to meet its obligations in connection with the 
project over and above the capital advance amount.
    7. Davis-Bacon. You must comply with the Davis-Bacon requirements 
(12 U.S.C. 1701q(j)5) and the Contract Work Hours and Safety Standards 
Act.
    8. Flood Disaster Protection Act of 1973 and Coastal Barrier 
Resources Act. You must comply with the requirements under the Flood 
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal 
Barrier Resources Act (16 U.S.C. 3601).

C. Reporting

    1. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner 
of the Section 202 project to submit an annual financial statement for 
the project. This financial statement must be audited by an Independent 
Public Accountant who is a Certified Public Accountant or other person 
accepted by HUD and filed electronically with HUD's Real Estate 
Assessment Center (REAC) through the Financial Assessment Subsystem for 
Multifamily Housing (MF-FASS). The submission of annual financial 
statements is required throughout the 40-year term of the mortgage.
    2. HUD requires that funded recipients collect racial and ethnic 
beneficiary data. It has adopted the Office of Management and Budget's 
Standards for the Collection of Racial and Ethnic Data. In view of 
these requirements, you should use Form HUD-27061, Racial and Ethnic 
Data Reporting Form (and instructions for its use), found at http://
www.hudclips.org, a comparable program form, or a comparable electronic 
data system for this purpose.

VII. Agency Contact(s)

    For Technical Assistance. You may contact the appropriate local HUD 
Office, or Evelyn Berry at HUD Headquarters at (202) 708-3000 (this is 
not a toll-free number), or access the Internet at http://www.hud.gov/grants/index.cfm. Persons with hearing and speech impairments may 
access the above number via TTY by calling the

[[Page 27743]]

Federal Relay Service at 1-800-877-8339 (this is a toll-free number).

VIII. Other Information

    A. Field Office Workshop. HUD encourages minority organizations and 
grassroots organizations (e.g., civic organizations, faith-communities 
and grassroots faith-based and other community-based 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, contamination identification and 
remediation, historic preservation, floodplain management, other 
environmental requirements, 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 local 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 local 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 local 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.
    B. Satellite Broadcast. HUD will hold an information broadcast via 
satellite for potential applicants to learn more about the program and 
preparation of the application. It is strongly recommended that 
potential applicants, especially those who may be applying for Section 
202 funding for the first time, tune in to this broadcast, if at all 
possible. Copies of the broadcast tapes are also available from the 
NOFA Information Center. For more information about the date and time 
of the broadcast, you should consult the HUD Web site at http://www.hud.gov/grants/index.cfm.
    C. Related Programs. Please note that funding for a related 
program, Section 202 Demonstration Planning Grant Program, is available 
to provide predevelopment grants to private nonprofit organizations and 
consumer cooperatives in connection with the development of housing 
under the Section 202 program. The announcement of the availability of 
funding under this program will be addressed in a separate NOFA.

D. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2502-0267. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average 37.42 hours per annum per respondent for the application and 
grant administration. This includes the time for collecting, reviewing, 
and reporting the data for the application, semi-annual reports and 
final report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits derived.

Appendix A--Local HUD Offices

Notes

    1. Your application must be sent to the appropriate local HUD 
Office having jurisdiction over the locality in which your project will 
be located. If you send your application to the wrong local HUD Office, 
it will be rejected. Therefore, if you are uncertain as to which local 
HUD Office to submit your application, you are encouraged to contact 
the local HUD Office below that is closest to your proposed project 
location(s) to ascertain the Office's jurisdiction and ensure that you 
submit your application to the correct local HUD 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.
    5. Applications for projects proposed to be located within the 
jurisdiction of the Grand Rapids, Michigan Office must be submitted to 
the Detroit, Michigan Office.
    6. Applications for projects proposed to be located within the 
jurisdiction of the Boston, Massachusetts Office must be submitted to 
the Manchester, New Hampshire Office.

BILLING CODE 4210-32-P

[[Page 27744]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.417


[[Page 27745]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.418


[[Page 27746]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.419


[[Page 27747]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.420


[[Page 27748]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.421


[[Page 27749]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.422


[[Page 27750]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.423


[[Page 27751]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.424


[[Page 27752]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.425


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27753]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.426


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27755]]



Funding Availability for the Section 811 Program of Supportive Housing 
for Persons With Disabilities (Section 811 Program) Overview 
Information

    A. Federal Agency Name: Department of Housing and Urban 
Development, Office of Housing
    B. Funding Opportunity Title: Section 811 Supportive Housing for 
Persons with Disabilities
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: OMB Approval Number: 2502-0462. The 
Federal Register number for this NOFA is: FR-4900-N-28.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.181, 
Section 811 Supportive Housing for Persons with Disabilities
    F. Dates: Application Deadline Date: July 7, 2004. Refer to Section 
IV. below and the General Section for information on application 
submission requirements.
    G. Optional, Additional Overview Content Information:
    1. Purpose of the Program. This program provides funding for the 
development and operation of supportive housing for very low-income 
persons with disabilities who are at least 18 years old. If you receive 
funding through this program, you must assure that supportive services 
are identified and available.
    2. Available Funds. Approximately $117.7 million in capital advance 
funds, plus associated project rental assistance contract (PRAC) funds 
and any carryover funds available.
    3. Types of Funds. Capital advance funds will cover the cost of 
developing the housing. PRAC funds will cover the difference between 
the HUD-approved operating costs of the project and the tenants' 
contributions toward rent (30 percent of their adjusted monthly 
income).
    4. Eligible Applicants. Nonprofit organizations that have a section 
501(c)(3) tax exemption from the Internal Revenue Service. (See Section 
VI.B.6. below of this program NOFA for further details and information 
regarding the formation of the Owner corporation.)
    5. Eligible Activities. New construction, rehabilitation, or 
acquisition (with or without rehabilitation) of housing. (See Section 
III.C.1. below of this program NOFA for further information.)
    6. Match Requirements. None required.
    7. Local HUD Offices. The local HUD Office structure, for the 
purpose of implementing the Section 811 program, consists of 18 
Multifamily Hub Offices. Within the Multifamily Hubs, there are 
Multifamily Program Centers with the exception of the New York Hub, the 
Buffalo Hub, the Denver Hub and the Los Angeles Hub. All future 
references shall use the term ``local HUD Office'' unless a more 
detailed description is necessary as in Limitations on Applications and 
Ranking and Selection Procedures, below.
    Full Text of Announcement:

I. Funding Opportunity Description

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 (FDIC)), to 
be developed into a variety of housing options described in Section 
III.C. below. Capital advance funds bear no interest and are based on 
development cost limits in Section IV.E.3. below. Repayment of the 
capital advance is not required as long as the housing remains 
available for occupancy by very low-income persons with disabilities 
for at least 40 years. PRAC funds are used to cover the difference 
between the tenants' contributions toward rent (30 percent of adjusted 
income) and the HUD-approved cost to operate the project.

B. Authority

    42 U.S.C. 8013 (Section 811 of the Cranston-Gonzalez National 
Affordable Housing Act (Pub. L. 101-625, approved November 28, 
1990)(NAHA), as amended by the Housing and Community Development Act of 
1992) (Pub.L. 102-550, approved October 28, 1992)(HCD Act of 1992); the 
Rescissions Act (Pub.L. 104-19, approved July 27, 1995); the American 
Homeownership and Economic Opportunity Act of 2000 (Pub. L. 106-569, 
approved December 27, 2000) and the Consolidated Appropriations Act, 
2004 (P.L. 108-199, approved January 23, 2004) 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)).

C. Eligible Occupancy

    You may propose a Section 811 project to serve persons with 
physical disabilities, developmental disabilities, chronic mental 
illness, or any combination of the three as defined in 24 CFR 891.305. 
In addition, you may request HUD approval to restrict occupancy to a 
subcategory of one of these three defined categories (e.g., HIV/AIDS is 
a subcategory of physical disability). If restricted occupancy is 
approved, however, you cannot deny occupancy to any otherwise qualified 
person that meets the definition of the overall category of disability.

D. Calculation of Fund Reservation

    If selected, you will receive a fund reservation that will consist 
of both a reservation of capital advance funds and a reservation of 
contract authority (one year) and budget authority (five years) for 
project rental assistance.
    1. Capital advance funds. The reservation of capital advance funds 
is based on a formula which, for an independent living project 
(including condominiums), takes the development cost limit for the 
appropriate building type (elevator, non-elevator) and unit size(s) and 
multiplies it by the number of units of each size (including a unit for 
a resident manager, if applicable) and then multiplies the result by 
the high cost factor for the area. For a group home, the formula is 
based on the number of persons with disabilities in the appropriate 
disability category (excluding any unit for a resident manager since 
such a unit is already incorporated in the development cost limit) 
multiplied by the high cost factor for the area. The development cost 
limits can be found in Section IV.E.3. of this program section of the 
SuperNOFA.
    2. PRAC funds. The PRAC contract authority is determined by 
multiplying the number of units for residents with disabilities in an 
independent living project or the number of residents with disabilities 
in a group home by the appropriate operating cost standard and then 
multiplying the result by 12 (months). The PRAC budget authority is 
determined by multiplying the PRAC contract authority by 5 (years). The 
operating cost standards will be published by Notice.

II. Award Information

    A. Available Funds. For FY 2004, approximately $117.7 million is 
available for capital advances for the Section 811 Program of 
Supportive Housing for Persons with Disabilities. The Consolidated 
Appropriations Act, 2004 (Pub. L. 108-199, approved

[[Page 27756]]

January 23, 2004) provides $249,092,000 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); for project rental assistance 
for supportive housing for persons with disabilities under section 811 
of the NAHA, including amendments to contracts for such assistance and 
renewal of expiring contracts for such assistance for up to a one-year 
term and for tenant-based rental assistance contracts and renewal of 
expiring contracts for such assistance entered into pursuant to section 
811 of the NAHA, and $467,000 to be transferred to the Working Capital 
Fund all of which reflect a .59% across-the-board rescission pursuant 
to Public Law 108-199. $75 million will be provided 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.
    In accordance with the waiver authority provided in the FY2004 
Consolidated Appropriations Act, the Secretary is waiving the following 
statutory and regulatory provision: The term of the project rental 
assistance contract is reduced from 20 years to 5 years. HUD 
anticipates that at the end of the contract terms, renewals will be 
approved subject to the availability of funds. In addition to this 
provision, HUD will reserve project rental assistance contract funds 
based on 75 percent rather than on 100 percent of the current operating 
cost standards for approved units in order to take into account the 
average tenant contribution toward rent.
    The allocation formula used for Section 811 reflects the ``relevant 
characteristics of prospective program participants,'' as specified in 
24 CFR 791.402(a). The FY2004 formula consists of the following data 
element from the 2000 Census: the number of non-institutionalized 
persons age 16 to 64 with a disability. The data on disability status 
were derived from answers to a two-part question that asked about the 
existence of the following long-lasting conditions: (a) blindness, 
deafness, or a severe vision or hearing impairment (sensory disability) 
and (b) a condition that substantially limits one or more basic 
physical activities, such as walking, climbing stairs, reaching, 
lifting, or carrying (physical disability); and a four-part question 
that asked if the individual had a physical, mental, or emotional 
condition lasting 6 months or more that made it difficult to perform 
certain activities. The four activity categories were: (a) learning, 
remembering, or concentrating (mental disability); (b) dressing, 
bathing, or getting around inside the home (self-care disability); (c) 
going outside the home alone to shop or visit a doctor's office (going 
outside the home disability); and (d) working at a job or business 
(employment disability).
    Under the Section 811 Program, each local 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 local 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 count of 
disabilities in the data element for each state, or state portion, of 
each local HUD office jurisdiction as a percent of the data element 
from the 2000 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

[[Page 27757]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.427


[[Page 27758]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.428


[[Page 27759]]


BILLING CODE 4210-32-C
    B. Type of Award. Capital Advance and Project Rental Assistance 
Contract Funds for new Section 811 applications.
    C. Type of Assistance Instrument. The Agreement Letter stipulates 
the terms and conditions for the Section 811 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.
    D. Anticipated Start and Completion Date. Immediately upon your 
acceptance of the Agreement Letter, you are expected to begin work 
toward the submission of a Firm Commitment Application, which is the 
next application submission stage. You are required to submit a Firm 
Commitment Application to the local HUD office within 180 days from the 
date of the Agreement Letter. Initial closing of the capital advance 
and start of construction of the project are expected to be 
accomplished within the duration of the fund reservation award as 
indicated in the above paragraph regarding the Type of Assistance 
Instrument. Final closing of this capital advance is expected to occur 
no later than six months after completion of project construction.

III. Eligibility Information

    A. Eligible Applicants: Nonprofit organizations with a section 
501(c)(3) tax exemption from the Internal Revenue Service and who meet 
the threshold requirements contained in the General Section of the 
SuperNOFA and Section III.C.2. below are the only eligible applicants 
for this program.
    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 project pursuant to the 
statutory provision under Title VIII of the American Homeownership and 
Economic Opportunity Act of 2000, a for-profit limited partnership with 
a nonprofit entity as the sole general partner.
    See Section IV.E.2. below regarding limits on the total number of 
units and projects for which you may apply for funding.
    B. Cost Sharing or Matching: No cost sharing or match is required; 
however, you are required to make a commitment to cover the estimated 
start-up expenses, the minimum capital investment of one half of one 
percent of the HUD-approved capital advance, not to exceed $10,000, and 
any funds required in excess of the capital advance, including the 
estimated cost of any amenities or features (and operating costs 
related thereto) which are not covered by the capital advance. You must 
make such a commitment by signing the Sponsor's Resolution for 
Commitment to Project in Exhibit 8(h) of the application found in 
Section IV.B. below.
    C. Other:
    1. Eligible Activities. Section 811 capital advance funds must be 
used to finance the development of housing through new construction, 
rehabilitation, or acquisition with or without rehabilitation. Capital 
advance funds may also be used in combination with other non-Section 
811 funding sources leveraged by a for-profit limited partnership (of 
which a single-purpose nonprofit organization with a 501(c)(3) tax 
exemption is the sole general partner) to develop a mixed-finance 
project, including a mixed-finance project for additional units over 
and above the Section 811 units. The development of a mixed-use project 
in which the Section 811 units are mortgaged separately from the other 
uses of the structure is not considered a mixed-finance 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). 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.


    Note: For purposes of approving Section 811 capital advances, 
HUD will consider proposals involving mixed-financing for additional 
units over and above the Section 811 units if you have legal control 
of an approvable site and the additional units do not cause the 
project, as a whole, to exceed the project size limits if the 
additional units will also house persons with disabilities (unless 
your project will be an independent living project and you request 
and receive HUD approval to exceed the project size limits (See 
IV.B.2.c.(1)(d)(xii).) 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.

    2. Threshold Criteria for Funding Consideration. In addition to the 
threshold criteria outlined in the General Section of the SuperNOFA 
(such as the inclusion of a DUN and Bradstreet Data Universal Numbering 
System (DUNS) Number on the SF-424), the following threshold 
requirements must be met:
    a. Non-Responsive Application. Your application will be considered 
non-responsive to the NOFA and will not be accepted for processing if 
you:
    (1) submit less than the required number of copies (an original and 
four copies are required);
    (2) request more units than were allocated to the local HUD Office 
to which you submitted your application (See the allocation chart in 
Section II.A. above);
    (3) request less than the minimum number of units for persons with 
disabilities in an independent living project (5 units) or a group home 
(2 units); or
    (4) request more than the maximum number of units for a group home 
(6 units).
    b. Other Criteria. (1) You, or a Co-Sponsor, must have experience 
in providing housing or services to persons with disabilities.
    (2) You and any Co-Sponsor must be eligible nonprofit organizations 
with tax exempt status under Section 501(c)(3) of the Internal Revenue 
Service code.
    (3) Your application must contain evidence of site control or the 
identification of a site. Section 811(d)(3) of the National Affordable 
Housing Act requires you to provide either evidence of site control or 
a reasonable assurance that you will have control of a site within six 
months of the date of the Agreement Letter notifying you that you have 
been selected to receive a Section 811 fund reservation. Accordingly, 
you must include in your application, the required information 
specified below for evidence of site control, or the required 
information specified below under site identification as a reasonable 
assurance that site control will be obtained within six months of the 
date of the Agreement Letter.
    (a) Evidence of Site Control--If you have control of a site at the 
time you submit your application, you must provide the information in 
Exhibit 4(d) in IV.B. of this program section of the SuperNOFA relative 
to site control.
or
    (b) Site Identification--If you do not have site control of one or 
more of your sites, you must provide the information required in 
Exhibit 4(e) in IV.B. of this program section of the SuperNOFA under 
``Identification of Site'' for any site not under control as a 
reasonable assurance that site control will be obtained within six 
months of fund reservation notification.

[[Page 27760]]

    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. During the selection process, all applications with 
acceptable evidence of site control for all proposed sites and all 
proposed sites have been found approvable will be grouped in Category 
A. All applications that are submitted as ``site identified'' as well 
as those that are submitted with site control but the evidence of 
control and/or site(s) are not approvable (if the Sponsor indicates 
that it is willing to seek a different site if the proposed site is 
unapprovable) will be grouped in Category B. All applications in 
Category A will be selected before any applications are selected from 
Category B. See Section V.B.4. for further information on the selection 
process.
    (c) Historic Preservation. If you submit an application with 
evidence of site control, you are required to send a letter to the 
State/Tribal Historic Preservation Officer (SHPO/THPO) that attempts to 
initiate consultation with their office and requests their review of 
your determinations and findings with respect to the historical 
significance of your proposed project. Appendix B to this program 
section of the SuperNOFA contains a sample letter to the SHPO/THPO that 
you may adapt for your use, if you so choose. You must include a copy 
of your letter to the SHPO/THPO in your application. You must then also 
include in your application either:
    (i) The response letter(s) from the SHPO/THPO, or
    (ii) A statement from you that you have not received a response 
letter(s) from the SHPO/THPO.
    (d) Contamination. HUD must determine if a proposed site contains 
contamination and, if so, HUD must be satisfied that it is eliminated 
to the extent necessary to meet non site-specific Federal, State or 
local health standards. If you submit an application with evidence of 
site control, you must assist HUD by doing the following:
    (i) Phase I Environmental Site Assessment (ESA)--You must submit a 
Phase I ESA, prepared in accordance with the ASTM Standards E 1527-00, 
as amended, completed or updated no earlier than six months prior to 
the application deadline date, in order for the application to be 
considered as an application with site control. The Phase I ESA must be 
completed and included in your application. Therefore, it is important 
that you start the Phase I ESA process as soon after publication of the 
SuperNOFA as possible. To help you choose an environmentally safe site, 
HUD invites you to review the document ``Choosing An Environmentally 
Safe Site'' which is available on HUD's Web site at http://www.hud.gov/grants/index.cfm and the ``Supplemental Guidance, Environmental 
Information'' in Appendix C to this program section of the SuperNOFA.
    (ii) Phase II ESA--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. However, 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. In order for your application to be considered as an 
application with site control, the Phase II must be submitted to the 
local HUD office on or before August 6, 2004.
    (iii) Clean-up--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 
appropriate local HUD office on or before August 6, 2004.


    Note: Clean-up could be an expensive undertaking. You must pay 
for the cost of any clean-up and/or remediation. If the application 
is approved, clean-up must be completed prior to initial closing. 
Completion of clean-up means that HUD must be satisfied that the 
contamination has been eliminated to the extent necessary to meet 
non site-specific federal, state or local health standards, with no 
active or passive remediation still taking place, no capping over of 
any contamination, and no monitoring wells. However, it is 
acceptable if contamination remains solely in groundwater that is at 
least 25 feet below the surface.

    (e) Asbestos. Asbestos is a hazardous substance commonly used in 
building products until the late 1970s. Therefore, if you submit an 
application with evidence of site control, you must submit one of the 
following with your application:
    (i) If there is no pre-1978 structure on the site, a statement to 
this effect, or
    (ii) If there is a pre-1978 structure on the site, an asbestos 
report which is based on a thorough inspection to identify the location 
and condition of asbestos throughout any structures. In those cases 
where suspect asbestos is found, it would either be assumed to be 
asbestos or would require confirmatory testing. If the asbestos report 
indicates the presence of asbestos or the presence of asbestos is 
assumed, and if the application is approved, HUD will condition the 
approval on an appropriate mix of asbestos abatement and an asbestos 
Operations and Maintenance Plan.
    (4) There must be a market need for the number of units proposed in 
the area of the project location.
    (5) Your application must contain a Supportive Services Plan and a 
Certification from the appropriate state or local agency that the 
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. Exhibit 5 in Section IV.B. 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 and 
complete the Supportive Services Certification and return it to you so 
that you can include it in the application you submit to HUD.
    (i) HUD will reject your application if the Supportive Services 
Certification:
    A Is not submitted with your application and is not submitted to 
HUD within the 14-day cure period; or
    B 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
    C 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.
    (ii) 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:

[[Page 27761]]

    A You failed to demonstrate that supportive services will be 
available on a consistent, long-term basis; and/or
    B 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.
    You must not require residents to accept any supportive services as 
a condition of occupancy or admission.
    (6) Delinquent Federal Debt. Refer to the General Section of the 
SuperNOFA for information regarding delinquent federal debt.
    3. Program Requirements. By signing Form HUD-92016-CA, Application 
for a Section 811 Capital Advance, you are certifying that you will 
comply with the program requirements listed in the General Section of 
the SuperNOFA as well as the following requirements:
    a. Statutory and Regulatory Requirements. In addition to the 
statutory, regulatory, threshold and public policy requirements listed 
in the General Section of the SuperNOFA, you must comply with all 
statutory and regulatory requirements listed in Sections I and III of 
this program NOFA.
    b. Project Size Limits. (1) Independent living project. The minimum 
number of units for persons with disabilities that can be applied for 
in one application is five units for persons with disabilities. All of 
the units are not required to be in one structure and they may be on 
scattered sites. The maximum number of persons with disabilities that 
can be housed in an independent living project on one or adjacent sites 
is 14 plus one additional one- or two-bedroom unit for a resident 
manager, if necessary. If the proposed independent living project will 
be located on the same site or on an adjacent site containing existing 
housing for persons with disabilities, the total number of persons with 
disabilities housed in both the existing and the proposed project 
cannot exceed 14.
    (2) Exception to project size limit for an independent living 
project. 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 Exhibit 
4(d)(xii) of Section IV.B. below in this program section of the 
SuperNOFA.
    (3) Group home. The minimum number of persons with disabilities 
that can reside in a group home is two, and the maximum number is six. 
An additional one-bedroom unit can be provided for a resident manager. 
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. If you are applying for more than one group 
home, they cannot be located on the same or adjacent sites.
    (4) Condominium Units. Condominium units are treated the same as 
units in an independent living project except that you cannot request 
an additional condominium unit for a resident manager.
    c. Minimum Capital Investment. If selected, you 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.
    d. Accessibility. Your project must meet accessibility requirements 
published at 24 CFR 891.120, 24 CFR 891.310 and Section 504 of the 
Rehabilitation Act of 1973, and, if new construction, the design and 
construction requirements of the Fair Housing Act and HUD's 
implementing regulations at 24 CFR part 100. In addition, 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. HUD will award higher points to 
applications that add accessible design features beyond those required 
under civil rights laws and regulations. Refer to Section V.A. below 
and the General Section of the SuperNOFA for information regarding the 
policy priority of encouraging accessible design.
    e. Conducting Business in Accordance With Core Values and Ethical 
Standards. You are not subject to the requirements of 24 CFR parts 84 
and 85 as outlined in the General Section of the SuperNOFA. However, 
you are still subject to the core values and ethical standards as they 
relate to the conflict of interest provisions in 24 CFR 891.130. To 
ensure compliance with the program's conflict of interest provisions, 
you are required to sign a Conflict of Interest Resolution and include 
it in your Section 811 application. Further, if awarded a Section 811 
fund reservation, the officers, directors, board members, trustees, 
stockholders and authorized agents of the Section 811 Sponsor and Owner 
entities will be required to submit to HUD individual certifications 
regarding compliance with HUD's conflict of interest requirements.
    f. National Environmental Policy Act. You must comply with the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321) and 
applicable related environmental authorities at 24 CFR 50.4, HUD's 
programmatic implementing regulations at 24 CFR part 50 and 24 CFR 
891.155(b), especially, but not limited to, the provision of 
information to HUD at 24 CFR 50.31(b), and you must comply with any 
environmental ``conditions and safeguards'' at 24 CFR 50.3(c).
    Under 24 CFR Part 50, HUD has the responsibility for conducting the 
environmental reviews. HUD cannot approve any site for which you have 
site control unless it first completes the environmental review. In 
rare cases where HUD is not able to complete the environmental review, 
it is due to a complex environmental issue that could not be resolved 
during the time period allocated for application processing. Thus, if 
you submit an application with evidence of site control, HUD requires 
you to attempt to obtain comments from the State/Tribal Historic 
Preservation Officer (see Exhibit 4(d)(ix) of Section IV.B. below) to 
help HUD complete the environmental review on time. It is also why HUD 
may contact you for additional environmental information. So that you 
can review the type of information that HUD needs for its preparation 
of the environmental review as well as the type of information requests 
that HUD may make to you, you are invited to go to the following Web 
site to view the HUD form 4128, including the Sample Field Notes 
Checklist, which HUD uses to record the environmental review: http://www.hud.gov/utilities/intercept.cfm?/offices/cpd/energyenviron/environment/compliance/forms/4128.pdf.
    g. Lead-Based Paint. You must 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.
    h. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects. Refer to the 
General Section of the SuperNOFA for information regarding Executive 
Order 13202.

IV. Application and Submission Information

    A. Addresses to Request Application Package. All information 
required to complete and return a valid application

[[Page 27762]]

is included in the General Section and this program section of the 
SuperNOFA, including appendices. Copies of the General Section, this 
program section, the required forms, and appendices, are available and 
may be downloaded from HUD's Web site at http://www.hud.gov/grants.
    You may request general information, copies of the General Section 
and program section of the SuperNOFA (including appendices), and 
required forms from the NOFA Information Center (800-HUD-8929 or 800-
HUD-2209 (TTY)) between the hours of 9 a.m. and 8 p.m. (eastern time) 
Monday through Friday, except on federal holidays. When requesting 
information, please refer to the name of the program you are interested 
in. 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 copies of the SuperNOFA can be 
made immediately following its publication. The NOFA Information Center 
opens for business simultaneously with the publication of the 
SuperNOFA.
    B. Content and Form of Application Submission. The exhibits to be 
included in your application are contained in the body of this program 
section of the SuperNOFA below. There will not be a separate 
Application Kit provided this year. Before preparing your application, 
you should carefully review the requirements of the regulations (24 CFR 
Part 891) and general program instructions in Handbook 4571.2, Section 
811 Capital Advance Program for Housing Persons with Disabilities. 
Note: Section 1001 of Title 18 of the United States Code (Criminal Code 
and Criminal Procedure, 72 Stat. 967 applies to all information 
supplied in the application submission). (18 U.S.C. 1001, among other 
things, provides that whoever knowingly and willfully makes or uses a 
document or writing containing any false, fictitious, fraudulent 
statement or entry, in any matter within the jurisdiction of any 
department or agency of the United States, shall be fined not more than 
$10,000 or imprisoned for not more than five years, or both.)
    The Application for a Section 811 Capital Advance consists of four 
parts with a total of eight Exhibits. Included with the eight Exhibits 
are prescribed forms, certifications and resolutions. The components of 
the Application are:
    Part 1--Application Form for Section 811 Supportive Housing--
Capital Advance (Exhibit 1).
    Part 2--Your Ability to Develop and Operate the Proposed Project 
(Exhibits 2 and 3).
    Part 3--The Need for Supportive Housing for the Target Population 
in the Area to be Served, Site Control and/or Identification of Site, 
Suitability of Site, Adequacy of the Provision of Supportive Services 
and of the Proposed Project (Exhibits 4 and 5).
    Part 4--General Application Requirements, Certifications and 
Resolutions (Exhibits 6 through 8).

Appendix A--Listing of Local HUD offices
Appendix B--Letter Requesting SHPO/THPO Review
Appendix C--Supplemental to Choosing An Environmentally Safe Site

    Your application must include all of the information, materials, 
forms, and exhibits listed below (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 Exhibit 2(a), (b), and (c), which are the 
articles of incorporation (or other organizational documents), by-laws, 
and the IRS tax exemption, respectively. If there has been a change in 
any of these documents since your previous HUD approval, you must 
submit the updated information in your application. The local HUD 
office will verify your indication of previous HUD approval by checking 
the project number and approval status with the appropriate local HUD 
office based on information submitted.
    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.
    You must contact the appropriate local HUD office to obtain 
information about the submission of applications within the 
jurisdiction of that Office as well as information relating to the 
Phase I Environmental Site Assessment, Exhibit 4(d)(vii).


    Note: You may apply for a scattered site project in one 
application, in which case the project size limits in III.C.3.b. 
above apply on a per-site basis.


    Please submit your application using the following format provided 
in this program section of the SuperNOFA, indexed and tabbed 
accordingly.
    1. Table of Contents (This is also to be used as a checklist to 
assist you in submitting a complete application. After your application 
is complete, insert the page number on the blank line associated with 
the Exhibit or portion of the Exhibit.)
BILLING CODE 4210-32-P

[[Page 27763]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.429


[[Page 27764]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.430


[[Page 27765]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.431


[[Page 27766]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.432


[[Page 27767]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.433


[[Page 27768]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.434


[[Page 27769]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.435


[[Page 27770]]


BILLING CODE 4210-32-C
2. General Applications Requirements
a. Part I--Application Form for Section 811 Supportive Housing--Capital 
Advance
    (1) Exhibit 1--Form HUD-92016-CA, Application for Section 811 
Supportive Housing Capital Advance. Refer to Section IV.B.3. of this 
program section for a copy of this form.
b. Part II--Your Ability to Develop and Operate the Proposed Project
    (1) Exhibit 2--Evidence of your legal status (Nonprofit with 
501(c)(3) IRS tax exemption) (If another organization(s) is co-
sponsoring the application with you, each Co-Sponsor must also submit 
the following):
    (a) Articles of Incorporation, constitution, or other 
organizational documents
    (b) By-laws
    (c) IRS tax exemption ruling (this must be submitted by all 
Sponsors, including churches)

(Exception: If You Received a Section 811 Fund Reservation Within 
the Last Three Funding Cycles, You Are Not Required To Submit the 
Documents Described in (a), (b), and (c) Above. Instead, Submit the 
Project Number of the Latest Application and the Local 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.)

    (d) The number of people on your board and the number of board 
members who have disabilities.
    (2) Exhibit 3--Your purpose, community ties and experience:
    (a) A description of your purpose(s), current activities, and how 
long you have been in existence.
    (b) A description of your ties to the community in which your 
project will be located and to the minority and disability communities 
in particular, including a description of the specific geographic 
area(s) in which you have served.
    (c) A description of local government support for the project 
(including financial assistance, donation of land, provision of 
services, etc.).
    (d) Letters of support for your organization and for the proposed 
project from organizations familiar with the housing and supportive 
services needs of the target population (e.g., the local center for 
independent living, the Statewide Independent Living Council) that you 
expect to serve in the proposed project.
    (e) A description of your housing and/or supportive services 
experience. The description should include any rental housing projects 
(including any integrated housing developments) and/or supportive 
services facilities that you sponsored, own and/or operate, 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 target 
population (persons with disabilities 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.
    (f) A description of your efforts to involve members of the target 
population (persons with disabilities including minority persons with 
disabilities and persons with disabilities similar to those of the 
prospective residents) in the development of the application as well as 
your intent to involve the target population in the development and 
operation of the project.
    (g) A description of the practical solutions you will implement 
which will enable residents of your project to achieve independent 
living and economic empowerment. In addition, describe the educational 
opportunities you will provide for the residents and how you will 
provide them. This description should include the activities you will 
undertake to improve computer access, literacy and employment 
opportunities (e.g., provide programs that can teach residents how to 
use computers to become educated as well as achieve economic self-
sufficiency through job training and placement). And, finally, describe 
how your proposed project will be an improved living environment for 
the residents when compared to their previous place of residence.
    (h) Describe your plan for completing the proposed project. Include 
a project development timeline which lists the major development stages 
for the project with associated dates that must be met in order to get 
the project to initial closing and start of construction within the 18-
month fund reservation period as well as the full completion of the 
project, including final closing. Completion of Exhibit 8(l), Logic 
Model, will assist you in completing your response to this Exhibit.
    (i) Describe how you will ensure that your proposed project will 
remain viable as housing with the availability of supportive services 
for the target population for the 40-year capital advance period. This 
description should address the measures you would take should any of 
the following occur:
    (i) funding for any of the needed supportive services becomes 
depleted;
    (ii) if, for any state-funded services for your project, the state 
changes its policy regarding the provision of supportive services to 
projects such as the one you propose; or
    (iii) if the need for housing for the population you will be 
serving wanes over time, causing vacancies in your project.
    (j) A description of the steps you took to coordinate your 
application with other organizations (e.g., the local center for 
independent living) that will not be directly involved in your project 
but with which you share common goals and objectives, to complement 
and/or support the proposed project so that the project will provide a 
comprehensive and holistic solution to the needs of persons with 
disabilities.
    (k) A description of your efforts to consult with Continuum of Care 
organizations in the community where the project will be located about 
the ways you can assist persons with disabilities who are chronically 
homeless as defined in the General Section of the SuperNOFA.
    (l) A description of the activities you have undertaken to remove 
barriers to affordable housing in the community in which your proposed 
project will be located. In this description include how you have 
supported state and local efforts to streamline processes and 
procedures, eliminate redundant requirements, statutes, regulations, 
and codes which impede the availability of affordable housing. 
Completion of Exhibit 8(m), Questionnaire for HUD's Initiative on 
Removal of Regulatory Barriers, will assist you in completing your 
response to this Exhibit.
c. Part III--The Need for Supportive Housing for the Target Population, 
Site Control and/or Identification of Site and Suitability of Site, 
Adequacy of the Provision of Supportive Services and of the Proposed 
Project
    (1) Exhibit 4--Need and Project Information
    (a) Evidence of need for supportive housing. Include a description 
of the proposed population and evidence

[[Page 27771]]

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 or (where applicable) the State's Consolidated Plan, 
Analysis of Impediments to Fair Housing Choice (AI) or other planning 
document that analyzes fair housing issues was used in documenting the 
need for the project.
    (b) A description of how the proposed project will benefit the 
target population and the community in which it will be located.
    (c) Description of the project.
    (i) 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; identification of all commercial and 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. A narrative description of the building design (both 
interior and exterior), including any special design features, as well 
as any features that incorporate visitability standards and universal 
design. Also include a description of how the design of the proposed 
project will facilitate the integration of the residents into the 
surrounding community and promote the ability of the residents to live 
as independently as possible.

    Note: If the community spaces, amenities, or features do not 
comply with the project design and cost standards of 24 CFR 
891.120(a) and (c), and the special project standards of 24 CFR 
891.310(a), 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.

    (ii) Describe whether and how the project will promote energy 
efficiency, including any plans to incorporate energy efficiency 
features in the operation of the project through the use of Energy Star 
labeled products and appliances and, if applicable, innovative 
construction or rehabilitation methods or technologies to be used that 
will promote efficient construction.
    (iii) For site control applications, if you are proposing to 
develop a mixed-finance project by developing additional units (i.e., 
in addition to the 811 units), a description of any plans and actions 
you have taken to create such a mixed-finance project with the use of 
811 capital advance funds, in combination with other funding sources. 
Provide the number of non-Section 811 units to be included in the 
mixed-finance project (also provide the number of additional units in 
the appropriate space on Form HUD-92016-CA). Also, provide copies of 
any letters you have sent seeking outside funding for the non-811 units 
and any responses thereto. Your response to this Exhibit will be used 
to rate your application for Rating Factor 4.c. under Leveraging 
Resources.

    Notes: (1) If you propose to develop a mixed-finance project for 
additional units, you must complete the development of such a 
proposal. If you are later unable to develop a mixed-finance project 
for additional units, you will not be permitted to proceed with a 
Section 811 project without additional units and your fund 
reservation will be canceled. This is due to the fact that the 
project would have received points in the rating of the application 
in consideration of the additional units and, if selected for 
funding, a later change in the proposal to exclude the additional 
units would alter the fairness of the competition. (2) Section 811 
capital advance amendment money will not be approved for projects 
proposing mixed-financing for additional units. (3) If approved for 
a reservation of capital advance funds, you will be required to 
submit with your Firm Commitment Application, the additional 
documents required by HUD for mixed-finance proposals. (4) A mixed-
finance project does not include the development of a mixed-use 
project in which the Section 811 units are mortgaged separately from 
the other uses of the structure. (5) For a Section 811 mixed-finance 
project, the additional units cannot cause the project to exceed the 
project size limit for the type of project proposed, unless you 
request and receive HUD approval to exceed the project size limit if 
the project will be an independent living project (See 
IV.B.2.c.(1)(d)(xii).) or the additional units will house people who 
do not have a disability.

    (d) Evidence of site control and permissive zoning.

    Note: If you are applying for Section 811 funding without 
control of any or all of your proposed sites, you must provide the 
information under (e) Identification of a Site below for any site 
you are submitting without evidence of control of that site.

    (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 50 years with renewable provisions for 25 years;
    (B) Contract of sale for the site that is free of any limitations 
affecting the ability of the seller 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 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, must state a firm price binding on the seller, and be 
renewable at the end of the sixth month period. The only condition on 
which the option may be terminated is if you are not awarded a fund 
reservation;
    (D) If the site is covered by a mortgage under a HUD program, 
(e.g., a previously funded Section 202 or Section 811 project or an 
FHA-insured mortgage) you must submit evidence that consent to release 
the site from the mortgage has been obtained or is being requested from 
HUD and from the mortgagee, if other than HUD (approval to release the 
site from the mortgage must be done before the local HUD Office makes 
its selection recommendations to HUD Headquarters); or
    (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. 
Where 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 of 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 of commitment will be 
considered sufficient evidence of site control.
    (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

[[Page 27772]]

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 and the application will be considered a ``site 
identified'' application. Purchase money mortgages that will be 
satisfied from capital advance funds are not considered to be 
limitations or restrictions that would adversely affect the use of the 
site. If the contract of sale or option agreement contains provisions 
that allow a Sponsor not to purchase the property for reasons such as 
environmental problems, failure of the site to pass inspection, or the 
appraisal is less than the purchase price, then such provisions are not 
objectionable and a Sponsor is allowed to terminate the contract of 
sale or the option agreement.

    Note: A proposed project site may not be acquired or optioned 
from a general contractor (or its affiliate) that will construct the 
Section 811 project or from any other development team member.

    (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 the 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.).

    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.

    (iv) Evidence of compliance with the URA requirement that the 
seller has been provided, in writing, with the required information 
regarding a voluntary, arm's length purchase transaction (i.e., (1) 
applicant does not have the power of eminent domain and, therefore, 
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).

    Note: This information should have been provided before making 
the purchase offer. However, in those cases where there is an 
existing option or contract, the seller must be provided the 
opportunity to withdraw from the agreement or transaction, without 
penalty, after this information is provided.''

    (v) Narrative describing topographical and demographic aspects of 
the site, the suitability of the site and area (as well as a 
description of the characteristics of the neighborhood), how use of the 
site will promote greater housing opportunities for minority persons 
with disabilities, and how use of the site will affirmatively further 
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 jurisdiction's Analysis 
of Impediments (AI) to Fair Housing Choice, 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 quality and 
services for all persons with disabilities.

    (vi) A map showing the location of the site, the racial composition 
of the neighborhood, and any areas of racial concentration.

    Note: For this competition, when determining the racial and 
ethnic composition of the neighborhood surrounding the proposed 
site, use data from the 2000 Census of Population. Data from the 
2000 Census may be found at http://www.factfinder.census.gov/servlet/BasicFactsServlet.

    (vii) A Phase I Environmental Site Assessment (ESA), in accordance 
with the ASTM Standards E 1527-00, as amended, 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. Therefore, it is 
important to start the site assessment process as soon after the 
publication of the NOFA as possible. If the Phase I ESA indicates 
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. 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 Assessment reveals site contamination, 
your must submit the extent of the contamination and a plan for clean-
up of the site including 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 to the local HUD office. The 
Phase II and any necessary plans for clean-up do not have to be 
submitted with the application but must be submitted to the local HUD 
office by August 6, 2004. If it is not submitted by that date, the site 
will be rejected and the application will be considered a ``site 
identified'' application.

    Note: You must pay for the cost of any clean-up or remediation 
which can be very expensive.

    (viii) If you submit an application with evidence of site control, 
you must submit one of the following:
    (A) If there is no pre-1978 structure on the site, a statement to 
this effect, or
    (B) If there is a pre-1978 structure on the site, an asbestos 
report which is based on a thorough inspection to identify the location 
and condition of asbestos throughout any structures.

    Note: In those cases where suspect asbestos is found, it would 
either be assumed to be asbestos or would require confirmatory 
testing. If the asbestos report indicates the presence of asbestos, 
or the presence of asbestos is assumed, and if the application is 
approved, HUD will condition the approval on an appropriate mix of 
asbestos abatement and an asbestos Operations and Maintenance Plan.

    (ix) The letter you sent to the State/Tribal Historic Preservation 
Officer (SHPO/THPO) initiating consultation with their office and 
requesting their review of your determinations and

[[Page 27773]]

findings with respect to the historical significance of your proposed 
project. Appendix B to this program section of the SuperNOFA contains a 
sample letter that you may adapt and send to the SHPO/THPO.
    (x) The SHPO/THPO response to your letter or a statement that you 
have not received a response letter from the SHPO/THPO.
    (xi) 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.
    (xii) If an exception to the project size limits is being 
requested, describe why the site was selected and demonstrate the 
following: (Only for applications for independent living projects [not 
group homes] with site control)
    (A) People with disabilities have indicated their acceptance or 
preference to live in housing with as many units/people as proposed for 
the project.
    (B) The increased number of units/people is warranted by the market 
conditions in the area in which the project will be located.
    (C) Your project is compatible with other residential development 
and the population density of the area in which the project is to be 
located.
    (D) The increased number of people will not prohibit their 
successful integration into the community.
    (E) The project is marketable in the community.
    (F) The size of the project is consistent with state and/or local 
policies governing similar housing for the proposed population.
    (G) A statement that you are willing to have your application 
processed at the project size limit should HUD not approve the 
exception.
    (e) Identification of a Site. If you have identified a site, but do 
not have it under control, you must submit the following information:

    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.

    (i) A description of the location of the site, including its street 
address, its unit number (if condominium), neighborhood/community 
characteristics (to include racial and ethnic data), amenities, 
adjacent housing and/or facilities, how the site will promote greater 
housing opportunities for minority persons with disabilities and 
affirmatively further 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.
    (ii) 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.
    (iii) 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.
    (iv) A status of the sale of the site.
    (v) An indication as to whether the site would involve relocation.
    (2) Exhibit 5--Supportive Services Plan

    Note: Your supportive services plan and the Supportive Services 
Certification (Exhibit 8(k)) must be sent to the appropriate state 
or local agency (identified by the local HUD office) far enough in 
advance of the application deadline date so that the agency can 
review the plan, complete the certification and return both to you 
for inclusion in your application to HUD.

    (a) A detailed description of whether the housing is expected to 
serve persons with physical disabilities, developmental disabilities, 
or chronic mental illness or any combination of the three. Include how 
and from whom/where persons will be referred and admitted for occupancy 
in the project. You may, with the approval of the Secretary, restrict 
occupancy within housing developed under the SuperNOFA to a subcategory 
of one of the three main categories of disability noted above (e.g., 
AIDS is a subcategory of physical disability). However, the Owner must 
permit occupancy by any qualified person with a disability that 
qualifies under the main category of disability.
    (b) If requesting approval to restrict occupancy, also submit the 
following:
    (i) A description of the population of persons with disabilities to 
which occupancy will be limited.
    (ii) An explanation of why it is necessary to restrict occupancy of 
the proposed project(s) to the population described in (i) above, 
including the following:
    (A) An explanation of how restricting occupancy to a subcategory of 
persons with disabilities promotes the goals of the Section 811 
program.
    (B) An explanation of why the housing and/or service needs of this 
population cannot be met in a more integrated setting.
    (iii) A description of your experience in providing housing and/or 
supportive services to proposed occupants.
    (iv) A description of how you will ensure that occupants of the 
proposed project will be integrated into the neighborhood and 
community.
    (c) A detailed description of the supportive service needs of the 
persons with disabilities that the housing is expected to serve.
    (d) A list of community service providers, (including consumer-
controlled providers), including letters of intent to provide services 
to proposed residents from as many potential providers as possible.
    (e) The evidence of each service provider's capability and 
experience in providing such supportive services (even if you will be 
the service provider).
    (f) 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/local agency's philosophy/policy concerning housing for 
the population to be served and a demonstration that your application 
is consistent with state and/or local agency plans and policies 
governing the development and operation of housing for persons with 
disabilities.
    (g) 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:
    (i) 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;
    (ii) An assurance that any supportive services that you will make 
available to the residents will be based on their individual needs; and
    (iii) A commitment to make the supportive services available or 
coordinate their availability for the life of the project.
    (h) A description of how the residents will be afforded 
opportunities for employment.

[[Page 27774]]

    (i) An indication as to whether the project will include a unit for 
a resident manager.
    (j) A statement that you will not condition admission or occupancy 
on the resident's acceptance of any supportive services.
d. Part IV--General Application Requirements, Certifications and 
Resolutions
    (1) Exhibit 6: A list of the applications, if any, you have 
submitted or are planning to submit to any other local HUD office in 
response to the Section 202 or Section 811 NOFA. Indicate by local HUD 
office, the proposed location by city and state and the number of units 
requested for each application. Include a list of all FY2003 and prior 
year Section 202 and Section 811 capital advance projects to which you 
are a party. Identify each by project number and local HUD office and 
include the following information:
    (a) whether the project has initially closed and, if so, when;
    (b) if the project was older than 24 months when it initially 
closed (specify how old) or if older than 24 months now (specify how 
old) and has not initially closed, provide the reasons for the delay in 
closing;
    (c) whether amendment money was or will be needed for any project 
in (b) above; and,
    (d) those projects which have not been finally closed.
    (2) Exhibit 7: A statement that: (applicable to applications with 
site control only)
    (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.
    (b) indicates the estimated cost of relocation payments and other 
services.
    (c) identifies the staff organization that will carry out the 
relocation activities.
    (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 811 capital advance, you must provide 
evidence of a firm commitment of these funds. When evaluating 
applications, HUD will consider the total cost of proposals (i.e., 
cost of site acquisition, relocation, construction and other project 
costs).

    (3) Exhibit 8: Certifications and Resolutions--With the exception 
of Form HUD-424CB and Form HUD-424CBW listed in the General Section of 
the SuperNOFA, and OMB Circulars A-87 and A-21, you are required to 
submit signed copies of the following:
    (a) Standard Form 424--Application for federal Assistance, 
including a DUNS number, an indication of whether you are delinquent on 
any federal debt, and compliance with Executive Order 12372 (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). Refer to the General 
Section of the SuperNOFA for a copy of this form and instructions on 
how to obtain a DUNS number.
    (b) Standard Form 424 Supplement, Survey on Ensuring Equal 
Opportunity for Applicants. Although the information on this form will 
not be considered in making funding decisions, it will assist the 
federal government in ensuring that all qualified applicants have an 
equal opportunity to compete for federal funding. Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (c) Form HUD-424B, Applicant Assurances and Certifications. Refer 
to the General Section of the SuperNOFA for a copy of this form.
    (d) Standard Form LLL--Disclosure of Lobbying Activities (if 
applicable). A disclosure of activities conducted to influence any 
federal transactions. Refer to the General Section of the SuperNOFA for 
a copy of this form.
    (e) Form HUD-2880, Applicant/Recipient Disclosure/Update Report, 
including Social Security and Employee Identification Numbers. A 
disclosure of assistance from other government sources received in 
connection with the project. Refer to the General Section of the 
SuperNOFA for a copy of this form.
    (f) Form HUD-2991, Certification of Consistency with the 
Consolidated Plan (Plan), 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 the program section of the SuperNOFA. The 
Plan regulations are published in 24 CFR part 91. Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (g) Form HUD-92041, Sponsor's Conflict of Interest Resolution. 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. Refer to Section IV.B.3. below 
for a copy of this Resolution.
    (h) Form HUD-92042, Sponsor's Resolution for Commitment to Project. 
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. Refer to Section IV.B.3.below for a copy of 
this Resolution.
    (i) Form HUD-2990, Certification of Consistency with the RC/EZ/EC 
Strategic Plan. A certification that the project is consistent with the 
RC/EZ/EC strategic plan, is located within the RC/EZ/EC, and serves RC/
EZ/EC residents. (This certification is not required if the project 
site(s) will not be located in an RC/EZ/EC.) Refer to the General 
Section of the SuperNOFA for a copy of this form.
    (j) Form HUD-2530, Previous Participation Certification. This form 
must be submitted for the Sponsor and all of the Officers and Directors 
of the Board of the Sponsor, including any Co-Sponsor, if applicable. 
This form provides HUD with a certified report of all your previous 
participation in HUD multifamily housing projects. The information is 
used to determine if you meet the standards established to ensure that 
all principal participants in HUD projects will honor their legal, 
financial and contractual obligations and are acceptable risks from the 
underwriting standpoint of an insurer, lender or governmental agency. 
Refer to Section IV.B.3. below for a copy of this form.
    (k) Form HUD-92043, Supportive Services Certification. A 
certification

[[Page 27775]]

from the appropriate state or local agency (identified in the 
application or obtained from the local HUD office), indicating whether 
the:
    (i) Provision of supportive services is well designed to serve the 
needs of persons with disabilities the housing is expected to serve;
    (ii) The provision of supportive services will enhance independent 
living success and promote the dignity of those who will access your 
proposed project;
    (iii) Supportive services will be available on a consistent, long-
term basis; and
    (iv) Proposed housing is consistent with state or local plans and 
policies addressing the housing needs of people with disabilities if 
the state or local agency will provide funding for the provision of 
supportive services, refer residents to the project or license the 
project. (The name, address, and telephone number of the appropriate 
agency can also be obtained from the appropriate local HUD Office.) 
Refer to Section IV.B.3. below for a copy of this form.
    (l) Form HUD-96010, Logic Model. In addition to the Project 
Development Timeline to be submitted in Exhibit 3(h) above, the 
information provided in the Logic Model will be used in rating your 
application for Rating Factor 5, Achieving Results and Program 
Evaluation. Refer to the General Section of the SuperNOFA for a copy of 
this form.
    (m) Form HUD-27300, Questionnaire for HUD's Initiative on Removal 
of Regulatory Barriers. In addition to the information you provide in 
response to Exhibit 3(l) above, this Questionnaire will be considered 
in the rating of your application for Rating Factor 3.j. Refer to the 
General Section of the SuperNOFA for a copy of this form.
    3. Required Forms. In addition to the required forms that are found 
in the General Section of the SuperNOFA as specified above, the 
following required forms (HUD-92016-CA, HUD-92041, HUD-92042, HUD-2530, 
and HUD-92043) are specific to the Section 811 program.
BILLING CODE 4210-32-P

[[Page 27776]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.436


[[Page 27777]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.437


[[Page 27778]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.438


[[Page 27779]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.439


[[Page 27780]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.440


[[Page 27781]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.441


[[Page 27782]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.442


[[Page 27783]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.443


[[Page 27784]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.444


[[Page 27785]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.445


[[Page 27786]]


BILLING CODE 4210-32-C

C. Submission Dates and Time

    You must submit an original and four copies of your application. 
Applications may be hand delivered, mailed or submitted by courier 
service. If mailed by the United States Postal Service, the original 
and four copies must be postmarked on or before midnight of July 7, 
2004, and received in the local HUD Office within 15 days of the due 
date. If hand delivered or submitted by courier service, the original 
and four copies must be received on or before the close of business for 
the appropriate office on the application due date. Please refer to the 
General Section of the SuperNOFA for further instructions regarding 
application mailing and receipt procedures.

D. Intergovernmental Review

    1. State Review. This funding opportunity is subject to Executive 
Order (EO) 12372, ``Intergovernmental Review of Federal Programs''. You 
must contact your State's Single Point of Contact (SPOC) to find out 
about and comply with the state's process under EO 12372. The names and 
addresses of the SPOCs are listed in the Office of Management and 
Budget's home page at http://www.whitehouse.gov/omb/grants/spoc.html. 
If required by the state, the submission to the state needs to occur 
before the Section 811 application due date. It is recommended that you 
provide the state with sufficient time to review the application. 
Therefore, it is important that you consult with the SPOC for state 
review time frames and take that into account when submitting the 
application.
    2. 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.

E. Funding Restrictions

    1. Ineligible Activities. Section 811 funds may not be used for any 
of the following:
    a. Supportive Services
    b. Nursing homes, infirmaries and medical facilities;
    c. Transitional housing;
    d. Manufactured housing;
    e. Intermediate care facilities;
    f. Community centers, with or without special components for use by 
persons with disabilities;
    g. Sheltered workshops and centers for persons with disabilities;
    h. Headquarters for organizations for persons with disabilities; 
and
    i. Refinancing of Sponsor-owned facilities without rehabilitation.

    Note: You may propose to rehabilitate an existing currently-
owned or leased structure that does not already serve persons with 
disabilities, except that the refinancing of any federally funded or 
assisted project or project insured or guaranteed by a federal 
agency is not permissible under this Section 811 NOFA. HUD does not 
consider it appropriate to utilize scarce program resources to 
refinance projects that have already received some form of 
assistance under a federal program or that currently house persons 
with disabilities. (For example, Section 202, Section 202/8 or 
Section 202/PAC direct loan projects cannot be refinanced with 
capital advances and project rental assistance.)

    2. Application Limits (Units/Projects). 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 or more than 10 
percent of the total units allocated to all local HUD offices. 
Affiliated entities (organizations that are branches or offshoots of a 
parent organization) that submit separate applications are considered a 
single entity for the purpose of these limits. In addition, no single 
application may propose more units in a given local HUD office than 
allocated for the Section 811 program in that local HUD office. If the 
proposed project will be an independent living project, your 
application must request at least five units for persons with 
disabilities, not necessarily in one structure. If your proposed 
project will be a group home, you must request at least two units for 
persons with disabilities per group home. If your proposed project will 
be a combination of an independent living project and a group home, 
your application must request at least the minimum number of units for 
each project type (i.e., 5 units for an independent living project and 
2 units for a group home).
    3. Development Cost Limits.
    a. The following development cost limits, adjusted by locality as 
described in Section IV.E.3.b. below must be used to determine the 
capital advance amount reserved for projects for persons with 
disabilities. You are responsible for any costs over and above the 
capital advance amount including costs associated with any excess 
amenities and design features.
    (1) For independent living projects and dwelling units in 
multifamily housing developments, condominium and cooperative housing: 
The capital advance amount for the project attributable to dwelling use 
(less the incremental development cost and the capitalized operating 
costs associated with any excess amenities and design features and 
other costs you must pay for) may not exceed:
Non-elevator Structures
    $42,980 per family unit without a bedroom;
    $49,557 per family unit with one bedroom;
    $59,766 per family unit with two bedrooms;
    $76,501 per family unit with three bedrooms;
    $85,225 per family unit with four bedrooms.
For Elevator Structures
    $45,232 per family unit without a bedroom;
    $51,849 per family unit with one bedroom;
    $63,049 per family unit with two bedrooms;
    $81,563 per family unit with three bedrooms;
    $89,531 per family unit with four bedrooms.
    (2) For group homes only (the development cost limits are capped by 
type of occupancy and number of person with disabilities):

                           Type of Disability
------------------------------------------------------------------------
                                                               Chronic
                 Residents                     Physical/        mental
                                             developmental     illness
------------------------------------------------------------------------
2.........................................         $172,303     $166,325
3.........................................          185,287      178,860
4.........................................          198,273      189,995
5.........................................          211,257      201,130
6.........................................          224,228      212,265
------------------------------------------------------------------------

    (3) 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. b. Increased development cost limits.
    (1) HUD may increase the development cost limits set forth 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

[[Page 27787]]

include covering additional costs to make dwelling units accessible 
through rehabilitation.

    Note: In applying the applicable high cost percentage, the local 
HUD office may use a percentage that is higher or lower than that 
which is assigned to the local HUD office if it is needed to provide 
a capital advance amount that is comparable to what it typically 
costs to develop a Section 811 project in that area.

    (2) 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 above, 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.
    (3) For group homes only, local HUD offices may approve increases 
in the development cost limits in Section IV.E.3.a.(2), 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 that 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.
    4. Commercial Facilities. A commercial facility for the benefit of 
the residents may be located and operated in the Section 811 project. 
However, the commercial facility cannot be funded with the use of 
Section 811 capital advance or PRAC funds. The maximum amount of space 
permitted for a commercial facility cannot exceed 10 percent of the 
total project cost. An exception to this 10 percent limitation is if 
the project involves acquisition or rehabilitation and the additional 
space was incorporated in the existing structure at the time the 
proposal was submitted to HUD. Commercial facilities are considered 
public accommodations under Title III of the Americans with 
Disabilities Act of 1990 (ADA), and thus must comply with all the 
accessibility requirements of the ADA.
    5. Expiration of Section 811 Funds. The Consolidated Appropriations 
Act, 2004, requires HUD to obligate all Section 811 funds appropriated 
for FY 2004 by September 30, 2006. Under 31 U.S.C. 1551, no funds can 
be disbursed from this account after September 30, 2011. Under Section 
811, obligation of funds occurs for both capital advances and project 
rental assistance upon fund reservation and acceptance. If all funds 
are not disbursed by HUD and expended by the project Owner by September 
30, 2011, the funds, even though obligated, will expire and no further 
disbursements can be made from this account. In submitting an 
application, you need to carefully consider whether your proposed 
project can be completed through final capital advance closing no later 
than September 30, 2011. Furthermore, all unexpended balances, 
including any remaining balance on PRAC contracts, will be cancelled as 
of October 1, 2011. Amounts needed to maintain PRAC payments for any 
remaining term on the affected contracts beyond that date will have to 
be funded from other current appropriations.

F. Other Submission Requirements

    Address for Submitting Applications. Submit an original and four 
copies of your completed application to the Director of the appropriate 
local HUD office listed in Appendix A below.

    Note: Do not use the listing in Attachment B to the General 
Section of the SuperNOFA.

V. Application Review Information

A. Criteria

    Policy Priorities. HUD encourages applicants to undertake specific 
activities that will assist the Department in implementing its policy 
priorities and which help the Department achieve its strategic goals 
for FY2004. Refer to the General Section of the SuperNOFA for 
information regarding HUD's Strategic Goals and Policy Priorities. For 
the Section 811 program, applicants who include work activities that 
specifically address the policy priorities of encouraging accessible 
design features by incorporating visitability standards and universal 
design, ending chronic homelessness and removing barriers to affordable 
housing will receive additional points. A Notice pertaining to the 
removal of barriers to affordable housing was published in the Federal 
Register and may be downloaded from the HUD Web site at http://www.hud.gov/grants/index.cfm.
    Rating Factors. 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 this 
program section of the SuperNOFA. The maximum number of points an 
application may receive under this program is 102. This includes two 
(2) RC/EZ/EC bonus points, as described in the General Section of the 
SuperNOFA and Section V.A.6 below.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Staff (30 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 
Exhibits 3(a), 3(b), 3(e), 5 and 6 of Section IV.B. 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.
    b. (10 points) The scope, extent, and quality of your experience in 
providing housing or related services to minority persons or families 
and your ties to the community at large and to the minority and 
disability communities in particular.
    (1) (5 points) The scope, extent, and quality of your experience in 
providing housing or related services to minority persons or families.
    (2) (5 points) The scope, extent, and quality of your ties to the 
community at large and to the minority and disability communities in 
particular.
    To earn the maximum number of points under subcriteria (b)(1) and 
(b)(2) above, you must describe both your relationships over time with 
the minority community and significant previous experience in providing 
housing and/or supportive services to minorities generally and to 
minority persons with disabilities, in particular. For the purpose of 
this competition, ``significant previous experience'' means that the 
previous housing assistance or related services to minorities, i.e., 
the percentage of minorities being provided housing or related services 
in your current developments, was equal to or greater than the 
percentage of minorities in the jurisdiction where the previous housing 
or services occurred.

[[Page 27788]]

    c. (-2 to -4 points) HUD will deduct (except if the delay was 
beyond your control) 2 points if a fund reservation you received under 
either the Section 811 program of Supportive Housing for Persons with 
Disabilities or the Section 202 program of Supportive Housing for the 
Elderly in FY1999 or later has been extended beyond 24 months, 3 points 
if beyond 36 points, and 4 points if beyond 48 months. Examples of 
delays beyond your control include, but are not limited to, initial 
closing delays that are: (1) directly attributable to HUD, (2) directly 
attributable to third party opposition, including litigation, and (3) 
due to a disaster, as declared by the President of the United States.
    d. (-1 point) HUD will deduct 1 point if amendment money was 
required as a result of the delay (except if the delay was beyond your 
control).
    e. (5 points) You have experience in developing integrated housing 
and/or the proposed project will be an integrated housing model (e.g., 
condominium units scattered within one or more buildings or non-
contiguous independent living units on scattered sites).
2. 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 Exhibits 4(a) and 4(b) of 
Section IV.B. of this program section of the SuperNOFA. HUD will 
consider the following in evaluating this factor:
    The extent of the need for the project in the area based on a 
determination by the local 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 local 
HUD office. The data should include a general assessment of the current 
conditions in the market for the type of housing proposed, an estimate 
of the demand for additional housing of the type proposed in the 
applicable housing market area; as well as, information on the numbers 
and types of existing comparable subsidized housing for persons with 
disabilities, current occupancy in such housing and recent market 
experience, 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.
    In evaluating this factor, HUD will rate your application as 
follows:
    a. (12 points) The extent of the need for the project in the area 
based on a determination by the local HUD office, taking into 
consideration the Sponsor's evidence of need in the area, as well as 
other economic, demographic and housing market data available to HUD.
    b. (3 points) The extent that a connection has been established 
between the project and the community's Consolidated Plan, 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.
3. Rating Factor 3: Soundness of Approach (40 Points)
    This factor addresses the quality and effectiveness of your 
proposal, the extent to which you involved persons with disabilities, 
including minority persons with disabilities, in the development of the 
application and will involve them in the development and operation of 
the project, the extent to which you coordinated your application with 
other organizations, including local independent living centers, with 
which you share common goals and objectives and are working toward 
meeting these objectives in a holistic and comprehensive manner, 
whether you consulted with Continuum of Care organizations to address 
efforts to assist persons with disabilities who are chronically 
homeless as defined in the General Section of the SuperNOFA, and 
whether you have undertaken activities that will remove barriers to 
affordable housing within the community where the proposed project will 
be located. There must be a clear relationship between the proposed 
design, 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 Exhibits 2(d), 3(f), 3(j), 3(k), 
3(l), 4(c)(i), 4(d)(iii), 4(d)(v), 4(d)(vi), 4(e)(i) and 5 of Section 
IV.B. of this program section of the SuperNOFA. In evaluating this 
factor, HUD will consider the following:
    a. (14 points) Site approvability--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, 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) 
and 24 CFR 891.320. Sites where amenities are accessible other than by 
project residence or private vehicle will be rated more favorably;
    b. (-1 point) One or more of your proposed sites is not 
permissively zoned for the intended use.
    c. (10 points) The suitability of the site from the standpoints of 
promoting a greater choice of housing opportunities for minorities and 
persons with disabilities and affirmatively furthering fair housing. In 
reviewing this criterion, HUD will assess whether the site meets the 
site and neighborhood standards at 24 CFR 891.125(b) and (c) by 
examining relevant data in your application or in the local HUD office. 
If appropriate, HUD may visit the site.
    (1) 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). The term 
``non-minority area'' is defined as one in which the minority 
population is lower than 10 percent; 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.
    (2) 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:
    (a) The percentage of persons of a particular racial or ethnic 
minority is at least 20 points higher than the

[[Page 27789]]

minority's or combination of minorities' percentage in that housing 
market as a whole;
    (b) 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
    (c) In the case of a metropolitan area, the neighborhood's total 
percentage of minority persons exceeds 50 percent of its population.
    d. (2 points) The extent to which the proposed design of the 
project (exterior and interior) and its placement in the neighborhood 
will meet the individual needs of the residents and will facilitate 
their integration into the surrounding community and promote their 
ability to live as independently as possible.
    e. (1 point) The proposed design incorporates visitability 
standards and universal design in the construction or rehabilitation of 
the project. Refer to the General Section of the SuperNOFA for further 
information.
    f. (5 points) At least 51 percent of your board members are persons 
with disabilities.
    g. (3 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.
    h. (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) that will not 
be directly participating in your project, but with which you share 
common goals and objectives and are working toward meeting these goals 
and objectives in a holistic and comprehensive manner.
    i. (1 point) You consulted with the Continuum of Care organizations 
in the community in which your proposed project will be located and 
have developed ways in which the proposed project will assist persons 
with disabilities who have been experiencing chronic homelessness 
become more productive members of society. Refer to the General Section 
of the SuperNOFA for further information.
    j. (2 points) You have undertaken activities that will remove 
barriers to affordable housing within the community in which the 
proposed project will be located, such as supporting state and local 
efforts to streamline processes and procedures, eliminate redundant 
requirements, statutes, regulations and codes which impede the 
availability of affordable housing.
4. Rating Factor 4: Leveraging Resources (5 Points)
    This factor addresses your ability to secure other funding sources, 
including funding sources to develop a mixed-finance project for 
additional units over and above the Section 811 units, if proposed, and 
community resources that 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 
Exhibits 3(a), 3(b), 3(c), 3(d), 3(e), 4(c)(iii) and 5(f) of Section 
IV.B. of this program section of the SuperNOFA.
    a. (1 point) The extent of local government support (including 
financial assistance, donation of land, provision of services, etc.) 
for the project.
    b. (2 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.
    c. (2 points) The extent of your plans to develop a mixed-finance 
project for additional units over and above the Section 811 units.
    (1) (1 point) The proposed project involves mixed-financing for 
additional units in which the non-Section 811 units represent 30 
percent or less of the Section 811 units in the project; or
    (2) (2 points) The proposed project involves mixed-financing for 
additional units in which the non-Section 811 units represent over 30 
percent of the Section 811 units in the project.

    Note: If you are proposing a mixed-finance project for 
additional units over and above the Section 811 units, your 
application may receive a maximum of 2 points under Rating Factor 
4(c). Your application will receive either 1 or 2 points under this 
Rating Factor, depending upon the number of non-Section 811 units to 
be developed in the project. If your project will not involve mixed-
financing for additional units, no points will be assigned for 
Rating Factor 4(c).

5. Rating Factor 5: Achieving Results and Program Evaluation (10 
Points)
    This factor reflects HUD's goal to embrace high standards of 
ethics, management and accountability and, as such, emphasizes HUD's 
commitment to ensuring that you keep the promises made in your 
application. This factor requires that you clearly identify the 
benefits or outcomes of your project and develop an evaluation plan to 
measure performance, which includes what you are going to measure, how 
you are going to measure it, and the steps you will have in place to 
make adjustments to your project development timeline should you not be 
able to achieve any of the major milestones. Completion of Exhibit 
8(l), Logic Model, will assist you in completing your response to this 
rating factor. This rating factor also addresses the extent to which 
your project will implement practical solutions that result in 
residents achieving independent living, economic empowerment, 
educational opportunities and improved living environments. Finally, 
this factor addresses the extent to which the long-term viability of 
your project will be sustained for the duration of the 40-year capital 
advance period. Submit information responding to this factor in 
accordance with Application Submission Requirements in Exhibits 3(g), 
3(h), 3(i), and 8(l) of Section IV.B. of this program section of the 
SuperNOFA.
    a. (5 points) The extent to which your project development timeline 
is indicative of your full understanding of the development process and 
will, therefore, result in the timely development of your project.
    b. (2 points) The extent to which your project will implement 
practical solutions that will result in assisting residents in 
achieving independent living, economic empowerment, educational 
opportunities, and improved living environments (e.g., activities that 
will improve computer access, literacy and employment opportunities).
    c. (3 points) The extent to which you demonstrated that your 
project will remain viable as housing with the availability of 
supportive services for very low income persons with disabilities for 
the 40-year capital advance period.
    6. Bonus Points (2 bonus points) Location of proposed site in an 
RC/EZ/EC area, as described in the General Section of the SuperNOFA. 
Submit the information responding to the bonus points in accordance 
with the Application Submission Requirements in Exhibit 8(i) of Section 
IV.B. of this program section of the SuperNOFA.

B. Reviews and Selection Process

    1. Review for Curable Deficiencies. You should ensure that your 
application is complete and that you have an original and four copies 
before submitting it to the appropriate local HUD office. Submitting 
fewer than an original and the required four copies is not a curable 
deficiency and will cause your application to be considered 
nonresponsive to the NOFA and

[[Page 27790]]

returned to you. 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 the application. Refer to the General Section of 
the SuperNOFA for additional information regarding procedures for 
corrections to deficient applications. The following is a list of the 
only deficiencies that will be considered curable in a Section 811 
application:
BILLING CODE 4210-32-P

[[Page 27791]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.446

BILLING CODE 4210-32-C
    The local 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

[[Page 27792]]

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. If an Exhibit 
or portion of an Exhibit listed above as curable is not discovered as 
missing until technical processing, HUD will provide you with 14 
calendar days in which to cure the deficiency.
    2. Rating. HUD will review and rate your application in accordance 
with the Reviews and Selection Process in the General Section of the 
SuperNOFA except as described in 3. Appeal Process below. Your 
application 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, including HUD 
approval of you, the Section 811 applicant, based on HUD's evaluation 
of the applicant's previous participation activities as reported on 
Form HUD-2530, Previous Participation Certification, it will be rated 
according to the rating factors in Section V.A. above.
    3. Appeal Process. 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 local HUD office. The local HUD 
office will make a determination on any appeals before making its 
selection recommendations.
    4. Ranking and Selection Procedures. Applications that have a total 
base score of 75 points or more (without the addition of RC/EC/EZ bonus 
points) and meet all of the applicable threshold requirements in the 
General Section of the SuperNOFA and this program NOFA will be eligible 
for selection and will be placed in rank order in two categories; 
Category A and Category B. Category A will consist of approvable 
applications that contain acceptable evidence of control of all 
proposed sites and all proposed sites have been found approvable. 
Category B will consist of the following approvable applications: (a) 
Those that were submitted with identified sites; (b) those that were 
submitted with evidence of site control where the evidence and/or any 
of the proposed sites were found unapprovable provided you indicate 
your willingness to locate another site(s) should the proposed site(s) 
be found unapprovable; and (c) those that were submitted with a 
combination of sites under control and identified sites. Each HUD 
Multifamily Program Center will select applications, after adding any 
bonus points for RC/EC/EZ, based on rank order, from Category A first 
that most closely approximates the capital advance authority available 
in its allocation. If capital advance authority remains after selecting 
all approvable applications from Category A, each HUD Multifamily 
Program Center shall then select applications, in rank order, from 
Category B that most closely approximates the capital advance authority 
remaining in its allocation. HUD Multifamily Program Centers will not 
skip over any applications in order to select one based on the funds 
remaining. After making the initial selections from the applicable 
category, however, HUD Multifamily Program Centers may use any residual 
funds to select the next rank-ordered application in that category 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 the HUD Multifamily Program Centers have funded all possible 
projects based on the process above, residual funds from all HUD 
Multifamily Program Centers within each Multifamily Hub will be 
combined. First, these funds will be used to restore units to projects 
reduced by HUD Multifamily Program Centers based on the above 
instructions. Second, additional approvable applications within each 
Multifamily Hub will be selected in rank order, first from Category A, 
and if sufficient funds remain, from Category B, with only one 
application selected per HUD Multifamily Program Center. More than one 
application may be selected per HUD Multifamily Program Center if there 
are no approvable applications in other HUD Multifamily Program Centers 
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, the Multifamily Hub 
may use any remaining residual funds to select the next rank-ordered 
application in the applicable category 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 the Multifamily Hub selection process is 
completed will be returned to Headquarters. HUD Headquarters will use 
these residual funds first to fund the Mental Illness Recovery Center, 
Inc. and MHA Clarendon County, in the jurisdiction of the Columbia 
Multifamily Program Center, two FY2003 applications that were not 
funded due to HUD error. Second, HUD Headquarters will use the residual 
funds to restore units to projects reduced by HUD Multifamily Program 
Center or Multifamily Hub as a result of the instructions for using 
their residual funds. Third, HUD Headquarters will use these funds for 
selecting applications based on HUD Program Centers' rankings, 
beginning with the highest rated application nationwide in Category A. 
Only one application will be selected per HUD Multifamily Program 
Center in Category A from the national residual amount, excluding the 
Columbia Multifamily Program Center, already funded. If there are no 
approvable applications in Category A in other HUD Multifamily Program 
Centers, then the next highest rated application in Category B in 
another HUD Multifamily Program Center will be selected, excluding the 
Columbia Multifamily Program Center, already funded. This process will 
begin again with the selection of the next highest rated application in 
Category A nationwide. Once each HUD Multifamily Program Center that 
has approvable applications in Category A receives another selection 
then the next highest rated application in Category B will be selected. 
This process will continue until all approvable applications are 
selected using the available remaining funds. Headquarters may skip 
over a higher rated application in order to use as much of the 
available remaining funds as possible.
    5. HUD Error. In the event HUD commits an error that, when 
corrected, would have resulted in selection of an otherwise eligible 
applicant during the funding round of the SuperNOFA, HUD may select 
that applicant when sufficient funds become available.

VI. Award Administration Information

A. Award Notices

    1. Agreement Letter. If you are selected to receive a Section 811 
fund reservation, you will receive an Agreement Letter that stipulates 
the terms and conditions for the Section 811 fund reservation award as 
well as the submission requirements following the fund reservation 
award. The duration of the fund reservation award for the capital 
advance is 18 months from the date of issuance of the fund reservation.

[[Page 27793]]

    Immediately upon your acceptance of the Agreement Letter, you are 
expected to begin work towards the submission of a Firm Commitment 
Application, which is the next application submission stage. You are 
required to submit a Firm Commitment Application to the local HUD 
Office within 180 days from the date of the Agreement Letter. Initial 
closing of the capital advance and start of construction of the project 
are expected to be accomplished within the duration of the fund 
reservation award. Final closing of the capital advance is expected to 
occur no later than six months after completion of project 
construction.
    2. Non-selection Letter. If your application is approvable but 
unfunded due to insufficient funds or receives a rating that is below 
the minimum threshold score established for funding eligibility, you 
will receive a letter to this effect.
    3. Debriefing. Refer to the General Section of the SuperNOFA for 
further information regarding debriefings except that the request must 
be made to the Director of Multifamily Housing in the appropriate local 
HUD office.

B. Administrative and National Policy Requirements

    1. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses. Although the 
Section 811 program is not subject to the provisions of 24 CFR 85.36(e) 
as described in the corresponding paragraph in the General Section of 
the SuperNOFA, you are required to comply with Executive Order 12432, 
Minority Business Enterprise Development and Executive Order 11625, 
Prescribing Additional Arrangements for Developing and Coordinating a 
National Program for Minority Business Enterprise as they relate to the 
encouragement of HUD grantees to utilize minority business enterprises.
    2. Fair Housing Requirements. Refer to the General Section of the 
SuperNOFA for information regarding fair housing requirements.
    3. 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, 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 hereby 
certifying that you will strongly encourage your general contractor and 
subcontractors to participate in local apprenticeship programs or 
training programs registered or certified by the Department of Labor's 
Office of Apprenticeship, Training, Employer and Labor Services or 
recognized State Apprenticeship Agency.
    4. Design and Cost Standards. You must comply 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, where applicable, the 
Americans with Disabilities Act of 1990.
    HUD has adopted a wide-ranging energy action plan for improving 
energy efficiency in all program areas. As a first step in implementing 
the energy plan, HUD, the Environmental Protection Agency (EPA) and the 
Department of Energy (DoE) have signed a joint partnership to promote 
energy efficiency in HUD's affordable housing efforts and programs. The 
purpose of the Energy Star partnership is to promote energy efficiency 
of the affordable housing stock, but also to help protect the 
environment. Although it is not a requirement, you are nonetheless 
encouraged to promote energy efficiency in design and operations. You 
are especially urged to purchase and use Energy Star-labeled products. 
Program activities can include developing Energy Star promotional and 
information materials, outreach to low- and moderate-income renters on 
the benefits and savings when using Energy Star products and 
appliances, and promoting the designation of community buildings and 
homes as Energy Star compliant. For further information about Energy 
Star, see http://www.energystar.gov or call 888-STAR-YES (1-888-782-
7937) or for the hearing-impaired, 888-588-9920 TTY.
    5. Acquisition and Relocation. You must comply with 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)) (URA), 
which covers the acquisition of sites, with or without existing 
structures, and with 24 CFR 8.4(b)(5) of the Section 504 regulations 
which prohibits discrimination based on disability in determining the 
site or location of a federally-assisted facility. 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 in writing: 
(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. Evidence of compliance with 
this advance notice requirement must be included in Exhibit 4(d)(iv) of 
your application.
    6. Formation of Owner Corporation. You must form an ``Owner'' 
entity (in accordance with 24 CFR 891.305) after issuance of the 
capital advance fund reservation and must cause the Owner entity to 
file a request for determination of eligibility and a request for 
capital advance, and must provide sufficient resources to the Owner 
entity to ensure the development and long-term operation of the 
project, including capitalizing the Owner entity at firm commitment 
processing in an amount sufficient to meet its obligations in 
connection with the project over and above the capital advance amount.
    7. Davis-Bacon. You must comply with the Davis-Bacon Requirements 
(42 U.S.C. 8013(j)6) and the Contract Work Hours and Safety Standards 
Act.
    8. Flood Disaster Protection Act of 1973 and Coastal Barriers 
Resources Act. You must comply with the requirements under the Flood 
Disaster Protection Act of 1973 (42 U.S.C. 4001-4128) and the Coastal 
Barrier Resources Act (16 U.S.C. 3601).

C. Reporting

    1. The Regulatory Agreement (Form HUD-92466-CA) requires the Owner 
of the Section 811 project to submit an annual financial statement for 
the project. This financial statement must be audited by an Independent 
Public Accountant who is a Certified Public Accountant or other person 
accepted by HUD and filed electronically with HUD's Real Estate 
Assessment Center (REAC) through the Financial Assessment Subsystem for 
Multifamily Housing (MF-FASS). The submission of annual financial 
statements is required

[[Page 27794]]

throughout the 40-year term of the mortgage.
    2. HUD requires that funded recipients collect racial and ethnic 
beneficiary data. It has adopted the Office of Management and Budget's 
Standards for the Collection of Racial and Ethnic Data. In view of 
these requirements, you should use Form HUD-27061, Racial and Ethnic 
Data Reporting Form (and instructions for its use), found at: http://
www.hudclips.org, a comparable program form, or a comparable electronic 
data system for this purpose.

VII. Agency Contact(s)

    For Technical Assistance. You may contact the appropriate local HUD 
office, or Gail Williamson at HUD Headquarters at (202) 708-3000 (this 
is not a toll-free number), or access the Internet at: http://www.hud.gov/grants/index.cfm. Persons with hearing and speech 
impairments may access the above number via TTY by calling the Federal 
Relay Service at 800-877-8339 (This is a toll-free number).

VIII. Other Information

A. Field Office Workshop

    HUD encourages minority organizations and grassroots organizations 
(e.g., civic organizations, faith-communities and grassroots faith-
based and other community-based 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, 
contamination identification and remediation, historic preservation, 
floodplain management, other environmental requirements, 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 local 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 local 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 local 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.

B. Satellite Broadcast

    HUD will hold an information broadcast via satellite for potential 
applicants to learn more about the program and preparation of the 
application. It is strongly recommended that potential applicants, 
especially those who may be applying for Section 811 funding for the 
first time, tune in to this broadcast, if at all possible. Copies of 
the broadcast tapes are also available from the NOFA Information 
Center. For more information about the date and time of the broadcast, 
you should consult the HUD Web site at: http://www.hud.gov/grants/index.cfm.

C. Related Programs

    Section 811 funding for tenant-based assistance is administered by 
public housing agencies and nonprofit organizations through the 
Mainstream Housing Opportunities for Persons with Disabilities Program.

D. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2502-0462. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB number. Public reporting 
burden for the collection of information is estimated to average 35.92 
hours per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, semi-annual reports and final 
report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits derived.

Appendix A--Local HUD Offices

Notes:

    1. Your application must be sent to the appropriate local HUD 
Office having jurisdiction over the locality in which your project 
will be located. If you send your application to the wrong local HUD 
Office, it will be rejected. Therefore, if you are uncertain as to 
which local HUD Office to submit your application, you are 
encouraged to contact the local HUD Office below that is closest to 
your proposed project location(s) to ascertain the Office's 
jurisdiction and ensure that you submit your application to the 
correct local HUD 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.
    5. Applications for projects proposed to be located within the 
jurisdiction of the Grand Rapids, Michigan Office must be submitted 
to the Detroit, Michigan Office.
    6. Applications for projects proposed to be located within the 
jurisdiction of the Boston, Massachusetts Office must be submitted 
to the Manchester, New Hampshire Office.
BILLING CODE 4210-32-P

[[Page 27795]]

[GRAPHIC] [TIFF OMITTED] TN14MY04.447


[[Page 27796]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.448


[[Page 27797]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.449


[[Page 27798]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.450


[[Page 27799]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.451


[[Page 27800]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.452


[[Page 27801]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.453


[[Page 27802]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.454


[[Page 27803]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.455


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27805]]


[GRAPHIC] [TIFF OMITTED] TN14MY04.456


  Federal Register / Vol. 69, No. 94 / Friday, May 14, 2004 / Notices  

[[Page 27807]]



Mainstream Housing Opportunities for Persons with Disabilities 
(Mainstream Program)

Overview Information

    A. Federal Agency Name: U.S. Department of Housing and Urban 
Development, Office of Public and Indian Housing, Office of Public 
Housing and Voucher Programs.
    B. Funding Opportunity Title: Mainstream Housing Opportunities for 
Persons With Disabilities (Mainstream Program).
    C. Announcement Type: Initial announcement.
    D. Funding Opportunity Number: The Federal Register number for this 
NOFA is FR-4900-N-21. The OMB approval number is 2577-0169.
    E. Catalog of Federal Domestic Assistance (CFDA) Number: 14.871, 
Section 8 Housing Choice Vouchers.
    F. Dates: Application Deadline: Applications must be submitted on 
or before July 16, 2004. Please see the General Section of the 
SuperNOFA for application submission, delivery, and timely receipt 
requirements.
    G. Optional, Additional Overview Content Information: The purpose 
of the Mainstream Program is to provide vouchers under the Housing 
Choice Voucher Program to enable persons with disabilities (elderly and 
non-elderly) to access affordable private housing. Public housing 
agencies (PHA) and nonprofit organizations that provide services to the 
disabled are eligible to apply. Those PHAs and nonprofits interested in 
applying for the approximately $11.8 million in five-year budget 
authority (anticipated to fund approximately 320 vouchers) under this 
funding announcement should carefully review the General Section of the 
SuperNOFA and the detailed information contained in this Mainstream 
Program funding announcement. The available funding is derived from FY 
2004 Section 811 funding.

Full Text of Announcement

I. Funding Opportunity Description

    A. Authority and Purpose. Authority for this program is found in 
the Consolidated Appropriations Act, FY 2004 (Pub. L. 108-199, approved 
January 22, 2004). The Secretary has established a Mainstream Housing 
Opportunities for Persons with Disabilities Program (Mainstream 
Program) to provide vouchers to enable persons with disabilities to 
access affordable private housing of their choice. The Mainstream 
Program will assist PHAs and nonprofit 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. 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 I.B.1. 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 heretofore having served 
only certain types of disabled persons. The Housing Choice Voucher 
Program regulations provide at 24 CFR 982.207(b)(3) 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 organizations that receive funding under this 
announcement; as such organizations must comply with the regulatory 
requirements applicable to the Housing Choice Voucher Program. Because 
Mainstream vouchers are targeted for use by disabled persons, each 
successful applicant will need to revise the administrative plan for 
its voucher program to clearly indicate Mainstream vouchers will be 
issued only to disabled persons. Preferences within the disability 
category; e.g., disabled veterans, etc., may be used as long as the 
result is not to give a preference to the admission of persons with any 
specific type of disability.
    B. Definitions. The following definitions apply to the 
approximately $11.8 million in five-year budget authority available 
under this funding announcement.
    1. Disabled Family. Disabled family means a family whose head, 
spouse, or sole member is a person with disabilities. It may include 
two or more persons with disabilities living together, or one or more 
persons with disabilities living with one or more live-in aides.
    2. Person With Disabilities.
    a. Means a person who:
    (1) Has a disability as defined in 42 U.S.C. 423;
    (2) Is determined, pursuant to HUD regulations, to have a physical, 
mental or emotional impairment that:
    (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 the ability to live independently 
could be improved by more suitable housing conditions; or
    (3) Has a developmental disability as defined in 42 U.S.C. 6001.
    b. Does not exclude persons who have the disease of acquired 
immunodeficiency syndrome or any conditions arising from the etiologic 
agent for acquired immunodeficiency syndrome;
    c. For purposes of qualifying for low-income housing, does not 
include a person whose disability is based solely on any drug or 
alcohol dependence.

    Note: HUD is exercising its waiver authority under the ``Housing 
for Persons With Disabilities'' section of the Consolidated 
Appropriations Act, 2004, to use the definition of ``person with 
disabilities'' found at section 3(b)(3)(E) of the U.S. Housing Act 
of 1937, as implemented in the HUD regulations for the Housing 
Choice Voucher Program at 24 CFR 5.403, in lieu of the definition of 
``person with disabilities'' found at 24 CFR 811 (k)(2).

    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.

II. Award Information

A. Available Funds

    1. Available Funding for Mainstream Program. Approximately $11.8 
million in five-year funding is available for approximately 320 
vouchers. This allocation is consistent with the Consolidated 
Appropriations Act, FY 2004 (Pub. L. 108-199, approved January 22, 
2004), which provides that the Secretary of HUD may designate up to 25 
percent of the amounts appropriated for supportive housing for persons 
with disabilities, excluding amounts for voucher renewals, under 
section 811 of the Cranston-Gonzalez National Affordable Housing Act 
(NAHA) (42 U.S.C. 12701 et seq.), for tenant-based assistance. All 
future references in this funding announcement to five-year budget 
authority are based upon this funding source. The five-year budget 
authority made available to applicants under this Mainstream Program 
funding announcement does not exceed 25

[[Page 27808]]

percent of the $250,750,000 million made available for the Section 811 
Program under the FY 2004 Consolidated Appropriations Act, excluding 
amounts for voucher renewals. All of the approximately $11.8 million in 
Mainstream funding is for use in the housing of persons with 
disabilities.
    2. Funding for the Section 811 Program. The Section 811 Program of 
Supportive Housing for Persons With Disabilities, located elsewhere in 
the SuperNOFA, provides capital advances and project rental assistance 
in FY 2004. 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 14 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.

B. Housing Choice Voucher Funding

    1. Determination of Funding Amount for the Applicant's Requested 
Number of Vouchers. HUD's Housing Voucher Financial Management Division 
will determine the amount of funding that an applicant will be awarded 
under this announcement based upon an actual annual per unit cost 
{except for Moving to Work (MTW) agencies in which the per unit cost 
will be calculated in accordance with the agency's MTW Agreement for 
MTW units{time} , using the following two-step process:
    a. HUD will extract the total expenditures for the PHA's housing 
choice voucher program and the unit months leased information, as 
reported on the PHA's most recent year-end statement, Form HUD-52681, 
or as subsequently submitted to HUD by the PHA on Form HUD-52681-B, 
Voucher for Payment of Annual Contributions and Operating Statement. 
HUD will divide the total expenditures for the PHA's housing choice 
voucher program 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.

III. Eligibility Information

    A. Eligible Applicants. PHAs and nonprofit organizations that 
provide services to the disabled (as defined in Section I.B.1. of this 
announcement) are eligible applicants for the five-year budget 
authority funding available under this funding announcement. PHAs with 
less than 300 vouchers under an annual contributions contract (ACC), 
nonprofit organizations not previously funded under the Mainstream 
Program, as well as PHAs or nonprofit organizations that fall into any 
of the categories in Section III. C. 1. of this announcement, are 
ineligible to have an application funded under this announcement. 
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, (25 
U.S.C. 4101 et seq.) does not allow HUD to enter into new housing 
choice voucher annual contributions contracts (ACC) with IHAs after 
September 30, 1997.
    B. Cost Sharing or Matching. None required.

C. Other

    1. Program Related Threshold Requirements. An applicant must be 
eligible under the following threshold requirements at the time of the 
application due date, as well as at such subsequent time of HUD's 
selection of awardees. The Grants Management Center will use 
information available within HUD's information systems, as well as 
coordinate with HUD's local HUD Field Offices, in assessing whether 
applicants fall into any of the threshold categories. Applications from 
PHAs or nonprofit organizations that fall into any of the following 
threshold categories will not be processed:
    a. PHAs or nonprofit organizations that do not meet the fair 
housing and civil rights compliance threshold requirements of Sections 
III.C 2.c. and Section III.C 4 a. and b. of the General Section of the 
SuperNOFA.
    b. The applicant is designated as troubled by HUD under SEMAP, or 
has major program management findings in an Inspector General audit for 
its voucher program that are unresolved, or has other significant 
program compliance problems that are not resolved. Major program 
management findings, or significant program compliance problems, are 
those that would cast doubt on the capacity of the applicant to 
effectively administer any new housing choice voucher funding in 
accordance with applicable HUD regulatory and statutory requirements. 
The only exception to this category is if the applicant has been 
identified under the policy established in Section III.C.2.(c.) of this 
announcement and the applicant makes application with a designated 
contract administrator.
    c. The PHA or nonprofit organization has failed to achieve a lease-
up rate of 97 percent for its voucher units under contract. The lease-
up percentage for a PHA's or nonprofit organization's voucher program 
will be calculated by HUD Headquarters' Housing Voucher Financial 
Management Division based upon the lease-up rate information submitted 
electronically to HUD on a quarterly basis for the most recent 12-month 
period (prior to the Mainstream application due date) on Form HUD-
52681-B, Voucher for Payment of Annual Contributions and Operating 
Statement. The lease-up rate will be determined by HUD comparing unit 
months leased to unit months available for the period. (In the absence 
of current and complete PHA reporting on the Form HUD-52681-B, the 
leasing level reported by the PHA on the last HUD-approved Year End 
Settlement Statement, Form HUD-52681, will be used by HUD to determine 
the PHA's voucher lease-up percentage.) (Note: Lease-up rates of 96.5 
percent but less than 97 percent shall be rounded up to 97 percent.) 
See Section IV.B.1.f. of this funding announcement which addresses the 
certification to be submitted by MTW agencies in connection with the 97 
percent lease-up requirement referenced above.
    d. The PHA or nonprofit organization is involved in litigation and 
HUD determines that the litigation may seriously impede the ability of 
the applicant to administer the vouchers.
    e. An application that does not comply with the requirements of 24 
CFR 982.103 and this program section after the expiration of the seven-
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 ``Other Submission 
Requirements'' in Section IV.F. of this funding announcement.

[[Page 27809]]

    h. The applicant has been debarred or otherwise disqualified from 
providing assistance under the program.
    i. The PHA did not have its PHA plans approved by HUD for the 
FY2002 plan cycle on the application due date for this funding 
announcement. (This category of ineligibility does not apply to 
nonprofit organizations whose housing choice voucher program is based 
solely upon previously approved housing choice vouchers under the 
Mainstream Program.)
    j. The applicant does not have a financial management system that 
meets Federal standards. See Section III.C.2.f. of the General Section 
of the SuperNOFA regarding those applicants that may be subject to 
HUD's arranging for a pre-award survey of an applicant's financial 
management system.
    k. The PHA (does not apply to nonprofit applicants) does not have a 
HUD-approved designated housing plan, as of the application due date 
under this funding announcement.
2. PHA Program Requirements
    a. 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 an 
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 of 20 vouchers the PHA is 
eligible to apply for under Section IV.E. 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.
    b. PHAs are encouraged to involve nonprofit organizations that 
provide services to disabled families, as defined in Section III.C.3. 
of this announcement, in the administration of the Mainstream Program's 
vouchers. In the past, such organizations have frequently demonstrated 
a capacity to assist disabled families, as well as have an in-depth 
knowledge of the disability community.
    (1) A nonprofit organization 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.
    (2) Such contractual arrangements must, however, ensure equal 
opportunity among the wide variety of disabled populations in the PHA's 
service area.
    c. In some cases an applicant currently administering the housing 
choice voucher program has, at the time of publication of the 
SuperNOFA, been designated by HUD as troubled under the Section 8 
Management Assessment Program (SEMAP), has major program management 
findings from Inspector General audits that are unresolved, or has 
other significant program compliance problems. HUD will not accept an 
application from such an applicant as a contract administrator if, on 
the application due date, the troubled designation under SEMAP has not 
been removed by HUD, and the findings or other significant program 
compliance problems are not resolved. If the applicant wants to apply 
for funding under this announcement, it must submit an application that 
designates another contractor that is acceptable to HUD. The 
application must include an agreement by the other contractor to 
administer the new funding increment on behalf of the applicant, and 
(in the instance of an applicant with unresolved major program 
management findings or other significant program compliance problems) a 
statement that outlines the steps the applicant is taking to resolve 
the program findings or 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 and nonprofit organizations that have been designated by HUD 
as troubled under SEMAP, and those PHAs and nonprofit organizations 
with unresolved major program management findings or other significant 
program compliance problems 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 Director of the Grants 
Management Center (GMC). The applicant may appeal the decision, in 
writing, if HUD has mistakenly classified the applicant as having 
unresolved major program findings or other significant program 
compliance problems. The applicant may not appeal its designation as 
troubled under SEMAP. Any appeal with respect to unresolved major 
program management findings or other significant program compliance 
problems must be accompanied by conclusive evidence of HUD's error 
(i.e., documentation showing that the finding has been cleared or the 
program compliance problem has been resolved) 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 the applicant's written appeal and the 
Field Office's written response to the appeal. Copies of all letters of 
ineligibility and matters that relate to PHA appeals referenced in this 
paragraph must be submitted to the GMC by the Field Office so as to be 
received by the GMC no later than 10 days after the application 
deadline date. Major program management findings, or significant 
program compliance problems, are those that would cast doubt on the 
capacity of the applicant to effectively administer any new housing 
choice voucher funding in accordance with applicable HUD regulatory and 
statutory requirements.

    (Note: If any additional PHAs or nonprofit disability 
organizations fall into the above category prior to HUD's 
announcement of awards under this NOFA, but subsequent to the local 
HUD Field Office's notification of the GMC addressed above, the 
Field Office shall immediately notify the GMC of the applicant's 
name and the category into which the applicant falls, i.e., 
designated as troubled under SEMAP, major unresolved OIG management 
findings, or other significant program compliance problems. As 
indicated in Section III.C.1. of this NOFA, an applicant must be 
eligible for funding at the time of the application due date, as 
well as at such subsequent time of HUD's selection of awardees. No 
PHA appeals, based upon Field Office letters of ineligibility issued 
after the application deadline date, shall be considered for 
purposes of eligibility for funding under this funding 
announcement.)

    3. Nonprofit Organization Program Requirements. A nonprofit 
organization may submit only one application under this announcement. 
For purposes of the Mainstream Program, a nonprofit organization shall 
be defined as an 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, under section 501(c)(3) of 
the Internal Revenue Code, from the U.S. Internal Revenue Service.
    a. The nonprofit entity must:
    (1) Have a voluntary board;
    (2) Be authorized by its charter or State law to enter into a 
contract with the Federal Government to provide

[[Page 27810]]

housing assistance to persons with disabilities;
    (3) 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;
    (4) Practice nondiscrimination in the provision of assistance; and
    (5) Provide services to the disabled as part of its ongoing 
activities and responsibilities.
    b. Nonprofit 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 organizations may also 
wish to contact regional (multi-county), or statewide PHAs.
    4. 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, may receive a voucher awarded 
under the Mainstream Program. Applicants with disabilities must be 
selected from the PHA's or nonprofit organization's housing choice 
voucher waiting list. Additional information on those families and 
individuals eligible to receive a voucher is located at the following 
HUD Web site: http://www.hud.gov/offices/pih/programs/hcv.

IV. Application and Submission Information

A. Addresses to Request Application Package

    1. Web Site. A copy of this funding announcement for the Mainstream 
Program, the forms to be submitted with the application, and reference 
materials for use in preparing an application are located at, and may 
be downloaded from, the following Web site at: http://www.grants.gov/Find.
    2. Application Kit. 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.
    3. Further Information. You may request general information, copies 
of the General Section and Program Sections of the SuperNOFA from the 
NOFA Information Center (800-HUD-8929) or {800-HUD-2209 (TTY){time}  
between the hours of 9 a.m. and 8 p.m. (eastern time) Monday through 
Friday, except on Federal Holidays. When requesting information, please 
refer to the name of the program you are interested in. 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 copies of the SuperNOFA can be made 
immediately following publication of the SuperNOFA. The NOFA 
Information Center opens for business simultaneously with the 
publication of the SuperNOFA. You can also download application 
information for the SuperNOFA through the http://www.grants.gov/FIND 
Web site.

B. Content and Form of Application Submission

    1. Content of Application. Applicants are requested to read this 
section very carefully, as it addresses the specific information that 
must be in the applications submitted to HUD under this NOFA. 
Applications failing to provide this information will be determined 
either ineligible for processing, or in the instance of an application 
having a curable (correctable) technical deficiency (see the General 
Section of the SuperNOFA), the applicant will be requested to submit 
additional information. Those application submission items identified 
below in this Section IV.B.1. as ``not curable'' shall mean that any 
item, e.g., Mainstream Program Operating Plan, for which the applicant 
does not provide all the requested information shall result in the 
application being determined ineligible for processing. The turnaround 
times established by HUD in the instance of curable technical 
deficiencies are relatively brief, so the initial submission of a 
carefully prepared and complete application is extremely important. 
Applicants should also carefully review Sections III.C.1.(b) and (c). 
of this funding announcement to determine if their SEMAP designation, 
OIG status, existence of significant program compliance problems, or 
voucher lease-up rate will require the submission of additional 
information with their application.
    a. Form HUD-52515. All applicants must complete and submit Form 
HUD-52515, Funding Application, for the Housing Choice Voucher Program. 
Applicants are required to enter their housing authority code number 
(for example, CT002), telephone number, facsimile number, and 
electronic mail address at the top of the form where they are also to 
enter their name and mailing address. Section C of the form should be 
left blank. Each applicant is required to submit signed copies of 
Assurances and Certifications. The standard Assurances and 
Certifications required to be submitted by each applicant are on the 
Form HUD-52515 which includes the Equal Opportunity Certification, and 
the Certification Regarding Lobbying. The form must be completed in its 
entirety, with the exception of Section C. A copy of Form HUD-52515 is 
included in the forms found in the General Section of the SuperNOFA. 
Copies of the form may also be downloaded from the grants.gov Web site 
at: http://www.grants.gov/FIND.
    The Form HUD-52515 must be signed and dated by the applicant. The 
signature and date shall signify that the information provided on the 
form is complete and accurate, and that all other information provided 
by the applicant in its application (including any certifications) are 
complete and accurate.
    b. Letter of Intent and Narrative. The applicant must state in its 
cover letter to the application whether it is a PHA or a nonprofit 
organization applying for funding. The applicant also must 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 an amount smaller than the number of 
vouchers requested. The maximum number of vouchers that an applicant 
may apply for under this announcement is limited to 20, and the minimum 
number of vouchers an applicant may apply for is 10.
    The letter of intent and narrative should also include information 
addressing how the applicant meets the selection criteria in Section 
V.A. of this NOFA. Failure of the applicant to provide information in 
connection with selection criterion 1 shall result in the GMC scoring 
the applicant solely on the basis of information HUD already has on-
hand. An applicant (with the exception of a Block Grant MTW PHA) is not 
required to submit any information with its application relative to 
selection criterion 2, as HUD will determine the applicant's voucher 
lease-up rate based upon information already available within HUD's 
data systems. Failure of the applicant to provide the information 
called for under selection criteria 3, 4, 5 and 6 shall be considered 
not curable, but shall not make the application ineligible for 
processing. Failure to provide the information shall simply mean that 
the applicant is ineligible for the points under the

[[Page 27811]]

categories for which it failed to provide the information requested in 
this funding announcement.
    c. Description of Need for Mainstream Program Vouchers. The PHA's 
and nonprofit 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 would equal or exceed the requested number of vouchers. 
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 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).{time}  Failure of the applicant to provide the 
information required under this section (c) shall be determined not 
curable and the application deemed ineligible for processing.
    d. Mainstream Program Operating Plan. The application must include 
a plan for operating a program to serve eligible disabled families. 
This Mainstream Program Operating Plan must, at a minimum, address the 
following:
    (1) How the applicant will carry out its responsibilities under 24 
CFR 8.28 to assist recipients in locating units with needed 
accessibility features;
    (2) 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; and
    (3) How the applicant will use a nonprofit organization or PHA 
under a contract to administer the Mainstream Program vouchers or to 
otherwise provide services. (This area need be addressed only if the 
applicant intends to partner with a PHA or nonprofit organization as 
part of its efforts to serve eligible disabled families receiving 
Mainstream vouchers.)
    Failure of the applicant to provide the information required under 
this section (d) shall be determined not curable and the application 
deemed ineligible for processing.
    e. Statement Regarding the Steps the PHA and Nonprofit Organization 
Will Take to Affirmatively Further Fair Housing. The statement must 
include specific steps to address the categories outlined in section 
III. C. 4. b. in the General Section of the HUD SuperNOFA.
    f. Block Grant Moving to Work (MTW) PHA Certification. Block Grant 
MTW agencies must submit a certification with their application 
certifying to HUD that their voucher program funds have been used to 
meet the commitments of their MTW Agreement. Block Grant MTW PHAs that 
cannot rightfully submit such a certification shall submit a statement 
with their application explaining specifically why such a certification 
would not be accurate. (MTW PHAs in this latter category will have the 
number of Mainstream vouchers they are requesting evaluated by HUD on a 
case-by-case basis.)
    Failure of a Block Grant MTW PHA to provide the certification or 
statement required under this section (f) shall be determined not 
curable and the application deemed ineligible for processing.
    g. Form HUD-2993. All applicants must complete and submit Form HUD-
2993, Acknowledgement of Application Receipt. In addition to the 
applicant's entering its name and address on the form, the full title 
of the program under which the applicant is seeking funding must also 
be entered. This form is located in the General Section of the 
SuperNOFA and is also available at the following Web site: http://www.grants.gov/Find.
    h. Identification of Primary Market Area. Each applicant must 
specify in the application its primary market area, i.e., the 
geographic area in which it is legally authorized to operate and where 
the vouchers will be issued. This information may be different from 
that entered by such an applicant on the Form HUD-52515, as the form 
calls for the applicant to identify its ``legal area of operation'' 
which may be far more geographically expansive than the specific city, 
county, or area within a State where a PHA (particularly a regional or 
State PHA), or nonprofit organization intends to issue the vouchers. 
This information is critical because, as indicated in Section V.A2.a. 
of this funding announcement, the geographic area in which the vouchers 
are intended to be issued and in which the applicant is legally 
authorized to operate a Housing Choice Voucher Program will be used by 
the applicant (and subsequently by the GMC during the review of 
applications) to determine the percentage of the nation's housing needs 
for disabled persons at or below the poverty level that are within the 
applicant's primary market area. For example, although an applicant may 
be legally authorized to operate throughout the entire county in which 
it is located, if the vouchers will be issued only in two cities within 
that county then the primary market area is those two cities and not 
the entire county. Conversely, if the applicant is planning to issue 
vouchers to all cities within a county, then the applicant must list 
the county only and not list the individual cities within that county 
(the county is the sum of all housing needs for cities within a 
county). If, in addition to the county, there are individual cities 
outside the county where the applicant also will be issuing vouchers, 
the PHA then also must list these cities. A State PHA or nonprofit 
organization legally authorized to operate throughout the entire State, 
but which intends to issue the Mainstream vouchers in only one county, 
must list solely that county as its primary market area. In addition, 
the primary market area shall not include a geographic area in which 
the applicant is issuing vouchers, outside its normal, legally 
authorized area of operation, based upon an agreement with another 
agency/PHA to issue vouchers in the other agency's/PHA's jurisdiction.
    i. DUN and Bradstreet Universal Numbering System (DUNS) Number 
Requirement. Each applicant is required to submit within its 
application a separate page that lists the DUNS number assigned to the 
applicant. (See Section III.C.2.b. in the General Section of the 
SuperNOFA concerning how an applicant obtains a DUNS number.) An 
applicant will need to obtain a DUNS number in order to receive an 
award of Mainstream vouchers from HUD.
    2. SF 424 Supplement, Survey on Ensuring Equal Opportunity for 
Applicants. Non-profit applicants are invited to respond to a survey 
questionnaire. This survey is designed to help HUD assess the 
availability of our funding opportunities to grass roots community-
based organizations, including faith-based organizations. A copy of the 
survey form can be found in the General Section of the SuperNOFA.
    C. Submission Date and Time. Submit your completed application (an 
original and one copy) to HUD on or before July 16, 2004. This 
application deadline date is firm. In the interest of fairness to all 
competing PHAs and nonprofit organizations, HUD will not consider any 
application that is submitted after the application deadline. 
Applicants should take this practice into account and make early 
submission of their materials to avoid any risk of loss of

[[Page 27812]]

eligibility brought about by unanticipated delays or other delivery-
related problems. HUD will not accept, at any time during the 
competition under this funding announcement, application materials sent 
via facsimile (FAX) transmission. See the paragraph titled Addresses 
and Application Submission Procedures in the General Section of the 
SuperNOFA regarding HUD's mailing, delivery and receipt procedures 
pertinent to the submission of your application.
    D. Intergovernmental Review. Applicants submitting an application 
under this funding announcement are not subject to intergovernmental 
review; i.e., Executive Order (EO) 12372, Intergovernmental Review of 
Federal Programs.
    E. Funding Restrictions. There is a limit on the minimum and 
maximum number of vouchers that may be requested. An eligible applicant 
may apply for not less than 10 vouchers and no more than a maximum of 
20 vouchers. No less than 10 vouchers and no more than 20 vouchers will 
be awarded to any applicant under the FY 2004 Mainstream Program. Any 
application incorrectly requesting more than 20 vouchers shall have its 
voucher request reduced by HUD to 20 vouchers. Likewise, because an 
applicant is not to request less than 10 vouchers under this NOFA, any 
applicant requesting less than 10 vouchers shall have that voucher 
request increased by HUD to 10 vouchers.
    F. Other Submission Requirements. Your completed application 
consists of the original and one copy. Submit your original application 
and one copy to: Grants Management Center, Mail Stop: Mainstream 
Program, 2001 Jefferson Davis Hwy, Suite 703, Arlington, VA 22202.
    The Grants Management Center (GMC) is the official place of receipt 
for all applications in response to this announcement of funding 
availability. Applications not submitted to the GMC will not be 
considered. 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 the 
SuperNOFA.

V. Application Review Information

A. Criteria

    1. Rating and Ranking. After the Grants Management Center has 
screened and disapproved any applications found unacceptable for 
further processing, it will review all acceptable applications to 
ensure they are technically adequate and responsive to the requirements 
of this announcement. HUD Headquarters will fund all applications from 
PHAs and nonprofit organizations that are recommended for funding by 
the Grants Management Center unless HUD receives approvable 
applications for more funds than are available. HUD will select 
applicants to be funded based upon the methodology indicated in Section 
V.B.1. of this NOFA. Applications meeting all the application 
submission requirements of Section IV.B. of this NOFA will be rated and 
ranked on the basis of their score under the selection criteria in 
section V. A. of this NOFA. The maximum score under the selection 
criteria is 100 points.
    2. Selection Criteria.
a. Selection Criterion 1, Disabled Persons at or Below the Poverty 
Level, (40 Points)
    (1) Description. This criterion assesses the number of disabled 
persons at or below the poverty level in the primary market area served 
by the applicant, as a percentage of such disabled persons on a 
national basis using 2000 census data. The primary market area is 
defined as the geographic area in which the applicant is legally 
authorized to operate and where the vouchers will be issued. (See 
Section IV.B.1.h. of this NOFA regarding the description of the primary 
market area required to be included in each PHA's/nonprofit 
organization's application.) A table listing all the cities and 
counties with a population of 10,000 or more persons within the nation 
(States and territories) will be listed with this funding announcement 
at the following HUD Web site: http://www.grants.gov/FIND. Also 
indicated on the table will be the number of disabled persons/
percentage of such disabled persons at or below the poverty level 
within each city or county, as a percentage of the number of disabled 
persons at or below the poverty level within the nation. An applicant 
(and the GMC during the review of applications) will use the table to 
determine the percentage of disabled persons at or below the poverty 
level that is in the applicant's primary market area. The percentage 
will determine the number of points that the applicant is eligible for 
under Selection Criterion 1.
    (2) Rating and Assessment. Points will be assigned based upon the 
number of disabled persons at or below the poverty level in the 
applicant's primary market area, as a percentage of such persons within 
the nation. For each tenth of one percent (.001) within the applicant's 
primary market area the applicant will receive 5 points. Percentages of 
.0015, .0025, etc. or higher but less than the next whole tenth of one 
percent, i.e., .002, .003, etc. shall be rounded to the next whole 
tenth of a percentage point. An applicant having a primary market area 
with less than one-tenth of one percent for disabled persons, or a 
population of 10,000 or fewer, or for which disability percentages are 
not listed on the table, will receive 5 points under Selection 
Criterion 1. Likewise, an applicant having a primary market area 
comprised of more than one community with a population of 10,000 or 
fewer shall receive a total of 5 points for all such communities 
combined. In addition, an applicant with a primary market area 
comprised of one or more cities and/or counties, for which the total 
combined percentage is equal to or less than .00149 shall receive 5 
points. A maximum of 40 points is available under Selection Criterion 1 
regardless of how high a percentage of disabled persons at or below the 
poverty level is located within the applicant's primary market area.
b. Selection Criterion 2, Lease-Up Rate, (20 Points)
    (1) Description. This criterion focuses on a PHA's and nonprofit 
organization's success in leasing its housing choice vouchers. While a 
PHA or nonprofit organization must have a lease-up rate of at least 97 
percent under Section III.C.1.c. of this NOFA in order to have an 
acceptable application, Selection Criterion 2 provides for the award of 
selection points to those PHAs and nonprofit organizations having a 
voucher lease-up rate of 99 percent or higher. The lease-up percentage 
for a PHA's or nonprofit organization's voucher program will be 
calculated by HUD Headquarters' Housing Voucher Financial Management 
Division based upon the lease-up rate information submitted 
electronically to HUD on a quarterly basis for the most recent 12-month 
period (prior to the Mainstream application due date) on Form HUD-
52681-B, Voucher for Payment of Annual Contributions and Operating 
Statement. The lease-up rate will be determined by HUD comparing unit 
months leased to unit months available for the period. (In the absence 
of current and complete PHA reporting on the Form HUD-52681-B, the 
leasing level reported by the PHA on the last HUD-approved Year End 
Settlement Statement, Form HUD-52681, will be used by HUD to determine 
the PHA's voucher lease-up percentage.) Lease-up rates of a half or 
more of one percentage

[[Page 27813]]

point will be rounded to the next highest percentage point for purposes 
of qualifying for the points available under Selection Criterion 2 (for 
example, 98.5 percent will be rounded up to 99 percent).
    See section IV.B.1.f. of this NOFA regarding the certification 
requirement applicable to Block Grant MTW PHAs in connection with 
qualifying for the points available under Selection Criterion 2.
    (2) Rating and Assessment. The GMC will assign 20 points if the PHA 
or nonprofit organization has a lease-up rate for its voucher program 
of 99 percent.
c. Selection Criterion 3, Homeownership Option Under Housing Choice 
Voucher Program, (15 Points)

    (Note: Selection Criterion 3 addresses HUD's homeownership 
policy priority.)

    (1) Description. Applicants are encouraged, consistent with 24 CFR 
982.625-982.641, to establish a homeownership component or to expand 
upon an existing component within their housing choice voucher program. 
Points will be awarded under this NOFA to applicants that are able to 
meet the rating and assessment criteria listed below.
    (2) Rating and Assessment. The GMC will assign points under 
Selection Criterion 3 as follows:
    (a) 5 points: The applicant has established a housing choice 
voucher homeownership program as evidenced by its submission with its 
application of a copy of the Board resolution approving changes to its 
administrative plan for the implementation of the homeownership option 
under its housing choice voucher program.
    (b) 10 points: The applicant qualifies for the five points under 
the paragraph immediately above and has had one or more closings under 
its homeownership program, as evidenced by the applicant's submission 
of information to HUD's Public and Indian Housing Information Center 
(PIC) on Form HUD-50058, Family Report, indicating at least one 
homeownership unit has completed the closing process.

    (Note: The applicant can only qualify for the ten points under 
this paragraph if it has first qualified for the five points under 
the paragraph immediately above.)

d. Selection Criterion 4, Family Self-Sufficiency (FSS) Slots Filled, 
(15 Points)
    (1) Description. PHAs are encouraged, consistent with 24 CFR 984, 
to fill the slots required under a mandatory FSS program, and to 
establish a voluntary FSS program and fill slots under that program 
where a mandatory FSS program is not required. Points will be awarded 
under this NOFA to PHAs submitting a certification with their 
application certifying that they have filled 60 percent or more of the 
required slots under a mandatory FSS program, or that have filled one 
or more slots under a voluntary FSS program, and that these slots have 
been reported to HUD's PIC on the Form HUD-50058. Prior to calculating 
the percentage of mandatory FSS slots filled, PHAs must reduce the 
number of mandatory slots to reflect any HUD-approved exception and/or 
program graduates.

    (Note: Nonprofit organizations may also qualify for points under 
this selection criterion, but the basis upon which they may do so is 
different than for PHAs, as indicated below.)

    (2) Rating and Assessment for PHAs. The GMC will assign rating 
points under Selection Criterion 4 as follows (PHAs may receive a 
maximum of 15 points under the Mandatory FSS Program category or 15 
points under the Voluntary FSS Program category, but shall not receive 
more than a combined maximum total of 15 points under Selection 
Criterion 4):
    (a) Mandatory FSS Program (percentages rounded to the nearest whole 
percent)
    (i) 15 points: 80 percent or more of the applicant's FSS slots are 
filled.
    (ii) 10 points: 60-79 percent of the applicant's FSS slots are 
filled.
    (iii) 0 points: Less than 60 percent of the applicant's FSS slots 
are filled.
    (b) Voluntary FSS Program
    (i) 15 points: 25 or more of the applicant's FSS slots are filled.
    (ii) 10 points: 1 to 24 of the applicant's FSS slots are filled.
    (iii) 0 points: None of the applicant's FSS slots are filled
    (3) Rating and Assessment for Nonprofit Organizations: The GMC will 
assign rating points under Selection Criterion 4 as follows:
    (i) 15 points: A certification is submitted with the application 
certifying that the nonprofit organization will assist 80 percent or 
more of its Mainstream voucher families either directly, or indirectly 
through referrals to other agencies, with such needs as child care, 
transportation, educational and job training opportunities, employment, 
money management, and such other similar needs as are necessary to 
assist these families in achieving economic independence and self-
sufficiency.
    (ii) 10 points: A certification is submitted with the application 
certifying that the nonprofit organization will assist 50 to 79 percent 
of its Mainstream voucher families either directly, or indirectly 
through referrals to other agencies, with such needs as child care, 
transportation, educational and job training opportunities, employment, 
money management, and such other similar needs as are necessary to 
assist these families in achieving economic independence and self-
sufficiency.
    (iii) 0 points: The nonprofit organization submits neither of the 
certification statements indicated immediately above.
e. Selection Criterion 5, Commitments from Outside Agencies, (5 Points)

    (Note: Selection Criterion 5's category for five points 
addresses HUD's grass roots faith-based and other community-based 
organizations policy priority.)

    (1) Description. The applicant documents that it has entered into 
agreements with one or more organizations to assist disabled families 
with moving costs, security deposits, utility hook-up fees, utility 
deposits, medical care, transportation, educational opportunities, 
employment and child care.
    (2) Rating and Assessment: The GMC will assign points as follows:
    (a) 5 points: The applicant provides copies of the agreements that 
it has entered into with three or more organizations to assist disabled 
families with moving costs, security deposits, utility hook-up fees, 
utility deposits, medical care, transportation, educational 
opportunities, employment and child care. The applicant must also 
provide information indicating it has taken one or more of the 
activities to promote the participation of grass roots and other 
community based organizations indicated in Section II (6) of the 
General Section of the SuperNOFA, as relates to the aforementioned 
agreements. The applicant's provision of the former, but not the latter 
information, shall result in the application receiving no more than 3 
points under this Selection Criterion 5, as indicated below.
    (b) 3 points: The applicant provides copies of the agreements that 
it has entered into with three or more organizations to assist disabled 
families with moving costs, security deposits, utility hook-up fees, 
utility deposits, medical care, transportation, educational 
opportunities, employment and child care.
    (c) 2 points: The applicant provides copies of the agreements it 
has entered into with two organizations to assist

[[Page 27814]]

disabled families with moving costs, security deposits, utility hook-up 
fees, utility deposits, medical care, transportation, educational 
opportunities, employment and child care.
    (d) 1 point: The applicant provides copies of the agreements it has 
entered into with one organization to assist disabled families with 
moving costs, security deposits, utility hook-up fees, utility 
deposits, medical care, transportation, educational opportunities, 
employment and child care.
f. Selection Criterion 6, Achieving Results and Program Evaluation (5 
Points)
    (1) Description. This criterion emphasizes HUD's determination to 
ensure that applicants meet commitments made in their applications and 
assess their performance in meeting performance goals. HUD requires 
Mainstream Program applicants to develop an effective, quantifiable, 
out-come oriented monitoring and evaluation plan for measuring 
performance and determining that goals have been met. The plan must 
include interim products or activities that lead to the ultimate 
achievement of the applicant's goals. Performance indicators must also 
be developed by the applicant to measure performance. Performance 
indicators must be objectively quantifiable and measure actual 
achievements against planned achievements. The applicant's evaluation 
and monitoring plan must identify what it is going to measure, how it 
will be measured, and the steps that will be taken to make adjustments 
to the plan if performance targets are not met within established 
deadlines. An example of a goal is that the applicant will have 100 
percent of the Mainstream vouchers under lease by disabled families 
within 180 days of the effective date of the Annual Contributions 
Contract (ACC) for the funding increment. Examples of interim 
activities to achieve such a goal might include assisting disabled 
families with transportation to rental properties, efforts to identify 
and provide lists of accessible units, approval of exception payment 
standards, or use of special housing types. An example of related 
performance indicators might include assisting disabled families with 
transportation needs within 24 hours of a disabled family's request to 
visit a potential rental unit, and that 50 percent of all the 
Mainstream vouchers are to be under lease within 90 days of the 
ultimate goal of having all vouchers under lease within 180 days. 
Examples of other areas in which applicants may wish to consider 
establishing goals are with respect to Selection Criterion 3, Selection 
Criterion 4, Selection Criterion 5, and any one or more of the areas to 
be addressed in the applicant's Mainstream Program Operating Plan, etc.
    (2) Rating and Assessment. The GMC will assign points 5 points if 
the applicant submits a monitoring and evaluation plan meeting the 
descriptive requirements outlined immediately above.

B. Reviews and Selection Process

    1. Selection for Funding. HUD will select applications for funding 
that meet all of the application submission requirements in Section 
IV.B. of this NOFA and that score a sufficient number of points under 
the selection criteria listed in section V. A. of this NOFA. 
Applications will be ranked from highest to lowest score in descending 
order, with the highest ranked application selected first for funding, 
and so forth. Where two or more applicants have exactly the same score 
under the selection criteria in Section V.A. of this NOFA and 
insufficient funding remains to fund all of them, applicants will be 
funded in the order of the exact percentage of disabled persons at or 
below the poverty level that is in each applicant's primary market 
area. The applicant with the highest percentage will be funded first, 
etc. HUD will limit the number of applications selected for funding 
from any State to 10 percent of the budget authority available for the 
Mainstream Program. 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. When remaining budget 
authority is insufficient to fund the last selected application in 
full, the application will be funded 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 the one indicating a willingness to accept the lesser amount 
of funding for the units available.
    2. Deficient Applications. The application must include all of the 
information specified in Section IV.B.1., Content of Application, of 
this announcement. The General Section of the SuperNOFA provides the 
procedures for corrections to deficient applications. (Note: The 
submission by applicants of clarifications or corrections of technical 
deficiencies under this funding announcement must be provided to HUD 
within seven (7) calendar days (not the 14 calendar days indicated in 
the General Section of the SuperNOFA) of receipt of the HUD 
notification.)
    3. Unacceptable Applications. After the 7-calendar day technical 
deficiency correction period, the Grants Management Center will 
disapprove all applications from PHAs and nonprofit organizations that 
the Grants Management Center determines are not acceptable for 
processing. The Grants Management Center's notification of rejection 
letter must state the basis for the decision. The applicant may request 
an applicant debriefing. Beginning 30 days after the awards for 
assistance are publicly announced in the Federal Register, and for at 
least 120 days thereafter, HUD will, upon receiving a written request 
from the applicant, provide a debriefing to the requesting applicant. 
(See the General Section of the SuperNOFA for additional information 
regarding a debriefing.) Applicants requesting to be debriefed must 
send a written request to Iredia Hutchinson, Director, Grants 
Management Center, Department of Housing and Urban Development, 501 
School Street, SW., Suite 800, Washington, DC 20024.

C. Anticipated Announcement and Award Dates

    The announcement of Mainstream awards is anticipated to occur 
during the month of September or October, 2004.

VI. Award Administration Information

A. Award Notices

    Successful applicants will receive a letter from HUD Headquarters' 
Office of Public and Indian Housing (OPIH) advising of their having 
been selected to receive an award of Mainstream vouchers. Shortly 
thereafter the awardee will receive award documents from OPIH's 
Financial Management Center (FMC) providing the awardee with 
notification of its Mainstream voucher award, contract documents, and a 
funding exhibit.

B. Administrative and National Policy 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. The only 
exception to this requirement shall be for nonprofit organizations 
which shall not be required to comply with the requirements of 24 CFR 
part 903,

[[Page 27815]]

subpart B concerning the requirement for a PHA Plan.
    2. Housing Choice Voucher Program Admission Requirements. Housing 
choice voucher assistance must be provided to eligible disabled 
families 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 family eligible for 
assistance under this announcement for five years from the date the 
rental assistance is placed under an annual contributions contract 
(ACC). In addition, any renewal by HUD of the five-year voucher funding 
shall require the continued reissuance of the vouchers to disabled 
families.
    If there is ever an insufficient pool of disabled families on the 
PHA's or nonprofit organization's housing choice voucher waiting list, 
the PHA or nonprofit 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 organization's housing choice voucher waiting 
list is closed, and if the PHA or nonprofit 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 should open the waiting list for applications 
from disabled families. PHAs and nonprofit organizations must take care 
to keep track of the number of disabled vouchers they have been awarded 
under this funding announcement versus the number of such vouchers they 
have actually issued to disabled families.
    4. PHA and Nonprofit 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 
organizations that receive voucher funding shall:
    a. 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.
    b. 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.
    c. Not deny persons who qualify for rental assistance under this 
program other housing opportunities, or otherwise restrict access to 
PHA or nonprofit organization programs to eligible applicants who 
choose not to participate.
    d. Provide housing choice voucher search assistance.
    e. In accordance with regulatory guidance, provide higher rents to 
owners necessary for the provision of accessible units and structural 
modifications for persons with disabilities.
    f. Provide technical assistance to owners for making reasonable 
accommodations or making units accessible to persons with disabilities.
    5. Conducting Business in Accordance With Core Values and Ethical 
Standards. To reflect core values, all PHAs shall develop and maintain 
a written code of conduct in the PHA administrative plan that (1) 
requires compliance with the conflict of interest requirements of the 
Housing Choice Voucher Program at 24 CFR 982.161, and (2) prohibits the 
solicitation or acceptance of gifts or gratuities, in excess of a 
nominal value, by any officer or employee of the PHA, or any 
contractor, subcontractor or agent of the PHA. The PHA's administrative 
plan shall state PHA policies concerning PHA administrative and 
disciplinary remedies for violation of the PHA code of conduct. The PHA 
shall inform all officers, employees and agents of its organization of 
the PHA's code of conduct.
    6. Environmental Impact. In accordance with 24 CFR 50.19(b)(11) and 
58.35(b)(1) 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. 
Activities under the homeownership option of this program are 
categorically excluded from NEPA requirements and excluded from other 
environmental requirements under 24 CFR 58.5 in accordance with 24 CFR 
58.35(b)(5), but PHAs and nonprofit organizations are responsible for 
the environmental requirements in 24 CFR 982.626(c).

C. Reporting

    Reporting requirements are the same as for regular vouchers under 
the Housing Choice Voucher Program. In addition, HUD requires that 
funded recipients collect racial and ethnic beneficiary data. It has 
adopted the Office of Management and Budget's Standards for the 
Collection of Racial and Ethnic Data. In view of these requirements, 
funded recipients should use form HUD-27061, Racial and Ethnic Data 
Reporting Form (found on http://www.HUDclips.org), a comparable program 
form, or a comparable electronic data system for this purpose.

VII. Agency Contacts

A. For Technical Assistance

    Prior to the application due date, you may contact George C. 
Hendrickson, Housing Program Specialist, Room 4214, Office of Public 
Housing and Voucher Programs, Department of Housing and Urban 
Development, 451 Seventh Street, SW., Washington, DC 20410; telephone 
(202) 708-0477, ext. 4064. Subsequent to application submission, you 
may contact the Grants Management Center at (202) 358-0221. (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 800-877-8339 (this is a toll-free number).

B. Satellite Broadcast

    HUD will hold an information broadcast via satellite for potential 
applicants to learn more about the Mainstream Program and the 
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.

VIII. Other Information

A. Increasing the Participation of Faith-Based and Community-Based 
Organizations in HUD Program Implementation

    HUD believes that grassroots organizations, e.g., faith 
communities, civic organizations, and other community-based 
organizations, have not been effectively utilized. These grassroots 
organizations have a strong history of providing vital community 
services such as assisting the homeless and preventing homelessness; 
counseling individuals and families on fair housing rights; providing 
elderly housing opportunities; developing first

[[Page 27816]]

time homeownership programs; increasing homeownership and rental 
housing opportunities; developing affordable and accessible housing in 
neighborhoods across the country; and creating economic development 
programs. The goal of this policy priority is to make HUD's housing 
choice voucher program more effective, efficient, and accessible by 
expanding opportunities for faith-based and other community-based 
organizations to participate in developing solutions for their own 
neighborhoods. Applicants are encouraged to coordinate with and 
otherwise involve faith-based and other community-based organizations 
in those activities under the housing choice voucher program where 
their services, expertise and knowledge may be most effective.

B. Paperwork Reduction Act

    The information collection requirements contained in this document 
have been approved by the Office of Management and Budget (OMB) under 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2577-0169. In accordance with the Paperwork 
Reduction Act, HUD may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a currently valid OMB control number. Public 
reporting burden for the collection of information is estimated to 
average one hour per annum per respondent for the application and grant 
administration. This includes the time for collecting, reviewing, and 
reporting the data for the application, semi-annual reports and final 
report. The information will be used for grantee selection and 
monitoring the administration of funds. Response to this request for 
information is required in order to receive the benefits to be derived.

[FR Doc. 04-10548 Filed 5-13-04; 8:45 am]
BILLING CODE 4210-32-P