[Federal Register Volume 70, Number 139 (Thursday, July 21, 2005)]
[Notices]
[Pages 42150-42232]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-14299]



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Part II





Department of Housing and Urban Development





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Notice of Funding Availability for Fiscal Year (FY) 2004 HOPE VI Main 
Street Grants; Notices

  Federal Register / Vol. 70, No. 139 / Thursday, July 21, 2005 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4962-N-01]


Notice of Funding Availability for Fiscal Year (FY) 2004 HOPE VI 
Main Street Grants

AGENCY: Office of the Assistant Secretary for Public and Indian 
Housing, HUD.

ACTION: Notice of Funding Availability (NOFA).

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Overview Information

    A. Federal Agency Name. Department of Housing and Urban 
Development, Office of Public and Indian Housing.
    B. Funding Opportunity Title. HOPE VI Main Street Grants.
    C. Announcement Type. Initial announcement.
    D. Funding Opportunity Number. The Federal Register number for this 
NOFA is: FR-4962-N-01. The Office of Management and Budget (OMB) 
paperwork approval number for this program is 2577-0208.
    E. Catalog of Federal Domestic Assistance (CFDA) Number. The CFDA 
number for this NOFA is 14-866, ``Demolition and Revitalization of 
Severely Distressed Affordable Housing (HOPE VI).''
    F. Dates.
    1. Application Submission Date. The application submission date is 
September 2, 2005. See the General Section for application submission 
and timely receipt requirements.
    2. Estimated Grant Award Date. The estimated award date will be 
September 30, 2005.
    G. Electronic Application Submission. Applications for this NOFA 
must be submitted electronically through http://www.grants.gov. The 
applicant must register with grants.gov's Central Contractor Registry 
and must register its Authorized Organization Representative with 
grants.gov in order to submit an application. Registration may take up 
to two weeks and must be completed at least 48 hours before the 
submission date. See ``Other Submission Requirements,'' Section IV.F. 
of this NOFA and http://www.grants.gov/GetStarted.

Full Text of Announcement

I. Funding Opportunity Description

    A. Available Funds. This NOFA announces the availability of 
approximately $5 million in Fiscal Year (FY) 2004 funds to produce 
affordable housing in HUD-defined Main Street rejuvenations.
    B. Purpose of the Program. The purpose of the HOPE VI Main Street 
program is to provide grants to small communities to assist in the 
rehabilitation and new construction of affordable housing in 
conjunction with an existing program to revitalize an historic or 
traditional central business district or ``Main Street Area.'' The 
objectives of the program are to:
    1. Redevelop Main Street Areas;
    2. Preserve historic or traditional architecture or design features 
in Main Street Areas;
    3. Enhance economic development efforts in Main Street Areas; and
    4. Provide affordable housing in Main Street Areas.
    C. Statutory Authority.
    1. The program authority for the HOPE VI Main Street program is 
Section 24 of the United States Housing Act of 1937 (42 U.S.C. 1437v), 
as amended by Section 535 of the Quality Housing and Work 
Responsibility Act of 1998 (Pub. L. 105-276, 112 Stat. 2461, approved 
October 21, 1998), as amended, and the HOPE VI Program Reauthorization 
and Small Community Mainstreet Rejuvenation and Housing Act of 2003 
(Pub. L. 108-186, 117 Stat. 2685, approved December 16, 2003).
    2. The funding authority for the HOPE VI Main Street program is 
provided by the Consolidated Appropriations Act, 2004 (Pub. L 108-199, 
approved January 23, 2004), under Division G, Title II, Public and 
Indian Housing.
    3. The HOPE VI Program Reauthorization and Small Community 
Mainstreet Rejuvenation and Housing Act of 2003 states that, of the 
amount appropriated for the overall HOPE VI program for any fiscal 
year, the Secretary shall provide up to five percent for use only for 
the Main Street initiative. For FY 2004, the Secretary has set aside 
approximately $5 million for Main Street activities authorized in 
Section 24(n) of the Act, which provides for grant amounts that shall 
be used by smaller communities only to provide assistance to carry out 
eligible affordable housing activities.
    D. Definition of Terms.
    1. Affordable Housing means rental or homeownership dwelling units 
that:
    a. Are made available for initial occupancy to low-income families, 
with a subset of units made available to very low- and extremely low-
income families; and
    b. Are subject to the same rules regarding occupant contribution 
toward rent or purchase, and terms of rental or purchase, as are public 
housing units.
    2. Applicant Team (``Team'') means the group of entities that will 
develop the Project. The Team includes the unit of local government 
that submits the application and, where applicable, the procured 
developer, the procured property manager, architects, construction 
contractors, attorneys, partners that comprise the owner entity, and 
other parties that may be involved in the development and management of 
the Project.
    3. Community and Supportive Services (``CSS'') means services to 
residents of the Project that may include, but are not limited to:
    a. Educational activities that promote learning and serve as the 
foundation for young people from infancy through high school 
graduation, helping them to succeed in academia and the professional 
world. Such activities, which include after school programs, mentoring, 
and tutoring, must be created with strong partnerships with public and 
private educational institutions;
    b. Adult educational activities, including remedial education, 
literacy training, tutoring for completion of secondary or post-
secondary education, assistance in the attainment of certificates of 
high school equivalency, and courses in English as a Second Language, 
as needed;
    c. Job readiness and job retention activities, which frequently are 
key to securing private sector commitments to the provision of jobs;
    d. Employment training activities that include results-based job 
training, preparation, counseling, development, placement, and follow-
up assistance after job placement;
    e. Programs that provide entry-level, registered apprenticeships in 
construction, construction-related, maintenance, or other related 
activities. A registered apprenticeship program is a program which has 
been registered with either a State Apprenticeship Agency recognized by 
the Department of Labor's (DOL) Office of Apprenticeship Training, 
Employer and Labor Services (OATELS) or, if there is no recognized 
state agency, by OATELS. See also DOL regulations at 29 CFR part 29;
    f. Life skills training on topics such as parenting, consumer 
education, and family budgeting;
    g. Creation and operation of credit unions to serve residents, 
including capitalization and technical assistance to foster new credit 
unions on-site and to encourage existing community credit unions to 
expand their coverage to include on-site coverage;
    h. Homeownership counseling that is scheduled to begin promptly 
after grant award so that, to the maximum extent possible, qualified 
residents will be ready to purchase new homeownership

[[Page 42151]]

units when they are completed. The Family Self-Sufficiency Program can 
also be used to promote homeownership, providing assistance with escrow 
accounts and counseling;
    i. Coordinating with health care services providers or providing 
on-site space for a health clinic, doctors, a wellness center, 
dentists, etc., that will primarily serve the affordable housing 
residents. HOPE VI funds may not be used to provide direct medical care 
to residents;
    j. Substance/alcohol abuse treatment and counseling;
    k. Activities that address domestic violence treatment and 
prevention;
    l. Child care services that provide sufficient hours of operation 
to facilitate parental access to education and job opportunities, serve 
appropriate age groups, and stimulate children to learn;
    m. Transportation, as necessary, to enable all family members to 
participate in available CSS activities and/or to commute to their 
places of employment;
    n. Entrepreneurship training and mentoring, with the goal of 
establishing resident-owned businesses; and
    o. Coordinating with fair housing groups to educate the Main Street 
Affordable Housing Project's targeted population on its fair housing 
rights.
    4. Firmly Committed means that the amount of Match resources and 
their dedication to HOPE VI Main Street activities must be explicit, in 
writing, and signed by a person authorized to make the commitment.
    5. General Section means the Notice of HUD's Fiscal Year 2005 
Notice of Funding Availability Policy Requirements and General Section 
to the SuperNOFA for HUD's Discretionary Programs; Notice, Docket No. 
FR-4950-N-01, published in the Federal Register on March 21, 2005.
    6. Homeownership Unit means a housing unit that the Local 
Government makes available for purchase by low-income families for use 
as their principal residence;
    7. Initial Occupancy Period means the period of time that a rental 
unit is occupied by the initial low-income resident or the period of 
time that a homeownership unit is owned by the initial third-party, 
low-income purchaser.
    8. Jurisdiction means the physical area under the supervision of 
the Local Government.
    9. Local Government means any city, county/parish, town, township, 
parish, village, or other general purpose political subdivision of a 
state; Guam, the Northern Mariana Islands, the Virgin Islands, American 
Samoa, the District of Columbia and the Trust Territory of the Pacific 
Islands, or a general purpose political subdivision thereof; a 
combination of such political subdivisions that is recognized by the 
Secretary.
    10. Low-Income means a family (resident) with an income equal to or 
less than 80 percent of median income for the local area, adjusted for 
family size, in accordance with Section 3(b)(2) of the United States 
Housing Act of 1937, as amended. HUD may establish a level higher or 
lower than 80 percent because of prevailing construction costs or 
unusually high or low family incomes in the area. HUD prescribed income 
limits are stated at http://www.huduser.org/datasets/il/IL05/Section8_IncomeLimits_2005.doc. Local area is defined as the Primary 
Metropolitan Statistical Area/Metropolitan Statistical Area (PMSA/MSA) 
or county/parish, as prescribed by HUD, in which the low-income family 
resides.
    11. Main Street Area means an area specifically designated by the 
applicant, within the jurisdiction of the applicant that is or was;
    a. Traditionally the central business district and center for 
socio-economic interaction;
    b. Characterized by a cohesive core of historic and/or older 
commercial and mixed-use buildings, often interspersed with civic, 
religious, and residential buildings, which represent the community's 
architectural heritage;
    c. Typically arranged along a main street with intersecting side 
streets and public space; and
    d. Pedestrian-oriented.
    12. Main Street Affordable Housing Project (``Project'') is defined 
in Section III.C.2.b. of this NOFA, ``Program Requirements.''
    13. Main Street Rejuvenation Master Plan (``Master Plan'') is a 
document, or group of documents, that:
    a. Serves to guide the rejuvenation of a Main Street Area;
    b. Is actively administered and implemented by the applicant, an 
agency of the local government, or a developer entity recognized by the 
applicant;
    c. Addresses major components such as design, organization, 
promotion, and economic impact;
    d. Has broad community support;
    e. Involves investment by the public and private sectors;
    f. Has a strong preservation element for historic or traditional 
architecture;
    g. Shows long-term planning and commitment; and
    h. Complies with the minimum requirements stated in the Program 
Requirements in Section III.C.2. of this NOFA.
    14. Match is cash or in-kind donations that:
    a. Total at least five percent of the requested HOPE VI Main Street 
grant amount; and
    b. Are from government or private-sector sources other than HOPE VI 
funding.
    15. Owner entity is the legal entity that holds title to the real 
property that contains any affordable housing units developed through 
this NOFA.
    16. 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.
    d. The term ``person with disabilities'' may include persons who 
have acquired immunodeficiency syndrome (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.
    e. 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.
    17. Program means the HOPE VI Main Street Program.
    18. Recognized Developer is:
    a. A procured developer that is a legal entity and that has a 
contract or ``Developer Agreement'' with a Local Government to finance, 
rehabilitate and/or construct housing units, and to provide Community 
and Supportive Services (if required), for a HOPE VI Main Street 
grantee; or
    b. The Local Government applicant itself.
    19. Unit of Local Government: See ``Local Government'' under this 
section.
    20. Very Low-Income Family means a family (resident) with an income 
equal to or less than 50 percent of median income for the local area, 
adjusted for family size, in accordance with Section

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3(b)(2) of the United States Housing Act of 1937, as amended. HUD may 
establish a level higher or lower than 50 percent because of prevailing 
construction costs or unusually high or low family incomes in the area. 
HUD prescribed income limits are stated at http://www.huduser.org/datasets/il/IL05/Section8_IncomeLimits_2005.doc. Local area is 
defined as the PMSA/MSA or nonmetropolitan county/parish, as prescribed 
by HUD, in which the low-income family resides.
    E. Eligible Uses of Grant Funds.
    1. Main Street grant funds may be expended on the following 
activities:
    a. New construction and rehabilitation of Main Street-related 
affordable rental and homeownership housing;
    b. Architectural and Engineering activities, surveys, permits, and 
other planning and implementation costs related to the construction and 
rehabilitation of Main Street-related affordable housing;
    c. Tax credit syndication;
    d. Funding of moving expenses for low-income residents displaced as 
a result of construction or rehabilitation of the Project, in 
accordance with the Uniform Relocation Assistance and Real Property 
Acquisition Policies Act of 1970 (URA);
    e. Economic development activities that promote the economic self-
sufficiency of low-income residents of the Project;
    f. Management improvements necessary for the proper development and 
management of Main Street-related affordable housing, including, but 
not limited to:
    (1) Staff training (including travel) related to affordable housing 
development and management and public housing property management;
    (2) Staff time and materials or contractor services to revise or 
develop:
    (a) Procedure manuals;
    (b) Accounting systems, excluding accounting services;
    (c) Lease documents;
    (d) Resident screening procedures; and
    (e) Data processing systems.
    g. Leveraging non-HOPE VI funds and in-kind services;
    h. Community and Supportive Services. See Funding Restrictions in 
Section IV.E. of this NOFA.
    F. General Section Reference. The subsection entitled ``Funding 
Opportunity Description'' in Section I. of the General Section is 
hereby incorporated by reference.

II. Award Information

    A. Available Funds. A total of $5 million is available for funding, 
which must be obligated on or before September 30, 2005.
    B. Number of Awards. This NOFA will result in approximately 10 to 
15 awards.
    C. Range of Amounts of Each Award. Each applicant may request up to 
$500,000.
    D. Start Date, Period of Performance. The term of the grants that 
result from this NOFA will start on the date that the grant award 
document is signed by HUD and will continue for 30 months.
    E. Type of Instrument. Grant Agreement.
    F. Supplementation. Grants resulting from this NOFA do not 
supplement other HOPE VI grants.

III. Eligibility Information

    A. Eligible Applicants. Eligible applicants include, and are 
limited to, Local Governments, as defined in Section I.D. of this NOFA 
and Section 102 of the Housing and Community Development Act of 1974 
(42 U.S.C. 5302). The Local Government must:
    1. Have a Main Street rejuvenation effort within its jurisdiction;
    2. Have a population of 50,000 or less; and
    3. Not be served by a public housing agency that administers more 
than 100 public housing units. For this NOFA, HUD does not consider 
agencies of the State government to be public housing agencies.
    B. Cost Sharing or Match.
    1. Match. HUD is required by the Quality Housing and Work 
Responsibility Act (42 U.S.C. 1437v(c)(1)(A)) to include the 
requirement for matching funds for all HOPE VI-related grants. 
Applicants must provide matching funds in the amount of five percent of 
the requested grant amount from sources other than HUD HOPE VI funds. 
Match sources may include other federal sources, any state or local 
government sources, any private contributions, the value of any donated 
material or building, the value of any lease on a building, the value 
of the time and services contributed by volunteers, and the value of 
any other in-kind services provided. The match may include funds 
already spent on, or funds committed to, the project, provided that 
they were or shall be used only for carrying out eligible affordable 
housing activities.
    a. Match donations must be firmly committed. ``Firmly committed'' 
means that the amount of match resources and their dedication to Main 
Street-related affordable housing activities must be explicit, in 
writing, and signed by a person authorized to make the commitment. The 
commitment must be in place at the time of award. See Section IV.F. of 
this NOFA for detailed instructions on the procedures related to the 
submission of third-party documents.
    b. The applicant may propose to use the applicant's own funds to 
meet the match requirement.
    c. The applicant's staff time is not an eligible cash or in-kind 
match.
    d. See Section IV.B. of this NOFA for the requirements for 
documentation of match resources.
    C. Other.
    1. Thresholds.
    a. Main Street Area. The applicant must have within its 
jurisdiction a Main Street Area. See Section I.D. of this NOFA for the 
definition of a Main Street Area. If the applicant's jurisdiction does 
not have a Main Street Area, the application will not be eligible for 
funding through this NOFA.
    b. Master Plan. A Main Street Rejuvenation Master Plan for the Main 
Street Area must have been in existence for three years prior to the 
application submission date, and, if one exists, be included in the 
applicant's Consolidated Plan. See Section I.D. of this NOFA for the 
definition of a Main Street Rejuvenation Master Plan. If the 
applicant's Main Street Rejuvenation Master Plan has not been in 
existence for three years prior to the application submission date, the 
application will not be eligible for funding through this NOFA.
    c. Main Street Affordable Housing Project (``Project''). The 
targeted affordable housing project must conform to this NOFA's 
requirements for a Main Street Affordable Housing Project, as defined 
in Section III.C.2.b. of this NOFA. If the targeted affordable housing 
project does not conform to this NOFA's requirements of a project, the 
application will not be eligible for funding through this NOFA.
    d. Inclusion of Affordable Housing. The project must have been 
included in the applicant's master plan on or before the date of 
publication of this NOFA. If the project was not included in the 
applicant's master plan on or before the date of publication of this 
NOFA, the application will not be eligible for funding through this 
NOFA.
    e. Zoning. Zoning for residential housing, or mixed-use zoning that 
includes residential housing, must be in place on all project sites on 
or before the application submission date. If zoning for residential 
housing, or mixed-use zoning that includes residential housing, is not 
in place on all project sites on or before the application submission 
date, the application will

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not be eligible for funding through this NOFA.
    f. Site Control. The applicant, or recognized developer entity of 
the project, must have site control of all properties where affordable 
housing will be developed on or before the application submission date. 
If the applicant, or recognized developer entity of the Main Street 
project, does not have site control of all properties where affordable 
housing will be developed on or before the application submission date, 
the application will not be eligible for funding through this NOFA.
    g. Program Schedule. The applicant must include a program schedule, 
developed in accordance with Section VI.B.4.c. of this NOFA, 
``Reasonable Timeframe,'' as part of the application. If such a program 
schedule is not included in the application, the application will not 
be eligible for funding through this NOFA.
    h. Main Street Area Leverage. The applicant must provide leverage 
funds and/or in-kind services in excess of 100 percent of the requested 
grant amount from sources other than HUD HOPE VI funds. Note that this 
threshold is for leverage that is related to the entire Main Street 
Area effort. Leverage that is specifically related to the Main Street 
Affordable Housing Project is measured in Section V.A.4. of this NOFA.
    (1) Types of resources that may be counted include:
    (a) Private mortgage-secured loans and other debt;
    (i) The application must include each loan's expected term of 
maturity;
    (ii) Where there is both a construction loan and a permanent take-
out loan, only the value of the permanent loan amount will be counted; 
and
    (iii) If the applicant has obtained a construction loan but not a 
permanent loan, the value of the construction loan will be counted;
    (b) Insured loans;
    (c) Housing trust funds;
    (d) Net sales proceeds from a homeownership project that exceed the 
amount of HOPE VI funds used to develop the homeownership unit;
    (e) Tax Increment Funding (TIF);
    (f) Tax Exempt Bonds;
    (g) Low-Income Housing Tax Credits (LIHTC);
    (h) Historic Preservation Tax Credits;
    (i) Other Public Housing Funds. Capital Fund Program funds may be 
included provided that public housing exists in the Main Street Area. 
HOPE VI funds may not be counted as leverage;
    (j) Other Federal Funds. Other federal sources may include non-
public housing funds provided by HUD;
    (k) Land Sale Proceeds. The value of land may be included as a 
development resource only if this value is a sales proceed. Absent a 
sales transaction, the value of land may not be counted;
    (l) Donations of Land. Donations of land may be counted as leverage 
only if the donating entity owns the land to be donated;
    (m) In-kind services, such as those pertaining to:
    (i) Homeownership counseling that is scheduled to begin promptly 
after grant award so that, to the maximum extent possible, qualified 
residents will be ready to purchase new homeownership units when they 
are completed. The Family Self-Sufficiency Program can also be used to 
promote homeownership, such as by providing assistance with escrow 
accounts and counseling, including fair housing counseling;
    (ii) Coordinating with health care services providers or providing 
on-site space for a health clinic, doctors, a wellness center, 
dentists, etc., that will primarily serve the affordable housing 
residents. HOPE VI funds may not be used to provide direct medical care 
to residents;
    (iii) Substance/alcohol abuse treatment and counseling;
    (iv) Transportation, as necessary, to enable all family members to 
participate in available CSS activities and/or to commute to their 
places of employment;
    (v) Entrepreneurship training and mentoring, with the goal of 
establishing resident-owned businesses;
    (vi) Materials;
    (vii) A building;
    (viii) A lease on a building;
    (ix) Other infrastructure;
    (x) Time and services contributed by volunteers;
    (xi) Supplies; and
    (xii) Other CSS and FSS resources.
    (2) Note that wages projected to be paid to residents through jobs, 
or projected benefits (e.g., health, insurance, and retirement 
benefits) related to those projected jobs that are provided by CSS 
Partners, will not be counted as leverage.
    (3) Leverage funds may include cash or in-kind services. However, 
in-kind services of staff time of either the Local Government applicant 
or the recognized developer entity will not be counted by HUD as 
leverage.
    (4) Leverage funds may include funds already spent, or funds and/or 
in-kind services firmly committed to the Main Street Area as a whole, 
not just the targeted affordable housing project related to this NOFA.
    (5) Leverage funds/in-kind services may include match funds.
    (6) If the applicant provides leverage funds/in-kind services of an 
amount less than 100 percent of the requested grant amount, the 
application will not be eligible for funding through this NOFA.
    i. One Main Street Area. The applicant may only include one Main 
Street Area in the application. However, the applicant's project may 
consist of several scattered sites within that one Main Street Area. If 
the applicant includes more than one Main Street Area in the 
application, the application will not be eligible for funding through 
this NOFA.
    j. One application. The applicant may submit only one HOPE VI Main 
Street application as described in this NOFA. If more than one 
application is submitted by a single applicant, all applications will 
be disqualified and no application will be eligible for funding.
    k. Appropriateness of the Application. The application demonstrates 
the appropriateness of the proposal in the context of the local housing 
market relative to other alternatives.
    l. The following sub-sections of Section III of the General Section 
are hereby incorporated by reference. The applicant must comply with 
each of the incorporated threshold requirements in order to be eligible 
for funding, including:
    (1) Ineligible Applicants;
    (2) Dun and Bradstreet Data Universal Numbering System (DUNS) 
Number Requirement;
    (3) Compliance with Fair Housing and Civil Rights Laws;
    (4) Conducting Business In Accordance with Core Values and Ethical 
Standards;
    (5) Delinquent Federal Debts;
    (6) Pre-Award Accounting System Surveys;
    (7) Name Check Review;
    (8) False Statements;
    (9) Prohibition Against Lobbying Activities; and
    (10) Debarment and Suspension.
    2. Program Requirements.
    a. Main Street Project Requirements. The applicant must have, 
within the applicant's jurisdiction, a HUD-recognized Main Street 
project that includes affordable housing. In order to be recognized by 
HUD as a Main Street project, the rejuvenation effort must:
    (1) Be located within a definable Main Street Area (See Section 
I.D. of this NOFA);
    (2) Have as its purpose the rejuvenation or redevelopment of a 
historic or traditional commercial area;
    (3) Involve investment or other participation by the local 
government and locally located private entities;
    (4) Comply with historic preservation requirements as directed by 
the

[[Page 42154]]

cognizant State Historic Preservation Officer (``SHPO'') or, if such 
historic preservation requirements are not applicable, to preserve 
significant traditional, architectural, and design features in the 
project structures or Main Street area; and
    (5) Have been described in a Main Street Rejuvenation Master Plan 
that was acknowledged by the applicant at least three years prior to 
the application submission date.
    b. Main Street Affordable Housing Project. HUD refers to the 
rejuvenation or development of affordable housing in the Main Street 
Area as a ``Main Street Affordable Housing Project'' (``project''). The 
project must:
    (1) Include the construction or substantial rehabilitation of 
affordable housing units. The number of units that will be developed 
through this NOFA must equal the number of units stated in form HUD-
52861, ``HOPE VI Main Street Application Data Sheet,'' on the ``Unit 
Mix and Accessibility Summary, Post-Revitalization'' page.
    (2) Involve the rehabilitation or development of affordable 
housing;
    (3) Be located within the boundaries of the applicant's Main Street 
Area;
    (4) Be located within the jurisdiction of the applicant; and
    (5) Have been included as part of a Main Street Rejuvenation Master 
Plan before the publication date of this NOFA.
    c. Master Plan. The Main Street Rejuvenation Master Plan must, at a 
minimum:
    (1) Have been prepared, in whole or in part, by an architect, land 
planner, or qualified planning professional for the applicant or the 
developer entity recognized by the applicant;
    (2) Describe the proposed Main Street project redevelopment 
strategies;
    (3) Include a map indicating the Main Street Area;
    (4) Include a narrative that refers to the map and describes the 
various planned redevelopment actions;
    (5) Include the development of affordable housing; and
    (6) Include a list of properties where affordable housing will be 
rehabilitated or developed. The list of properties must have been 
included in the master plan on or before the application submission 
date.
    d. Applicable Initial Resident Rental Contribution and Protections. 
The initial resident of a project unit is subject to the same rules 
regarding occupant contribution toward rent or purchase, and terms of 
rental or purchase, as residents in HOPE VI Revitalization development 
public housing units.
    e. Requirements During the Initial Occupancy Period for Rentals.
    (1) Initial residents of affordable rental units and initial 
resident purchasers of affordable homeownership units must be subject 
to the same rules regarding occupant contribution toward rent or 
purchase, and terms of rental or purchase, as residents of public 
housing units in a HOPE VI development.
    (2) The project owner entity is not required to develop most 
mandatory PHA documentation, e.g., the PHA Plans as described in 24 CFR 
part 903, etc. However, before the project is initially rented, the 
ownership entity must develop a written statement of its rent 
determination and resident grievance policies.
    (3) Public housing rental and grievance requirements that are 
contained in 24 CFR 903.7(d) and 24 CFR 903.7(f) may be used as 
examples for (1) and (2) above.
    f. Requirements for Initial Homeownership Sale. The initial sale of 
an affordable homeownership unit must take place in accordance with 
Section 24 of the U.S. Housing Act of 1937 (1937 Act), as amended.
    g. Use Restrictions. Project units must be maintained as affordable 
housing for only the period of initial occupancy or the initial 
resident's ownership. Use restrictions beyond the initial occupancy 
period may or may not be applied to the unit at the discretion of the 
applicant.
    h. Leveraging Other Resources. This NOFA states that each applicant 
must obtain non-HOPE VI leverage resources for use in the Main Street 
Affordable Housing Project (see Sections III.B. and V.A.4.a. of this 
NOFA) and, separately, for use in the general Main Street Area effort 
(see also Section III.C.1.h. of this NOFA).
    Main Street grant funds may be used to maximize the amount of 
leverage, i.e., leveraged funds and in-kind services, that the 
applicant can obtain from sources other than the HOPE VI program. In 
this capacity, grant funds may be used: (1) To collateralize municipal 
bonds or private-sector loans for affordable housing uses; and (2) As 
affordable housing ``key money'' to attract Main Street Affordable 
Housing Project or Main Street Area leverage.
    (1) Uses of Leverage. Leverage funds and in-kind services may be 
used for eligible activities listed in Section I.E. of this NOFA and 
for related activities, including, but not limited to:
    (a) For Main Street Affordable Housing Project Leverage:
    (i) The acquisition of Main Street Affordable Housing Project-
related affordable housing, including associated costs, such as 
appraisals, surveys, tax settlements, broker fees, and other closing 
costs;
    (ii) Site improvements related to the construction and 
rehabilitation of Main Street Affordable Housing Project-related 
affordable housing;
    (iii) Clearing of interior space that is necessary to facilitate 
rehabilitation of affordable housing units within a building;
    (iv) Funding of Reserves, e.g., Initial Operating Reserve necessary 
for financial viability during the initial affordable housing occupancy 
period, Replacement Reserves, etc.;
    (v) Homeownership financial assistance, e.g., write-down of 
homeownership unit development costs and down payment assistance;
    (vi) Other uses that relate directly to the Main Street Affordable 
Housing Project;
    (b) For Main Street Area Leverage:
    (i) Rehabilitation of retail space;
    (ii) Site improvements, e.g., repaving streets or upgrading streets 
or sidewalks with brick or cobblestone, adding ``boulevard'' islands, 
etc.;
    (iii) Legal and administrative fees and costs; and
    (iv) Other uses that do not relate directly to the Main Street 
Affordable Housing Project, but do relate to the general Main Street 
Area effort.
    i. Transfer of Title for Tax Credits. The original owner entity of 
Main Street Affordable Housing Project properties may transfer title 
to, or commit to a long-term lease with, an owner entity partnership 
that includes the original owner, the applicant, an equity partner and, 
when appropriate, other partners, for the purpose of obtaining Low 
Income or Historic Tax Credit equity as a leverage resource. See 
Section IV.E. of this NOFA for limits on sale of real property.
    j. Section 106 Historic Preservation Requirements. Grantees may not 
commit HUD funds until HUD has completed the historic preservation 
review and consultation process under Section 106 of the National 
Historic Preservation Act of 1966 (16 U.S.C. 470f) and its implementing 
regulation, 36 CFR part 800, as applicable, in accordance with 
environmental review requirements under 24 CFR part 50. See http://www.achp.gov/ for details on the Section 106 review process.
    k. Environmental Requirements.
    (1) HUD's notification of award to a selected applicant constitutes 
a preliminary approval by HUD, subject to HUD's completion of an 
environmental review, of proposed sites in accordance with 24 CFR part 
50. Selection for

[[Page 42155]]

participation (preliminary approval) does not constitute approval of 
the proposed site(s).
    (2) Your application constitutes a certification that you, the 
applicant, will supply HUD with all available, relevant information 
necessary for HUD to perform any environmental review required by 24 
CFR part 50 for each property; will carry out mitigating measures 
required by HUD or, if mitigation is not feasible, select alternate 
eligible property; and will not acquire, rehabilitate, convert, 
demolish, lease, repair, or construct property, nor commit or expend 
HOPE VI, other HUD or other non-HUD funds for these program activities 
with respect to any eligible property, until you receive written HUD 
approval of the property.
    (3) Each proposal will be subject to a HUD environmental review, in 
accordance with 24 CFR part 50, and the proposal may be modified or the 
proposed sites rejected as a result of that review.
    (4) Phase I and Phase II Environmental Site Assessments. If you are 
selected for funding, you must have a Phase I environmental site 
assessment completed in accordance with the ASTM Standards E 1527-00, 
as amended, for each affected site. The results of the Phase I 
assessment must be included in the documents that must be provided to 
HUD for the environmental review. If the Phase I assessment recognizes 
environmental concerns or if the results are inconclusive, a Phase II 
environmental site assessment will be required.
    (5) Mitigating and remedial measures. You must carry out any 
mitigating/remedial measures required by HUD. If a remediation plan, 
where required, is not approved by HUD and a fully-funded contract with 
a qualified contractor licensed to perform the required type of 
remediation is not executed, HUD reserves the right to determine that 
the grant is in default.
    (6) Your application constitutes a certification that there are not 
any environmental or public policy factors such as sewer moratoriums 
that would preclude development in the requested Main Street Area.
    (7) Note that environmental requirements for this NOFA are found in 
24 CFR part 50, which requires HUD environmental approval. Please note 
that 24 CFR part 58, which allows State and local governments to assume 
Federal environmental responsibilities, is not applicable.
    (8) HUD's Environmental Web site is located at http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm.
    l. Building Standards.
    (1) Building Codes. All activities that include construction, 
rehabilitation, lead-based paint removal, and related activities must 
meet or exceed local building codes. The applicant is encouraged to 
read the policy statement and Final Report of the HUD Review of Model 
Building Codes that identifies the variances between the design and 
construction requirements of the Fair Housing Act and several model 
building codes. That report can be found on the HUD Web site at http://www.hud.gov/fhe/modelcodes.
    (2) Deconstruction. HUD encourages the applicant to design programs 
that incorporate sustainable construction and demolition practices, 
such as the dismantling or ``deconstruction'' of housing units, 
recycling of demolition debris, and reusing salvage materials in new 
construction. ``A Guide to Deconstruction'' can be found at http://www.hud.gov/deconstr.pdf.
    (3) Partnership for Advancing Technology in Housing (``PATH''). HUD 
encourages the applicant to use PATH technologies in the construction 
and delivery of affordable housing. PATH is a voluntary initiative that 
seeks to accelerate the creation and widespread use of advanced 
technologies to radically improve the quality, durability, 
environmental performance, energy efficiency, and affordability of our 
nation's housing.
    (a) The goal of PATH is to achieve dramatic improvement in the 
quality of American housing by the year 2010. PATH encourages leaders 
from the home building, product manufacturing, insurance, and financial 
industries, and representatives from federal agencies dealing with 
housing issues to work together to spur housing design and construction 
innovations. PATH will provide technical support in design and cost 
analysis of advanced technologies to be incorporated in project 
construction.
    (b) Applicants are encouraged to employ PATH technologies to exceed 
prevailing national building practices by:
    (i) Reducing costs;
    (ii) Improving durability;
    (iii) Increasing energy efficiency;
    (iv) Improving disaster resistance; and
    (v) Reducing environmental impact.
    (c) More information, including a list of technologies, the latest 
PATH Newsletter, results from field demonstrations, and descriptions of 
PATH projects can be found at www.pathnet.org.
    (4) Energy Efficiency.
    (a) New construction must comply with the latest HUD-adopted Model 
Energy Code issued by the Council of American Building Officials.
    (b) In HOPE VI new construction, HUD encourages the applicant to 
set higher energy and water efficiency standards than the Model Energy 
Code contains. Such higher standards can achieve utility savings of 30 
to 50 percent with minimal extra cost.
    (c) The applicant is encouraged to negotiate with its local utility 
company to obtain lower utility rates. Utility rates and tax laws vary 
widely throughout the country. In some areas, local governments are 
exempt or partially exempt from utility rate taxes. Some local 
governments have paid unnecessarily high utility rates because they 
were billed using an incorrect rate classification.
    (d) Local utility companies may be able to provide grant funds to 
assist in energy efficiency activities. States may also have programs 
that will assist in energy efficient building techniques.
    (e) The applicant must use new technologies that will conserve 
energy and decrease operating costs where cost effective. Examples of 
such technologies include:
    (i) Geothermal heating and cooling;
    (ii) Placement of buildings and size of eaves that take advantage 
of the directions of the sun throughout the year;
    (iii) Photovoltaics (technologies that convert light into 
electrical power);
    (iv) Extra insulation;
    (v) Smart windows; and
    (vi) Energy Star appliances.
    (5) Universal Design. HUD encourages the applicant to incorporate 
the principles of universal design in the construction or 
rehabilitation of housing, retail establishments, and community 
facilities, and when communicating with community residents at public 
meetings or events. 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. Examples include designing 
wider doorways, installing levers instead of doorknobs, and putting 
bathtub/shower grab bars in all units. Computers and telephones can 
also be set up in ways that enable as many residents as possible to use 
them. The Department has a publication that contains a number of ideas 
about how the principles of Universal Design can

[[Page 42156]]

benefit persons with disabilities. To order a copy of Strategies for 
Providing Accessibility and Visitability for HOPE VI and Mixed Finance 
Homeownership, go to the publications and resource page of the HOPE VI 
Web site at http://www.huduser.org/publications/pubasst/strategies.html.
    (6) Energy Star. The Department of Housing and Urban Development 
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 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 to 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 1-888-STAR-YES (1-888-782-7937) or for the 
hearing-impaired, 1-888-588-9920 TTY.
    (7) All buildings must be in compliance with design and 
construction requirements of the Civil Rights Act of 1964, Section 504 
of the Rehabilitation Act of 1973, and Section 109 of the Housing and 
Community Development Act of 1974.
    m. Lead-Based Paint. The applicant must comply with lead-based 
paint evaluation and reduction requirements as provided for under the 
Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821, et seq.). 
The applicant must also comply with regulations at 24 CFR part 35, as 
they may be amended or revised from time to time. Unless otherwise 
provided, the applicant will be responsible for lead-based paint 
evaluation and reduction activities for housing constructed prior to 
1978. The National Lead Information Hotline is 1-800-424-5323.
    n. Labor Standards.
    (1) If other federal programs are used in connection with the 
applicant's HOPE VI Main Street activities, Davis-Bacon requirements 
apply to the extent required by the other federal programs.
    (2) If an applicant provides Main Street grant funds to a PHA to 
construct, rehabilitate, or otherwise assist affordable housing under 
this NOFA, Davis-Bacon wage rates will apply to laborers and mechanics 
(other than volunteers under 24 CFR part 70) employed in the 
development of such units, and HUD-determined wage rates will apply to 
laborers and mechanics (other than volunteers) employed in the 
operation of such units.
    o. Relocation Requirements. The Uniform Relocation Assistance and 
Real Property Acquisition Policies Act of 1979 (42 U.S.C. 4601-4655) 
and implementing regulations at 49 CFR part 24 apply to anyone who is 
displaced as a result of acquisition, rehabilitation, or demolition due 
to a HUD-assisted activity.
    p. Fair Housing and Equal Opportunity Requirements.
    Fair Housing and Equal Opportunity requirements stated in Section 
III.c.2.(c) of the General Section apply as referenced in this NOFA. In 
addition, the following requirement applies:
    (1) Accessibility Requirements.
    (a) All ``multifamily'' HOPE VI developments, defined as projects 
with more than five units, are subject to the accessibility 
requirements contained in several federal laws, as implemented in 24 
CFR part 8. PIH Notice 2003-31, available at http://www.hud.gov/offices/pih/publications/notices/, and subsequent updates, provides an 
overview of all pertinent laws and implementing regulations pertaining 
to HOPE VI.
    (b) Generally, for substantial rehabilitation of projects with more 
than 15 housing units, or new construction of a multifamily project, at 
least 5 percent of the units, or one unit, whichever is greater, must 
be accessible to persons with mobility impairments. An additional 2 
percent, but not less than one unit, must be made accessible for 
persons with hearing or vision impairment. See, in particular, 24 CFR 
parts 8.20 through 8.32.
    (c) In addition, under the Fair Housing Act, all new construction 
of covered multifamily buildings must contain certain features of 
accessible and adaptable design. The relevant accessibility 
requirements are provided in HUD's FHEO Web site at http://www.hud.gov/groups/fairhousing.cfm. Units covered are all those in elevator 
buildings with four or more units and all ground floor units in 
buildings without elevators. See also ``program accessibility'' at 
http://www.hud.gov/offices/fheo/disabilities/sect504faq.cfm#anchor263905. This section is in addition to, and does 
not replace, other non-HUD accessibility requirements that the 
applicant local government may be subject to.
    (2) Compliance with Fair Housing and Civil Rights Laws.
    (a) Applicants must comply with all applicable fair housing and 
civil rights requirements in 24 CFR 5.105(a).
    (b) If you, the applicant:
    (i) Have been charged with an ongoing systemic violation of the 
Fair Housing Act; or
    (ii) Are a defendant in a Fair Housing Act lawsuit filed by the 
Department of Justice alleging an ongoing pattern or practice of 
discrimination; or
    (iii) Have received a letter of noncompliance 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
    (iv) 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:
    (A) A voluntary compliance agreement signed by all parties in 
response to a letter of findings;
    (B) A HUD-approved conciliation agreement signed by all parties;
    (C) A consent order or consent decree; or
    (D) An issuance of a judicial ruling or a HUD Administrative Law 
Judge's decision.
    3. General Section References. The following subsections of Section 
III of the General Section are hereby incorporated by reference:
    a. Additional Nondiscrimination and Other Requirements;
    (1) Civil Rights Laws, including the Americans with Disabilities 
Act of 1990 (42 U.S.C. 1201 et seq.);
    (2) The Age Discrimination Act of 1974 (42 U.S.C. 6101 et seq.); 
and
    (3) Title IX of the Education Amendments Act of 1972 (20 U.S.C. 
1681 et seq.)

[[Page 42157]]

    b. Affirmatively Furthering Fair Housing;
    c. Economic Opportunities for Low- and Very Low-Income Persons 
(Section 3);
    d. Ensuring the Participation of Small Businesses, Small 
Disadvantaged Businesses, and Women-Owned Businesses;
    e. Relocation;
    f. Executive Order 13166, Improving Access to Services for Persons 
With Limited English Proficiency (LEP);
    g. Executive Order 13279, Equal Protection of the Laws for Faith-
Based and Community Organizations;
    h. Accessible Technology;
    i. Procurement of Recovered Materials;
    j. Participation in HUD-Sponsored Program Evaluation;
    k. Executive Order 13202, Preservation of Open Competition and 
Government Neutrality Towards Government Contractors' Labor Relations 
on Federal and Federally Funded Construction Projects;
    l. Salary Limitation for Consultants;
    m. OMB Circulars and Government-wide Regulations Applicable to 
Financial Assistance Programs;
    n. Drug-Free Workplace; and
    o. Safeguarding Resident/Client Files.

IV. Application and Submission Information

A. Addresses To Request Application Package

    This section describes how you may obtain application forms, 
additional information about the General Section of this NOFA, and 
technical assistance.
    1. Copies of this published NOFA and related application forms may 
be downloaded from the grants.gov Web site at http://www.grants.gov/FIND. If you have difficulty accessing the information, you may receive 
customer support from grants.gov by calling the help line at (800) 518-
GRANTS or by sending an email to grants.gov">support@grants.gov. The operators will 
assist you in accessing the information. If you do not have Internet 
access and need to obtain a copy of this NOFA, you can contact HUD's 
NOFA Information Center toll-free at (800) HUD-8929. Persons with 
hearing or speech impairments may call toll-free at (800) HUD-22091.
    2. Application Kits. There are no application kits for HUD 
programs. All the information you need to apply will be in the NOFA and 
available on http://www.grants.gov.
    3. 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, 
electronic copy, or at http://www.grants.gov, the Federal Register 
publication prevails. Please be sure to review the application 
submission against the requirements in the Federal Register file of 
this NOFA.

B. Content and Form of Application Submission

    1. Number of Applications Permitted. Each applicant may submit only 
one application.
    2. Joint Applications. Joint applications are not permitted. 
However, the applicant may enter into subgrant agreements with procured 
developers, other partners, nonprofit organizations, state governments, 
or other local governments to perform the activities proposed under the 
application.
    3. General Format and Length of Application.
    a. Applicant Name. The applicant's name must include the name of 
the Local Government that is applying and the state in which the Local 
Government is located.
    b. Electronic Format.
    (1) Narrative. Narrative sections of the application are as listed 
in Section IV.B.3.c. of this NOFA. Each section should be contained in 
a separate file. Each file should contain one title page.
    (a) Narrative Title Pages. HUD will use title pages as tabs when it 
downloads and prints the application. Provided the information on the 
title page is limited to the list in Section (i) below, the title pages 
will not be counted when HUD determines the length of each section or 
the overall length of the narrative.
    (i) Each title page should contain only:
    (A) The name of the section, as described in Section IV.B.3.c. of 
this NOFA, e.g., ``Section D: Rating Factor 1, Capacity, Narrative 
Response';
    (B) The name of the applicant; and
    (C) The name of the file that contains the narrative section.
    (b) Narrative File Names and Types.
    (i) No narrative section file in the application may contain more 
than five files. ZIP file folders may be used to combine several 
narrative files. Each file and ZIP file folder must be entered into the 
grants.gov ``Attachment Form'' in the ``Grant Application Package'' for 
submission.
    (ii) Each file, or file within the ZIP file folder, must be 
formatted so it can be read by MS Word 2000 (.doc) or Adobe Acrobat as 
a searchable PDF file.
    (iii) The name of each file, or file within the ZIP file folder, 
must include the information below, in the order stated:
    (A) Short version of applicant's name, e.g., town, city, county/
parish, etc., and state; and
    (B) The word ``Narrative'' and the narrative section letter (A 
through J), as listed in Section IV.B.3.c. of this NOFA;
    (C) An example of a narrative section file name is, ``Atlanta GA 
Narrative A.''
    (2) Attachments. Attachments are as listed in Section IV.B.3.c. of 
this NOFA. Each attachment should be contained in a separate file and 
section of the application. Each attachment that is not a HUD form 
should contain one title page.
    (a) Attachment Title Pages. HUD will use title pages as tabs if it 
prints the application. Provided the information on the title page is 
limited to the list in Section (i) below, the title pages will not be 
counted when HUD determines the length of each attachment, or the 
overall length of the attachments. HUD forms do not require title 
pages.
    (i) Each title page should contain only:
    (A) The name of the attachment, as described in Section IV.B.3.c. 
of this NOFA, e.g., ``Section M: Main Street Area Drawing'';
    (B) The name of the applicant; and
    (C) The name of the file that contains the attachment.
    (b) Attachment file names and types.
    (i) In the grants.gov application package, some forms are completed 
online and some are downloaded and completed offline. A maximum of ten 
attachments/ZIP file folders should be used to contain and submit the 
various forms and other attachments that are completed offline. Each 
file and ZIP file folder must be entered into the grants.gov 
``Attachment Form'' in the ``Grant Application Package'' for 
submission.
    (ii) Each file, and file within a ZIP file folder, must be 
formatted so it can be read by MS Word (.doc), MS Excel (.xls) or Adobe 
Acrobat (.pdf), preferably searchable.
    (A) Third-party documents, e.g., leverage commitment letters, 
pictures, etc., should be submitted in Adobe Acrobat (PDF) format.
    (iii) Each file name must include the information below, in the 
order stated:
    (A) Short version of applicant's name, e.g., town, city, county/
parish, etc., and state; and
    (B) The word ``Attachment'' and the Attachment section letter (K 
through U), as listed in Section IV.B.3.c. of this NOFA;
    (C) An example of an attachment file name is, ``Atlanta GA 
Attachment L''
    (3) Maximum Length of Application.

[[Page 42158]]

    (i) Page Definition and Format.
    (A) For the narrative, a ``page'' contains a maximum of 23 double-
spaced lines. The length of each line must be a maximum of 6\1/2\ 
inches. This is the equivalent of formatting to be printed on 8\1/2\'' 
x 11'' paper, with one inch top, bottom, left and right margins. The 
font must be 12-point Times New Roman. Each page must be numbered. The 
page numbers may be within the bottom one inch of the page, beyond the 
23 lines, e.g., in the footer area.
    (B) For attachments, text pages should be formatted as defined as 
in (A) above. Third-party documents converted into PDF format must not 
be shrunk to fit more than one original page on each application page. 
Pages of HUD forms and certification formats furnished by HUD must 
remain as numbered by HUD.
    (ii) The maximum total length of all narrative sections, including 
the Executive Summary and the Rating Factor responses, is 15 pages.
    (iii) The maximum length of attachments is as follows:
    (A) HUD forms will not be counted toward the attachment page total;
    (B) For the Program Schedule, a maximum of one page;
    (C) For the Map of the Main Street Area, one page. The map must be 
scalable and may be shrunk to fit one page from a standard size 
blueprint. The map must be legible when viewed in Adobe Acrobat (.pdf), 
which has the ability to zoom to over 1600%;
    (D) Main Street Rejuvenation Master Plan (Master Plan), a maximum 
of 20 pages. Master Plan documents should be scanned and converted into 
one or more PDF files. In order to meet the size limitation, the 
applicant may submit only the portions of the Master Plan that pertain 
to subjects that are listed in Section III of this NOFA, under 
``Thresholds'' and ``Program Requirements,'' and Section V of this 
NOFA. If those portions of the Master Plan exceed 20 pages, the 
applicant may summarize information that is included in those portions 
of the Master Plan. By applying for this NOFA, the applicant is 
certifying that submitted summaries of the Master Plan accurately 
represent the original Master Plan;
    (E) Text submitted at the request of HUD to correct technical 
deficiencies will not be counted in the page limit.
    c. List of Mandatory Application Sections and Related Documents.
    (1) Summary Information:
    (a) Section A: Application for Federal Assistance, form SF-424;
    (b) Section B: Application Table of Contents;
    (c) Section C: Executive Summary;
    (2) Rating Factor Responses:
    (a) Section D: Rating Factor 1, Capacity, Narrative Response;
    (b) Section E: Rating Factor 2, Need for Affordable Housing, 
Narrative Response;
    (c) Section F: Rating Factor 3, Appropriateness of Main Street 
Master Plan;
    (d) Section G: Rating Factor 4, Appropriateness of the Main Street 
Affordable Housing Project;
    (e) Section H: Rating Factor 5, Program Administration and Fiscal 
Management;
    (f) Section I: Rating Factor 6, Incentive Criteria on Regulatory 
Barrier Removal; and
    (g) Section J: Rating Factor 7, RC/EZ/EC-IIs.
    (3) Attachments:
    (a) Section K: HOPE VI Main Street Application Data Sheet, form 
HUD-52861;
    (b) Section L: Program Schedule;
    (c) Section M: Map of Main Street Area;
    (d) Section N: Main Street Rejuvenation Master Plan;
    (e) Section O: HOPE VI Budget, form HUD-52825A;
    (f) Section P: 5-Year Cash Flow Proforma;
    (g) Section Q: America's Affordable Communities Initiative, form 
HUD-27300, and related documentation;
    (h) Section R: Logic Model, form HUD-96010;
    (i) Section S: Race and Ethnic Data Reporting, form HUD-27061;
    (j) Section T: Applicant/Recipient Disclosure/Update Report, form 
HUD-2880, if applicable;
    (k) Section U: Certification of Consistency with the RC/EZ/EC-IIs 
Strategic Plan, form HUD-2990, if applicable; and
    (l) Section V: Disclosure of Lobbying Activities, Standard Form 
LLL, if applicable.
    4. Documentation Information.
    a. Executive Summary.
    (1) Provide an Executive Summary, not to exceed two pages. Describe 
your affordable housing plan. State whether you have procured a 
developer or whether you will act as your own developer. Briefly 
describe:
    (a) The type of housing, e.g., walk-up above retail space, detached 
house, etc.;
    (b) The number of units and buildings;
    (c) The specific plans for the Main Street Area that surrounds the 
Main Street Affordable Housing Project. Include income mix, basic 
features (such as restoration of streets), and a general description of 
mixed-use and non-housing Main Street rejuvenation components.
    (d) The number of homeownership units in your proposal, if any;
    (e) The amount of HOPE VI funds you are requesting. See Section 
IV.E. of this NOFA for funding limits; and
    (f) A list of major non-HOPE VI funding sources for the Main Street 
Affordable Housing Project, if any.
    b. HOPE VI Main Street Application Data Sheet, form HUD-52861, in 
MS Excel format (.xls).
    (1) This form consists of several Excel worksheets. Instructions 
for filling in the data worksheets are located on the left-hand 
worksheet, with the tab name, ``Instructions.'' The worksheets should 
be filled out from the left-most tab toward the right. In this way, the 
information that the applicant provides will automatically be inserted 
to the right into other worksheets as needed.
    (2) List of Match and Leverage Resources. To meet the leverage 
resources threshold stated in Section III.C.1 of this NOFA, the 
applicant must provide a leverage amount equal to or greater than the 
applicant's requested grant amount. Allowable resources may be cash 
contributions or contributions of in-kind services. For each of the 
applicant's leverage resources, the applicant's list of leverage 
resources must include:
    (a) The name of the entity providing the resource;
    (b) The name of a contact for the entity providing the resource 
that is familiar with the contribution toward this application;
    (c) The telephone number of a contact for the resource who is 
familiar with the contribution toward this application;
    (d) The leverage amount;
    (e) Whether the leverage amount is cash or in-kind services; and
    (f) The period in which the leverage resource was expended or will 
be received, e.g., expended during 2003, or, for a future leverage 
resource, the period in which it will be furnished, e.g., over the next 
two years.
    c. Program Schedule. The application must include a program 
schedule for the applicant's Project.
    (1) The schedule must include, at a minimum:
    (a) Grant Agreement Execution Date. Assume that the Grant Agreement 
Execution Date will be within 90 days of the grant award notification 
date;
    (b) Date of closing of financing of the first phase, in months 
after the grant award date;
    (c) Date of the start of construction of the first housing unit, in 
months after the grant award date; and
    (d) Date of the completion of construction of the last housing 
unit, in months after the grant award date.

[[Page 42159]]

    (2) The Program Schedule must reflect the Reasonable Time-Frame and 
Development Proposal time requirements stated in Section VI.B.1. of 
this NOFA. The Program Schedule must also state that grant activities 
will be completed within the 30-month term of the grant.
    d. Map of Main Street Area. The drawing must show the boundaries of 
a Main Street Area and denote each housing site that is included in the 
applicant's project. The boundaries may include streets, highways, 
railroad tracks, etc., and natural boundaries such as streams, hills, 
and ravines, etc.
    e. Main Street Rejuvenation Master Plan. The applicant's Main 
Street Rejuvenation Master Plan must address, at a minimum, the eight 
subjects listed in ``Main Street Rejuvenation Master Plan,'' in Section 
I.D.13. of this NOFA. The Master Plan must be as it existed on or 
before the application submission date of this NOFA. It is not 
necessary to include a market analysis for affordable housing that is 
needed in the Main Street Area or applications to the Historic Registry 
or list of Historic Districts. The applicant may submit only the 
portions of the Master Plan that pertain to subjects that are listed in 
Section III of this NOFA, under ``Thresholds,'' ``Program 
Requirements,'' and Section V of this NOFA. If those portions of the 
Master Plan exceed 20 pages, the applicant may summarize information 
that is included in those portions of the Master Plan. By applying for 
this NOFA, the applicant is certifying that submitted summaries of the 
Master Plan accurately represent the original Master Plan. See Section 
IV.B.5. of this NOFA for certifications that the applicant is making 
when the applicant applies for funds from this NOFA.
    f. Cash Flow Proforma. The applicant must include a five-year 
estimate of project income, expenses, and cash flow (``proforma'') that 
shows that the project will be financially viable over the long term. 
In the proforma, the applicant should assume that the initial occupancy 
period is a minimum of two years. Note that initial funding of reserves 
with grant funds is NOT an allowable use of funds from this NOFA. 
Reserves may be funded through leverage resources. Viability must be 
shown for the entire project, i.e., all buildings that include 
affordable housing units that are partially or wholly funded with HOPE 
VI funds. The applicant may include one proforma for the entire 
project, or several proformas, broken out for the various portions of 
the project, as fits the circumstances best. For example, separate 
proformas may include viability documentation for:
    (1) All buildings together;
    (2) Separately for each building in the project; or
    (3) Separately for each owner entity in the project.
    g. HOPE VI Budget. Enter the amount you are requesting through this 
NOFA. In ``Part I: Summary,'' it is not necessary to fill in the 
columns entitled, ``Previous Authorized Amounts of Funds in LOCCS,'' 
``Changes Requested in this Revision,'' and ``HUD-Approved Total 
Authorized Amount of Funds in LOCCS.'' In ``Part II: Supporting 
Pages,'' it is necessary only to fill in columns 2 and 3.
    h. Logic Model. It is not necessary to fill in columns 6, 7, 8 and 
9. This information will be collected at the end of the grant term. See 
Section VI.C.3. of this NOFA.
    i. Appropriateness of Application. Section 24(e)(1) of the 1937 Act 
requires that the application demonstrate the appropriateness of the 
proposal in the context of the local housing market relative to other 
alternatives. An example of an alternative proposal would be proposing 
a range of resident incomes, housing types (rental, homeownership, 
market-rate, townhouse, detached house, etc.), or costs which cannot be 
supported by the existing neighborhood demographics. Briefly, contrast 
your proposal and an alternative, and include the discussion in the 
executive summary.
    5. Certifications: By manually or electronically signing the SF-
424, the applicant certifies to the following:
    a. The Main Street Rejuvenation Master Plan that is included as 
part of this application existed for three years prior to the 
application submission date, and is mentioned in the applicant's 
Consolidated Plan, if one exists;
    b. Prior to the publication date of this NOFA, the Main Street 
Affordable Housing Project was, and continues to be, included in the 
Main Street Rejuvenation Master Plan;
    c. Submitted summaries of the Master Plan accurately represent the 
original Master Plan;
    d. The applicant or its developer entity recognized by the 
applicant has site control of all properties where affordable housing 
will be developed;
    e. All project sites have zoning that allows for residential 
development;
    f. All Match resources included in the application are ``firmly 
committed.'' See the definition of ``firmly committed'' in Section I.D. 
of this NOFA;
    g. All leverage resources included in the application are ``firmly 
committed.'' See the definition of ``firmly committed'' in Section I.D. 
of this NOFA;
    h. Historic preservation requirements in Section 106 of the 
National Historic Preservation Act of 1966 (NHPA) will be fulfilled, 
where applicable.
    i. Environmental requirements stated in the NOFA will be fulfilled;
    j. Building standards stated in the NOFA will be fulfilled;
    k. Relocation requirements under the Uniform Relocation Assistance 
and Real Property Acquisition Policies Act of 1970 (URA) will be 
fulfilled;
    l. Fair Housing requirements will be followed and fulfilled; and
    m. The ``Certification of Consistency with RC/EZ/EC Strategic 
Plan'' (form HUD-2990), if included in the application, applies.
    6. Rating Factor Format. The narrative portion of the application 
is the executive summary and the applicant's response to the rating 
factors. To ensure proper credit for information applicable to each 
rating factor, the applicant should include application Section 
references, as listed in Section IV.B.3.c. of this NOFA, with key words 
or phrases searchable to supporting documentation and language, as 
appropriate for rating factor responses. The applicant's rating factor 
responses should be as descriptive as possible, ensuring that every 
requested item is addressed. The applicant should make sure to include 
all information requested in the instructions of this NOFA. Although 
information from all parts of the application will be taken into 
account in rating the various factors, if supporting information cannot 
be found by the reviewer, it cannot be used to support a factor's 
rating.
    7. Rating Factor Documentation.
    a. References to the Main Street Rejuvenation Master Plan. (1) The 
purpose of referencing the Main Street Rejuvenation Master Plan is to 
decrease the amount of rating factor narrative that the applicant finds 
necessary to achieve its maximum rating. It is NOT necessary to repeat 
in the rating factor narratives the information that the applicant 
included in its Master Plan.
    (2) Each reference to the Master Plan should be specific, including 
the page number of the Master Plan where the information can be found 
and a reference to identify its location on the page. More than one 
specific reference to the Master Plan may be included for any one 
subject or rating factor narrative.
    b. Team Experience and Key Personnel Knowledge. Documentation that 
demonstrates knowledge and experience may include, but is not limited 
to:

[[Page 42160]]

    (1) A list and short description of affordable housing projects 
that the members of the applicant's team have completed;
    (2) A list and short description of contracts or grants completed 
by the members of the applicant's team for similar housing development 
or services;
    (3) Third-party evaluation reports;
    (4) R[eacute]sum[eacute]s of key personnel; and
    (5) Other documentation showing knowledge and experience of 
affordable housing development or construction.
    c. Need for Affordable Housing. Documentation of need for 
affordable housing is based on a comparison of HUD's Fair Market Rent 
(FMR) for the applicant's Primary Metropolitan Statistical Area/
Metropolitan Statistical Area (``PMSA/MSA'') or nonmetropolitan county/
parish and the maximum amount of rent that a low-income family living 
in that PMSA/MSA or nonmetropolitan county/parish can afford to pay.
    (1) PMSA/MSAs and nonmetropolitan counties are as listed in HUD's 
document titled ``FY 2004 State List of Counties (and New England 
Towns) Identified by Metropolitan and Nonmetropolitan Status' at http://www.huduser.org/datasets/il/IL04/Definitions04.doc.
    (2) The FMRs are listed at http://www.huduser.org/intercept.asp?loc=/Datasets/FMR/FMR2005F/Final_FY2005_SCHEDULEB1.pdf
    (3) The maximum, affordable low-income rent is based on HUD's 
Income Limits, as listed at http://www.huduser.org/datasets/il/IL04/Section8_IncomeLimits_2004.doc for low-income families. The maximum, 
affordable low-income rent is equal to the Median Family Income for 
low-income families, divided by 12, divided further by 0.3 (30 
percent).
    (4) In performing the comparison, the applicant must use the 4-
person family size and the 3-bedroom unit size. The application must 
include the income limit and maximum, affordable low-income rent for a 
4-person family, and the Fair Market Rent for a 3-bedroom unit.
    d. Program Administration and Fiscal Management. Documentation that 
demonstrates program administration and fiscal management MUST include:
    (1) A description of the procurement system structure that the 
applicant has in place, including internal controls;
    (2) A description of the fiscal management structure that the 
applicant has in place, including fiscal controls and internal 
controls;
    (3) A summary of the results of the last available annual external, 
independent audit, including findings, if any;
    (4) A list of any findings issued or material weaknesses found by 
HUD or other federal or state agencies. A description of how the 
applicant addressed the findings and/or weaknesses. If no findings or 
material weaknesses were exposed or existed on or before the 
publication date of this NOFA, include a statement to that effect in 
the narrative; and
    (5) A description of the applicant's management control structure, 
including management roles and responsibilities and evidence that the 
applicant's management is results-oriented, e.g., existing production, 
rental, and maintenance goals.
    e. Incentive Criteria on Regulatory Barrier Removal.
    (1) The applicant must include the completed form HUD-27300 in the 
application, along with background documentation where required by the 
form.
    f. RC/EZ/EC-IIs.
    (1) To receive the two bonus points for performing the NOFA 
activities in a RC/EZ/EC-II area, the applicant must include the 
``Certification of Consistency with RC/EZ/EC Strategic Plan'' (form 
HUD-2990) in the application. The form HUD-2990 needs to be filled out, 
but does not need to be signed. See Section IV.B.5. of this NOFA, 
``Certifications.''

C. Submission Dates and Times

    1. Application submission date. The application submission date is 
September 6, 2005.
    2. No Facsimiles or Videos. HUD will not accept for review, 
evaluation, or funding, any entire application sent by facsimile (fax). 
However, third-party documents or other materials sent by facsimile in 
compliance with the instructions under Section IV. F., ``Other 
Submission Requirements,'' and received by the application submission 
date will be accepted. Facsimile corrections to technical deficiencies 
will be accepted. Also, videos submitted as part of an application will 
not be viewed.

D. Intergovernmental Review

    1. Executive Order 12372, Intergovernmental Review of Federal 
Programs. 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 executive order allows each state 
to designate an entity to perform a state review function. The official 
listing of State Points of Contact (SPOCs) 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 
the applicant's state has a SPOC, the applicant should contact it to 
see if it is interested in reviewing the application prior to 
submission to HUD. The applicant should allow ample time for this 
review process when developing and submitting the applications. If the 
applicant's state does not have a SPOC, the applicant may send 
applications directly to HUD.

E. Funding Restrictions

    1. Grant funds shall be used only to provide assistance to carry 
out eligible affordable housing activities, as stated in Section I.E. 
of this NOFA.
    2. Non-allowable Costs and Activities. Although leverage resources 
may be used to fund the following activities or expenses, grant funds 
from this NOFA CANNOT be used for:
    a. Total demolition of a building (including where a building 
foundation is retained);
    b. Sale or lease of the Main Street Affordable Housing Project site 
(excluding lease or transfer of title for the purposes of obtaining tax 
credits, provided that the recipient owner entity of the title or lease 
includes the applicant);
    c. Funding of reserves;
    d. Payment of administrative costs of the applicant;
    e. Payment of legal fees;
    f. Development of public housing replacement units (defined as 
units that replace disposed of or demolished public housing) or use as 
Housing Choice Vouchers;
    g. Transitional security activities;
    h. Main Street technical assistance consultants or contracts; and
    i. Costs incurred prior to grant award, including the cost of 
application preparation.
    3. Cost Controls.
    a. The total amount of HOPE VI funds expended shall not exceed the 
Total Development Cost (``TDC''), as published by HUD in NOTICE PIH 
2003-8 (HA), ``Public Housing Development Cost Limits,'' for the number 
of affordable housing units that will be developed through this NOFA. 
The TDC limits can be found at http://www.hudclips.org/sub_nonhud/cgi/nph-brs.cgi?d=PIHN&s1=2003-8 &op1=AND&l=100&SECT1=TXT--

[[Page 42161]]

HITS&SECT5=HEHB&u=./hudclips. cgi& p=1&r=2&f=G.
    b. Cost Control Safe Harbors apply. Safe Harbors may be found at 
http://www.hud.gov/utilities/intercept.cfm? /offices/pih/programs/ph/
hope6/ grants/admin/safe--harbor.pdf.
    4. Community and Supportive Services (``CSS''). Furnishing CSS to 
residents is voluntary, except for homeownership counseling when the 
application includes development of homeownership units. If the 
applicant chooses to furnish CSS, expenditures are limited to 15 
percent of the grant amount.
    5. Statutory time limit for award, obligation, and expenditure.
    a. The estimated award date will be September 30, 2005.
    b. Funds available through this NOFA must be obligated on or before 
September 30, 2005.
    c. In accordance with 31 U.S.C. 1552 (Pub. L. 97-258, Sept. 13, 
1982, 96 Stat. 935; Pub. L. 101-510, div. A, title XIV, Sec. 
1405(a)(1), Nov. 5, 1990, 104 Stat. 1676.), all HOPE VI funds that were 
appropriated in FY 2004 must be expended by September 30, 2010. Any 
funds that are not expended by that date will be cancelled and 
recaptured by the Treasury, and thereafter will not be available for 
obligation or expenditure for any purpose.
    6. Withdrawal of Funding. If a grantee under this NOFA does not 
proceed within a reasonable time frame, HUD shall withdraw any grant 
amounts that have not been obligated. HUD shall redistribute any 
withdrawn amounts to one or more other applicants eligible for 
assistance.
    7. Transfer of Funds. HUD has the discretion to transfer funds 
available through this NOFA to any other HOPE VI program.
    8. Limitation on Eligible Expenditures. Expenditures on services, 
equipment, and physical improvements must directly relate to project 
activities allowed under this NOFA.
    9. Pre-Award Activities. Award funds may not be used to reimburse 
pre-award expenses.

F. Other Submission Requirements

    Application Submission and Receipt Procedures. This section 
provides the application submission and receipt instructions for HUD 
program applications. Please read the following instructions carefully 
and completely, as failure to comply with these procedures may 
disqualify your application.
    1. Electronic Delivery. HUD requires applicants to submit their 
applications electronically through http://www.grants.gov. HUD will not 
accept or consider any applications that have been submitted through 
any other method, unless a waiver is granted. See Section IV of the 
General Section.
    2. What to Expect on grants.gov. The following describes what to 
expect when you go to apply online using grants.gov/Apply:
    a. Getting Started. Once on the site, you will find easy-to-follow, 
step-by-step instructions that will enable you to apply for HUD funds. 
The http://www.grants.gov feature includes a simple, unified 
application process to enable applicants to apply for grants online. 
There are six ``Get Started'' steps to complete at grants.gov. The 
information applicants need to understand and execute the steps is at 
http://www.grants.gov/GetStarted. Applicants should read the Get 
Started steps carefully. The site also contains registration checklists 
to help you walk through the process. HUD recommends that you download 
the checklists and prepare the information requested before beginning 
the registration process. Reviewing information required and assembling 
it before beginning the registration process will save you time and 
make the process faster and smoother.
    b. DUNS Requirement. All applicants applying for funding, including 
renewal funding, must have a Dun and Bradstreet Universal Data 
Numbering System (DUNS) number. The DUNS number must be included in the 
data entry field labeled ``Organizational Duns'' on the form SF-424. 
Instructions for obtaining a DUNS number can be found at either of the 
following Web sites: http://www.hud.gov/offices/adm/grants/duns.cfm or 
http://www.grants.gov/GetStarted.
    c. Faulty Registration Warning. HUD has found that the primary 
reason for application submission problems through grants.gov is faulty 
or incomplete registration by the applicant. The applicant must 
register as an entity/organization with the Federal Central Contractor 
Registry. The applicant must also register its Authorized Organization 
Representative (AOR), who is the electronic signatory.
    d. Central Contractor Registry and Credential Provider 
Registration. In addition to having a DUNS number, applicants applying 
electronically through grants.gov must register with the Federal 
Central Contractor Registry and with a Credential Provider. The http://www.grants.gov Web site at http://www.grants.gov/GetStarted provides 
step-by-step instructions for registering in the Central Contractor 
Registry and registering with a credential provider. All applicants 
filing electronically must register with the Central Contractor 
Registry and receive credentials from the grants.gov credential 
provider in order to apply online. Failure to register with the Central 
Contractor Registry and credential provider will result in your 
application being rejected by the grants.gov portal.
    The registration process is a separate process from submitting an 
application. Applicants are, therefore, encouraged to register early. 
The registration process can take approximately two weeks to be 
completed. Therefore, registration should be done in sufficient time to 
ensure it does not impact your ability to meet required submission 
deadlines. You will be able to submit your application online anytime 
after you receive your e-authentication credentials.
    e. Authorized Organization Representative (AOR) Electronic 
Signature. Applications submitted through grants.gov constitute 
submission as electronically signed applications. The registration and 
e-authentication process establishes the AOR. When you submit the 
application through grants.gov, the name of your authorized 
organization representative on file will be inserted into the signature 
line of the application. Applicants must register the individual who is 
able to make legally binding commitments for the applicant organization 
as the AOR.
    3. Instructions. Instructions on how to submit an electronic 
application to HUD via grants.gov:
    a. Applying using grants.gov. Grants.gov has a full set of 
instructions on how to apply for funds on its Web site at http://www.grants.gov/CompleteApplication. The following provides simple 
guidance on what you will find on the http://www.grants.gov/Apply site. 
Applicants are encouraged to read through the page entitled, ``Complete 
Application Package'' before getting started. Grants.gov allows 
applicants to download the application package, instructions, and forms 
that are incorporated in the instructions, and work offline. In 
addition to forms that are part of the application instructions, there 
will be a series of electronic forms that are provided utilizing a 
PureEdge reader. The PureEdge Reader is available free for download 
from the grants.gov/Get Started site. The PureEdge Reader allows 
applicants to read the electronic files in a format identical to any 
other Standard or HUD form. The PureEdge forms have content-sensitive 
help. To use this feature you will need to click on the icon at the top

[[Page 42162]]

of the page that features an arrow with a question mark. This engages 
the content-sensitive help for each field you will need to complete on 
the electronic form. The PureEdge forms can be downloaded and saved on 
your hard drive, network drive(s), or compact disks (CDs). Because of 
the size of the application, HUD recommends downloading the application 
to your computer hard drive. The instructions include this NOFA and any 
required forms that have not been converted into PureEdge forms. The 
instructions will also include a checklist to ensure that you are 
provided all the required information for submitting your application. 
Please review the checklist to ensure that your application contains 
all the required materials.
    b. Mandatory Fields on PureEdge Forms. In the PureEdge forms you 
will note fields that will appear with a yellow background color on the 
data fields to be completed. These fields are mandatory fields and must 
be completed to successfully submit your application.
    c. Completion of SF-424 Fields First. The PureEdge forms are 
designed to fill in common required fields such as the applicant name 
and address, DUNS number, etc., on all PureEdge electronic forms. To 
trigger this feature, an applicant must first complete the SF-424 
information. Once it is completed the information will transfer to the 
other forms. This is an important feature to remember, particularly if 
you plan on submitting documents using the electronic facsimile feature 
discussed below. HUD will rely on the name, address, CFDA, and DUNS 
number fields on the electronic facsimile cover page populated from the 
completed SF-424, to route documents received by facsimile to the 
proper application. To ensure that your materials are properly routed, 
first complete the SF-424 cover page. After the SF-424 is complete, 
download the Facsimile Transmittal cover page to use the electronic 
facsimile feature described below if you need to use this feature. If 
you are relying on third parties to transmit matching fund letters or 
certifications, you can complete the SF-424, then download the 
Facsimile Transmittal cover page and provide a hard copy or electronic 
copy to the third party. Third parties can then directly submit the 
information to HUD using the pre-filled Facsimile Transmittal cover 
page, provided they use the correct fax number provided for the 
program.
    d. Submission of Third Party Letters, Certifications, or Narrative 
Statements. In addition to forms, the NOFA may require the submission 
of other documentation such as third-party letters, certifications, or 
program narrative statements. This section discusses how you should 
submit this additional information electronically as part of your 
application:
    (1) Narrative Statements to the Factors for Award. If you are 
required to submit narrative statements, you should submit them as an 
electronic file. Each response to a Factor for Award should be 
developed as a separate file labeled with the appropriate factor name, 
e.g., Factor 1 Capacity and submitted as part of your electronic 
application.
    (2) Third-Party Letters, Certifications Requiring Signatures, and 
Other Documentation. The following two options, (a) and (b), apply to 
applicants who are required to submit documentation from organizations 
providing matching or leveraging funds; documentation of 501(c)(3) 
status or incorporation papers; documents that support the need for the 
program; Memoranda of Understanding (MOUs); or documentation to support 
your organization's claims regarding work that has been done to remove 
regulatory barriers to affordable housing:
    (a) Scanning Documents to Create Electronic Files. Of the two 
third-party document submission options, scanning of documents into PDF 
format and including them as attachment files is HUD's preferred method 
for this NOFA. Electronic files must be labeled so the reader will know 
what the file contains. Match or leveraging letters can be scanned into 
a single folder or the applicant can create a separate file for each 
scanned letter and label them accordingly. All scanned files should be 
placed together in a zipped folder and then attached to the application 
package submitted to grants.gov as part of the application submission; 
or
    (b) Electronic Facsimile Required Documentation. Applicants without 
available scanning equipment may submit the required documentation to 
HUD via facsimile (fax). The electronic facsimile method may only be 
used to submit attachments that are part of your electronic 
application. HUD will not accept entire applications via fax. 
Applications submitted entirely via fax will be disqualified.
    To submit documents using the electronic facsimile method, 
applicants MUST USE form HUD-96011, Facsimile Transmittal, as the cover 
page for each faxed document. The HUD-96011 MUST NOT be covered by the 
applicant's own fax cover sheet. If the HUD-96011 is not the first page 
faxed, the document may not be able to be identified and may not be 
made part of the electronically submitted application. The form HUD-
96011 is an electronic form and is part of the applicant's downloaded 
electronic application obtained from http://www.grants.gov/Apply. 
Applicants must fax their information to the following fax number: 800-
HUD-1010. Each document must be faxed as a separate submission to avoid 
fax transmission problems. When faxing several documents, applicants 
must use the form HUD-96011 as the cover sheet for each document (e.g., 
Letter of Matching or Leveraging Funds, Memorandum of Understanding, 
Certification of Consistency with the Consolidated Plan, etc.). Your 
facsimile machine should provide you with a record of whether your 
transmission was received by HUD. If you get a negative response or a 
transmission error, you should resubmit the document until you confirm 
that HUD has received your transmission. HUD will not acknowledge that 
a fax was received successfully. HUD will electronically receive the 
fax, read it with an optical character reader, and attach it to the 
application submitted via grants.gov. Electronic facsimile 
transmissions may be sent at any time before the application submission 
date. HUD will store the information and attach it to the electronic 
application when HUD receives it from grants.gov.
    e. Customer Support. The grants.gov Web site provides customer 
support via (800) 518-GRANTS (this is a toll-free number) or through e-
mail at grants.gov">support@grants.gov. The customer support center is open from 7 
a.m. to 9 p.m. eastern time, Monday through Friday, except federal 
holidays, to address grants.gov technology issues. For technical 
assistance on program-related questions, contact the number listed in 
Section VII.B. of this NOFA.
    f. Internet Connections, Time-outs and Submission Errors.
    (1) HUD highly suggests that the applicant use broadband Internet 
connections to submit the application, as opposed to dial-up service. 
Broadband connections may be ISDN, DSL, Cable, T1, etc. Submission 
problems are likely to decrease as the speed of the applicant's 
broadband connection increases. If the applicant organization does not 
have a broadband connection, the PureEdge program and the application 
may be copied to a CD, transferred to a computer that has such a 
connection, and submitted from that computer. Libraries and office 
support stores (Kinko's, etc.) are likely to have broadband 
connections.
    (2) If the actual submission of your application, i.e., uploading 
to grants.gov, exceeds one hour, the

[[Page 42163]]

applicant should request ``second-level'' help at the above grants.gov 
support line. On a dial-up connection, after an hour has gone by, it is 
likely that the applicant's Internet Service Provider (ISP) has timed 
out and cut the applicant's Internet connection.
    (3) If the applicant's browser states that an MEC error has 
occurred, the applicant should request second-level help from 
grants.gov.
    g. Grants.gov Tips and Tools. Tips on applying through grants.gov 
and Frequently Asked Questions concerning grants.gov may be found at 
HUD's HOPE VI Web site, http://www.hud.gov/offices/pih/programs/ph/hope6/ /ph/
hope6/, and HUD's Grants Administration Web sites, http://www.hud.gov/offices/adm/grants/egrants/grantsgovfaqs.pdf and http://www.hud.gov/offices/adm/grants/egrants/faqs52305.pdf. Applicants also may consult 
the FAQ link at the top of the Grants.gov Web page. Additionally, on 
the ``Apply for Grants'' section of the Grants.gov Web site (http://www.grants.gov/Apply), links to tips on application submission 
(``Application Submission Tips'') and error messages (``Application 
Error Tips'') are posted on the left-hand side of the webpage under the 
header ``Tips and Tools.'' Please note the additional helpful 
information posted here such as ``Convert Documents to PDF'' and 
``Download PureEdge Viewer.'' Applicants should also review any alerts 
posted under the ``Alerts'' header, which is also found on the left-
hand side of the page.
    4. Waiver of Electronic Submission Requirement. During FY2005, HUD 
will require electronic applications to be submitted through 
www.grants.gov unless the applicant has received a waiver from the 
Department. HUD regulations at 24 CFR 5.110 permit waivers of 
regulatory requirements to be granted for cause. If you are unable to 
submit your application electronically, you may, in writing, request a 
waiver from this requirement. Your waiver request must state the basis 
for the request and explain why electronic submission is not possible. 
The basis for waivers for cause may include but are not limited to: (a) 
Lack of available Internet access in the geographic location in which 
the applicant is located or, (b) a physical disability of the applicant 
prevents the applicant from accessing or responding to the electronic 
application.
    The waiver request should also include an e-mail and/or name and 
mailing address where responses can be directed. Applicants must submit 
waiver requests to the Assistant Secretary for Public and Indian 
Housing, who is responsible for the program under which you are seeking 
funding. To ensure time for processing, the waiver request must be 
submitted to HUD in writing at least 5 days prior to the application 
submission date.
    To avoid a delay in the process, waiver requests should be sent by 
United States Postal Service Express Mail. You, the applicant, should 
retain a receipt for the mailing showing the date submitted to the 
Postal Service. Via e-mail, HUD will acknowledge receipt of the waiver 
request, if an e-mail address is provided, or will do so via United 
States Postal Service Express Mail or other means available. HUD will 
not make determinations or respond to waiver requests via the 
telephone. Each waiver request will be reviewed and a determination 
made to the applicant that indicates whether or not the waiver has been 
granted. In the event a waiver is granted, the due date for the mailed 
application delivery shall not be later than the due date for 
electronic applications. Applicants receiving a waiver will be expected 
to follow the submission instructions immediately below.
    a. Submission Instructions for Applicants Receiving Waiver of 
Electronic Submission. Applicants receiving a waiver of the electronic 
submission requirements must submit their complete applications in 
paper copy as follows:
    (1) Submission Using the United States Postal Service. Beginning in 
FY 2005, HUD will no longer accept hand deliveries of applications. 
Applicants who receive a waiver and are therefore allowed to submit 
paper applications must submit them via the United States Postal 
Service using Express Mail.
    5. Timely Receipt Requirements and Proof of Timely Submission.
    a. Electronic Submission. All applications must be fully received 
by http://www.grants.gov by 11:59:59 p.m. eastern time on the due date 
established for each program NOFA.
    Proof of timely submission is automatically recorded by grants.gov. 
An electronic time stamp is generated within the system when the 
application is successfully received by grants.gov. The applicant will 
receive an acknowledgement of receipt and a tracking number from 
grants.gov with the successful transmission of the application. 
Applicants should print this receipt and save it, along with facsimile 
receipts for information provided by fax, as proof of timely 
submission. When HUD successfully retrieves the application from 
grants.gov, HUD will provide an electronic acknowledgment of receipt to 
the e-mail address provided on the SF-424. Proof of Timely Submission 
shall be the date and time that grants.gov receives your application 
submittal and the date HUD receives those portions of your application 
submitted by fax. All fax transmissions must be received by the 
application submission date and time.
    Applications received by grants.gov, after the established due date 
for the program, will be considered late and will not be considered for 
funding by HUD. Similarly, applications will be considered late if 
information submitted by facsimile as part of the application is not 
received by HUD by the established due date. Please take into account 
the transmission time required for submitting your application via the 
Internet and the time required to submit any related documents via 
electronic facsimile. HUD suggests that applicants submit their 
applications during the operating hours of the grants.gov Support Desk, 
so that if there are questions concerning transmission, operators will 
be available to walk you through the process. Submitting your 
application during the Support Desk hours will also ensure that you 
have sufficient time for the application to complete its transmission 
prior to the application deadline.
    Applicants using dial-up connections should be aware that 
transmission should take some time before grants.gov receives it. 
Grants.gov will provide either an error or a successfully received 
transmission message. The grants.gov Support Desk reports that some 
applicants abort the transmission because they think that nothing is 
occurring during the transmission process. Please be patient and give 
the system time to process the application. Uploading and transmitting 
many files, particularly electronic forms with associated XML schemas, 
will take some time to be processed.
    b. Applications Receiving Waivers to Submit a Paper Copy 
Application.
    Applicants granted a wavier to the electronic submission 
requirement must use the United States Postal Service (USPS) Express 
Mail to submit their applications to HUD. Applicants must take their 
application to a Post Office to get a receipt of mailing that provides 
the date and time the package was submitted to the USPS. The due date 
and time is the same for paper copies as for electronic copies. The 
USPS no longer allows large packages to be dropped in a mailbox. USPS 
rules now require that large packages be brought to the postal facility 
for mailing. The USPS, in many areas, has made a practice of returning 
large packages to the sender that have been dropped in a

[[Page 42164]]

mail collection box. Packages submitted by due date and time and 
received by HUD no later than five days from the established due date 
will receive funding consideration. If the USPS does not have a digital 
time stamp to record the submission time, HUD will accept a receipt 
that has been obtained from the USPS with a postmark or dates receipt 
showing receipt by the Postal Service no later than the application 
submission date. Applicants will not receive funding consideration if 
their applications are determined to be late, and who cannot furnish 
HUD with a receipt from the USPS that verifies the package was 
submitted to the USPS prior to the deadline date and time.
    c. Late applications. Late applications, whether received 
electronically or in hard copy, will not receive funding consideration. 
HUD will not be responsible for directing or forwarding applications to 
the appropriate location. 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.
    d. No Facsimiles of Entire Application. HUD will not accept fax 
transmissions from applicants who receive a waiver to submit a paper 
copy application. Paper applications must be complete and submitted in 
their entirety, via USPS Express Mail.
    6. General Section References. The following sub-sections of 
Section IV of the General Section are hereby incorporated by reference:
    a. Addresses to Request Application Package;
    b. Application Kits;
    c. Guidebook and Further Information
    d. Forms. The following HUD standard forms are not required as part 
of the application for this NOFA:
    (1) Grant Application Detailed Budget (HUD-424-CB);
    (2) Grant Application Detailed Budget Worksheet (HUD-424-CBW);
    e. Certifications and Assurances;
    f. Submission Dates and Times;

V. Application Review Information

A. Selection Criteria (Rating Factors)

    1. Rating Factor 1: Capacity (up to 30 points).
    This factor addresses whether the Applicant Team has the capacity 
and organizational resources necessary to successfully implement the 
proposed activities within the grant period.
    a. Past Experience (up to 15 points).
    (1) The applicant will earn a maximum of 15 points if the applicant 
demonstrates that the applicant's team has extensive experience of 
affordable housing development and historic preservation requirements, 
and is on schedule in implementing the Main Street Master Plan. That 
is, the applicant's team has developed or rehabilitated more than 5 
affordable housing projects and 3 Historic Register or traditional 
architecture projects over the past three years.
    (2) The applicant will earn a maximum of 10 points if the applicant 
demonstrates that the applicant's team has adequate experience of 
affordable housing development and historic preservation requirements, 
and is on schedule in implementing the Main Street Master Plan. That 
is, the applicant's team has developed or rehabilitated more than 2 
affordable housing projects and 1 Historic Register or traditional 
architecture projects over the past three years.
    (3) The applicant will earn a maximum of 6 points if the applicant 
demonstrates that the applicant team has extensive experience, gained 
over the past three years, of affordable housing development and 
historic preservation requirements, but is behind schedule in 
implementing the Main Street Master Plan.
    (4) The applicant will earn a maximum of 3 points if the applicant 
demonstrates that the applicant team has adequate experience, gained 
over the past three years, of housing development and historic 
preservation requirements, but is behind schedule in implementing the 
Main Street Master Plan.
    (5) The applicant will earn a maximum of 0 points if the applicant 
cannot demonstrate that its team has at least adequate experience of 
housing development and historic preservation requirements, whether 
implementation of the Main Street Master Plan is on schedule or not.
    b. Knowledge of Key Personnel (up to 10 points).
    (1) The applicant will earn a maximum of 10 points if the applicant 
demonstrates that its key personnel have extensive knowledge, gained 
over the past three years, of affordable housing development and 
historic preservation requirements.
    (2) The applicant will earn a maximum of 5 points if the applicant 
demonstrates that the applicant team's key personnel have adequate 
knowledge, gained over the past three years, of affordable housing 
development and historic preservation requirements.
    (3) The applicant will earn a maximum of 0 points if the applicant 
cannot demonstrate that its key personnel have at least adequate 
knowledge, gained over the past three years, of housing development and 
historic preservation requirements.
    c. Tracking and Reporting System for Production Milestones (up to 5 
points).
    (1) The applicant will earn a maximum of 5 points if the applicant 
demonstrates that a tracking and reporting system for key production 
milestones has existed and has been in use continuously for the Main 
Street Area rejuvenation effort, and the applicant demonstrates how the 
tracking and reporting system will be used to implement a grant awarded 
through this NOFA.
    (2) The applicant will earn a maximum of 3 points if a tracking and 
reporting system exists as of the application submission date (i.e., 
was developed as a result of this NOFA), but has not been used on the 
Main Street Area rejuvenation effort, provided that the applicant 
demonstrates how it will be used to implement a grant awarded through 
this NOFA.
    (3) The applicant will earn a maximum of 1 point if a tracking and 
reporting system does not exist, and has not existed in the past, as of 
the application submission date, but the applicant demonstrates how 
such a system will be used to implement a grant awarded through this 
NOFA.
    (4) The applicant will receive 0 points if:
    (a) A tracking and reporting system does not exist; or
    (b) The applicant does not demonstrate how one will be used to 
implement a grant awarded through this NOFA.
    2. Rating Factor 2: Need for Affordable Housing (up to 10 points).
    a. For the applicant's PMSA/MSA or nonmetropolitan county/parish, 
if the ratio of the maximum affordable rent for a 4-person family to 
the FMR of a 3-bedroom size unit (affordable rent divided by FMR) is 
equal to or less than 0.4, the applicant will receive 10 points.
    b. For the applicant's PMSA/MSA or nonmetropolitan county/parish, 
if the ratio of the maximum affordable rent for a 4-person family to 
the FMR of a 3-bedroom unit (affordable rent divided by FMR) is greater 
than 0.4, and is equal to or less than 0.6, the applicant will receive 
7 points.
    c. For the applicant's PMSA/MSA or nonmetropolitan county/parish, 
if the ratio of the maximum affordable rent for a 4-person family to 
the FMR of a 3-bedroom size unit (affordable rent divided by FMR) is 
greater than 0.6, but is equal to or less than 0.8, the applicant will 
receive 4 points.

[[Page 42165]]

    d. For the applicant's PMSA/MSA or nonmetropolitan county/parish, 
if the ratio of the maximum affordable rent for a 4-person family to 
the FMR of a 3-bedroom size unit (affordable rent divided by FMR) is 
greater than 0.8, the applicant will receive 0 points.
    3. Rating Factor 3: Appropriateness of the Main Street Master Plan 
(up to 20 points).
    a. Master Plan Requirements (up to 6 points).
    (1) The applicant will receive 6 points if the application 
demonstrates that the Master Plan includes all 6 elements required, as 
listed below. One point will be deducted from the maximum of 6 points 
for each element that is not included in the Master Plan. The applicant 
should evidence this by making specific references to pages in the 
Master Plan. The Master Plan must at a minimum:
    (a) Have been prepared by an architect, land planner, or qualified 
planning professional for the applicant or its recognized developer 
entity.
    (b) Describe the proposed Main Street Rejuvenation redevelopment 
strategies;
    (c) Include a map indicating the Main Street Area;
    (d) Include a narrative that refers to the map and describes the 
various planned redevelopment actions;
    (e) Include the development of affordable housing; and
    (f) Include a list of properties where affordable housing will be 
rehabilitated or developed. The list of properties must have been 
included in the Main Street Master Plan on or before the application 
submission date. The properties must be described by lot/block number, 
street address, legal description, or other exact description.
    b. Master Plan Qualities (up to 14 points).
    (1) Commitment to Historic or Traditional Architecture.
    (a) The applicant will receive 5 points if the applicant's Master 
Plan demonstrates a strong commitment to the preservation of historic 
or traditional architecture.
    (b) The applicant will receive 3 points if the applicant's Master 
Plan addresses the preservation of historic or traditional architecture 
but does not convey a strong commitment to it.
    (c) The applicant will receive 0 points if the applicant Master 
Plan does not address the preservation of historic or traditional 
architecture.
    (2) Design Guidelines.
    (a) The applicant will receive 2 points if the applicant's Master 
Plan contains specific design guidelines that relate to historic or 
traditional architecture, and that promote universal design, as 
described in Section III.C.2. of this NOFA.
    (b) The applicant will receive 1 point if the Master Plan contains 
general design guidelines.
    (c) The applicant will receive 0 points if the Master Plan does not 
contain design guidelines.
    (3) Mission Statement.
    (a) The applicant will receive up to 1 point if the applicant's 
Master Plan contains a well-defined mission statement that addresses 
the needs of the Main Street Area and includes, and is relevant to, 
local community conditions. The applicant should evidence this by 
making specific references to pages in the Master Plan.
    (b) The applicant will receive 0 points if the applicant's Master 
Plan does not include a well-defined mission statement.
    (4) Public and Private Support.
    (a) The applicant will receive 3 points if the applicant's Master 
Plan has received strong local public and private sector support 
demonstrated by long-term (at least two years of) financial and in-kind 
service leverage commitments to the Main Street Area equal to or 
greater than 200 percent of the applicant's requested grant amount.
    (b) The applicant will receive 2 points if the applicant's Master 
Plan has received strong local public and private sector support 
demonstrated by long-term (at least two years of) financial and in-kind 
service leverage commitments to the Main Street Area equal to or 
greater than 150 percent, but less than 200 percent of the applicant's 
requested grant amount.
    (c) The applicant will receive 1 point if the applicant's Master 
Plan has received strong local public and private sector support 
demonstrated by long-term (at least two years of) financial and in-kind 
service leverage commitments to the Main Street Area equal to or 
greater than 100 percent, but less than 150 percent of the applicant's 
requested grant amount.
    (5) Promotion and Marketing.
    (a) The applicant will receive 3 points if the applicant's Master 
Plan sets forth a plan to promote and market the Main Street Area 
rejuvenation effort to parties that may be involved in the rejuvenation 
effort and to possible future residents of the Main Street Affordable 
Housing Project, including (in accordance with affirmative fair housing 
marketing requirements) the population that is least likely to apply.
    (b) The applicant will receive 2 points if the applicant's Master 
Plan includes a discussion of both promotion and marketing of the Main 
Street Area rejuvenation effort to parties that may be involved in the 
rejuvenation effort and to possible future residents of the Main Street 
Affordable Housing Project, including (in accordance with affirmative 
fair housing marketing requirements) the population that is least 
likely to apply.
    (c) The applicant will receive 1 point if the applicant's Master 
Plan includes a discussion of either promotion or marketing of the Main 
Street Area rejuvenation effort to parties that may be involved in the 
rejuvenation effort and to possible future residents of the Main Street 
Affordable Housing Project, including (in accordance with affirmative 
fair housing marketing requirements) the population that is least 
likely to apply.
    (d) The applicant will receive 0 points if the applicant's Master 
Plan does not includes a discussion of promotion or marketing of the 
Main Street Area rejuvenation effort.
    4. Rating Factor 4: Appropriateness of the Main Street Affordable 
Housing Project (up to 20 points).
    a. Main Street Affordable Housing Project Leverage (up to 10 
points).
    (1) In this NOFA, there are three categories of cash and in-kind 
contributions (``leverage''), Main Street Area Leverage, Main Street 
Housing Project Leverage, and match:
    (a) Main Street Area Leverage includes all types of leverage as 
described in Section III.C. of this NOFA, entitled, ``Main Street Area 
Leverage,'' and is used for activities related to the Main Street Area 
rejuvenation effort. Note that long-term Main Street Area Leverage is 
rated above in Section V.A.3.b.4. of this NOFA, entitled ``Public and 
Private Support.''
    (b) Main Street Affordable Housing Project Leverage includes all 
types of leverage as described in Section III.C. of this NOFA, but is 
specifically used only for development of the Main Street Affordable 
Housing Project.
    (c) Match is a separate, statutorily required sub-group of Main 
Street Affordable Housing Project Leverage. Match requirements are 
described in Section III.B. of this NOFA.
    (2) This rating factor measures Main Street Affordable Housing 
Project Leverage only. The amount of Main Street Affordable Housing 
Project Leverage includes the match amount. Points will be assigned 
based on the following scale:

------------------------------------------------------------------------
                                                                 Points
             Leverage as percent of grant amount                awarded
                                                                (points)
------------------------------------------------------------------------
Less than 20 percent.........................................          0
Greater than or equal to 20 percent but less than 40 percent.          2

[[Page 42166]]

 
Greater than or equal to 40 percent but less than 60 percent.          4
Greater than or equal to 60 percent but less than 80 percent.          6
Greater than or equal to 80 percent but less than 100 percent          8
100 percent or more..........................................         10
------------------------------------------------------------------------

    b. Retention of historic or traditional architecture (up to 5 
points).
    (1) The applicant will receive 5 points if the application 
demonstrates that the buildings in the project will maintain all of the 
historic or traditional architecture and design features on all floors 
of the buildings.
    (2) The applicant will receive 2 points if the application 
demonstrates that the buildings in the project will retain some of the 
historic or traditional architecture and design features on some or all 
of the floors of the buildings.
    (3) The applicant will receive 0 points if the application does not 
demonstrate that the buildings in the project will retain historic or 
traditional architecture and design features.
    c. Reservation for Very Low-Income Families (up to 4 points).
    (1) The applicant will receive 5 points if the number of units 
reserved for very low-income initial residents is greater than 20 
percent of the total affordable housing units in the project.
    (2) The applicant will receive 3 points if the number of units 
reserved for very low-income initial residents is greater than 10 
percent, but less than or equal to 20 percent of the total affordable 
housing units in the project.
    (3) The applicant will receive 0 points if the number of units 
reserved for very low-income initial residents is 10 percent or less of 
the total affordable housing units in the project.
    d. Energy Star (up to 1 point).
    (1) Promotion of Energy Star compliance is a HOPE VI Main Street 
program requirement. See Section III.C.4.g. of this NOFA.
    (2) You will receive 1 point if your application demonstrates that 
you will:
    (a) Use Energy Star-labeled products;
    (b) Promote Energy Star design of affordable units; and
    (c) If you elect to include Community and Supportive Services in 
your grant activities, include Energy Star in homeownership counseling.
    (2) You will receive 0 points if your application does not 
demonstrate that you will perform (a) and (b) above, and, if 
applicable, (c) above.
    5. Rating Factor 5: Program Administration and Fiscal Management 
(up to 18 points).
    a. Program Schedule (up to 5 points).
    (1) The applicant may receive a maximum of 5 points if the program 
schedule reflects that each of the milestone activities will take place 
within the stipulated time frames required under Section VI.B.1. of 
this NOFA and the applicant demonstrates that the planned time frames 
are realistic and achievable, i.e., there are no known impediments to 
unit development, e.g., litigation, and the applicant's team has 
prepared a chart that states estimated production milestones, their 
relative time frames, and each milestone's time to completion, e.g., 
Gantt Chart. One point will be deducted from the 5 points for each 
milestone activity listed in Section VI.B.1. and IV.B.4.c. that is:
    (a) Omitted from the program schedule;
    (b) Not indicated to occur within the time frame required in this 
NOFA, or
    (c) Is not demonstrated to be realistic and achievable.
    b. Fiscal Management (up to 13 points).
    (1) If the applicant shows fiscal management controls, a 
procurement system, and a results-oriented management structure that 
are adequate to manage a grant from this NOFA, and the applicant 
demonstrates that their management structure and controls are results-
oriented, the applicant will receive 13 points;
    (2) If the applicant shows fiscal management controls, a 
procurement system, and management structure and controls that are 
adequate to manage a grant from this NOFA, but the applicant does not 
demonstrate that the applicant's management structure and controls are 
results-oriented, the applicant will receive 8 points;
    (3) If the applicant shows fiscal management controls, but the 
applicant does not demonstrate that the applicant has a procurement 
system and it does not demonstrate that its management structure and 
controls are results-oriented, the applicant will receive 4 points;
    (4) If the applicant does not describe its program management 
structure and fiscal management controls and does not show that they 
are adequate, the applicant will receive 0 points.
    6. Rating Factor 6: Incentive Criteria on Regulatory Barrier 
Removal--(up to 2 points).
    a. Description.
    (1) HUD's Notice, ``America's Affordable Communities Initiative, 
HUD's Initiative on Removal of Regulatory Barriers: Announcement of 
Incentive Criteria on Barrier Removal in HUD's FY 2004 Competitive 
Funding Allocations,'' Federal Register Docket Number FR-4882-N-03, 
published on March 22, 2004, provides that most HUD competitive NOFAs 
will include an incentive for local and state governments to decrease 
their regulatory barriers to the development of affordable housing.
    (2) Form HUD-27300 contains questions that explore the applicant's 
efforts to decrease regulatory barriers.
    b. Scoring.
    (1) If the applicant is considered a local unit of government with 
land use and building regulatory authority, an agency or department of 
a local unit of government, a nonprofit organization, or other 
qualified applicant applying for funding for a project located in the 
jurisdiction of the local unit of government, the applicant is 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/parish and town), the applicant should 
answer the question for that jurisdiction that has regulatory authority 
over the issue at question.
    (a) If the applicant checked Column 2 for five to ten questions 
from Part A, the applicant will receive 1 point in the NOFA evaluation.
    (b) If the applicant checked Column 2 for 11 or more questions from 
Part A , the applicant will receive 2 points in the NOFA evaluation.
    (2) Part B of the form is for an applicant that is considered to be 
a state government or an agency or department of a state government. 
State governments are not eligible to apply for this NOFA and, as such, 
Part B of the form is not applicable.
    (3) In no case will an applicant receive greater than two points 
for barrier removal activities. An applicant must submit the 
documentation requested in the questionnaire or provide a Web site 
address (URL) where the documentation can be readily found, to receive 
the bonus points for this policy priority.
    7. Rating Factor 7: RC/EZ/EC-IIs--(up to 2 points).
    a. RC/EZ/EC-IIs. This NOFA provides for the award of two bonus 
points for eligible activities/projects that the applicant proposes to 
locate in federally designated Empowerment Zones (EZs), Renewal 
Communities (RCs), or Enterprise Communities, designated by the United 
States Department of Agriculture in round II (EC-IIs), that are 
intended to serve the residents of these areas, and that are certified 
to be consistent with the area's strategic plan or RC Tax Incentive 
Utilization Plan (TIUP). (For ease of reference in this

[[Page 42167]]

notice, all of the federally designated areas are collectively referred 
to as ``RC/EZ/EC-IIs'' and residents of any of these federally 
designated areas as ``RC/EZ/EC-II residents.'') This NOFA contains a 
certification, ``Certification of Consistency with RC/EZ/EC Strategic 
Plan'' (form HUD-2990), that must be completed for the applicant to be 
considered for RC/EZ/EC-II bonus points. A list of RC/EZ/EC--IIs can be 
obtained from HUD's Web page at http://www.hud.gov/cr. 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://www.hud.gov/crlocator.

B. Review and Selection Process

    1. HUD's selection process is designed to ensure that grants are 
awarded to eligible local governments with the most meritorious 
applications.
    2. Application Screening.
    a. HUD will screen each application to determine if:
    (1) It meets the threshold criteria listed in Section III.C of this 
NOFA; and
    (2) It is deficient, i.e., contains any technical deficiencies.
    b. Corrections to Deficient Applications. The subsection entitled, 
``Corrections to Deficient Applications,'' in Section V.B of the 
General Section applies, except that clarifications or corrections of 
technical deficiencies in accordance with the information provided by 
HUD must be submitted within 5 calendar days of the date of receipt of 
the HUD notification, not 14 days.
    c. Applications that will not be rated or ranked.
    (1) HUD will not rate or rank applications that are deficient at 
the end of a 5 calendar day cure period, as described in Section 
V.B.2.b. of this NOFA.
    (2) HUD will not rate or rank applications that have not met the 
thresholds described in Section III.C. of this NOFA. Such applications 
will not be eligible for funding.
    3. Preliminary Rating and Ranking.
    a. Rating.
    (1) HUD staff will preliminarily rate each eligible application, 
SOLELY on the basis of the rating factors described in Section V.A of 
this NOFA.
    (2) When rating applications, HUD reviewers will not use any 
information included in any application submitted for another NOFA.
    (3) HUD will assign a preliminary score for each rating factor and 
a preliminary total score for each eligible application.
    (4) The maximum number of points for each application is 102.
    (5) Minimum Score. Applications that do not have a preliminary 
score of at least 50 will not be eligible for funding. b. Ranking.
    (1) After preliminary review, applications with a minimum score of 
50 or above will be ranked in score order.
    4. Final Panel Review.
    a. A Final Review Panel made up of HUD staff will:
    (1) Review the Preliminary Rating and Ranking documentation to:
    (a) Ensure that any inconsistencies between preliminary reviewers 
have been identified and rectified; and
    (b) Ensure that the Preliminary Rating and Ranking documentation 
accurately reflects the contents of the application.
    (2) Assign a final score to each application; and
    (3) Recommend for selection the most highly rated applications, 
subject to the amount of available funding, in accordance with the 
allocation of funds described in Section II of this NOFA.
    5. HUD reserves the right to make reductions in funding for any 
ineligible items included in an applicant's proposed budget.
    6. In accordance with the FY 2004 HOPE VI appropriation, HUD may 
not use HOPE VI funds to grant competitive advantage in awards to 
settle litigation or pay judgments.
    7. Tie Scores. If two or more applications have the same score and 
there are insufficient funds to select all of them, HUD will select for 
funding the application(s) with the highest score for the Master Plan 
Qualities Rating Factor. If a tie remains, HUD will select for funding 
the application(s) with the highest score for the Capacity Rating 
Factor. HUD will select further tied applications with the highest 
score for the Need Rating Factor.
    8. Remaining Funds.
    a. HUD reserves the right to reallocate remaining funds from this 
NOFA to other eligible activities under Section 24 of the Act.
    (1) If the total amount of funds requested by all applications 
found eligible for funding under Section V.B. of this NOFA is less than 
the amount of funds available from this NOFA, all eligible applications 
will be funded and those funds in excess of the total requested amount 
will be considered remaining funds.
    (2) If the total amount of funds requested by all applications 
found eligible for funding under Section V.B. of this NOFA is greater 
than the amount of funds available from this NOFA, eligible 
applications will be funded until the amount of non-awarded funds is 
less than the amount required to feasibly fund the next eligible 
application. In this case, the funds that have not been awarded will be 
considered remaining funds.
    9. The following sub-sections of Section V. of the General Section 
are hereby incorporated by reference:
    a. HUD's Strategic Goals;
    b. Policy Priorities;
    c. Threshold Compliance;
    d. Corrections to Deficient Applications;
    e. Rating; and
    f. Ranking.

VI. Award Administration Information

A. Award Notices

    1. Initial Announcement. The HUD Reform Act prohibits HUD from 
notifying the applicant as to whether or not the applicant has been 
selected to receive a grant until HUD has announced all grant 
recipients. If the application has been found to be ineligible or if it 
did not receive enough points to be funded, the applicant will not be 
notified until the successful applicants have been notified. HUD will 
provide written notification to all applicants, whether or not they 
have been selected for funding.
    2. Authorizing Document. The notice of award signed by the 
Assistant Secretary for Public and Indian Housing (grants officer) is 
the authorizing document. This notice will be delivered via the United 
States Postal Service.
    3. Applicant Debriefing. For a period of at least 120 days, 
beginning 30 days after the awards for assistance are publicly 
announced, HUD will provide a debriefing to an application that 
requests one. All debriefing requests must be made in writing by the 
authorized official whose signature appears on the SF-424 or his/her 
successor in office, and submitted to the person or organization 
identified for ``Technical Assistance'' in Section VII.B. of this NOFA. 
Information provided during a debriefing will include, at a minimum, 
the final score you received for each rating factor.
    4. General Section References. The following sub-sections of 
Section VI.A. of the General Section are hereby incorporated by 
reference:
    a. Adjustments to Funding.

B. Administrative and National Policy Requirements

    1. Administrative Requirements:
    a. Grant Agreement Execution. The grantee must execute the Grant 
Agreement within 90 days after HUD mails the Grant Agreement to the 
grantee.
    b. Grant term. The time period for completion shall not exceed 30 
months

[[Page 42168]]

from the date the NOFA award is executed.
    c. Sub-Grants and Contracts. Grant funds may be expended directly 
by the applicant or they may be granted or loaned by the applicant to a 
third party who is undertaking the development of the project. Loans 
may be amortized or forgiven.
    d. Reasonable Time Frame. Grantees must proceed within a reasonable 
time frame to complete several milestone activities, as indicated 
below. In determining reasonableness of such time frame, HUD will take 
into consideration those delays caused by factors beyond the 
applicant's control. These time frames must be stated in a program 
schedule, in accordance with the threshold requirement documentation at 
Section IV.B.4.c. of this NOFA.
    e. Development Proposal. Grantees must submit a development 
proposal for the project within 6 months after the grant award date or, 
if State Historic Preservation Officer approval is necessary, 9 months 
after the grant award date.
    (1) Development proposals must include the following information:
    (a) Identification of parties to the project development;
    (b) Activities and relationships of parties, e.g., Party A will 
loan $50,000 to Party C via a hard loan with an interest rate of 6 
percent, with a 30-year amortization and a 15-year term.
    (c) Financing, i.e., Sources and Uses in the form HUD-52861 format;
    (d) Unit description, i.e., unit number and sizes.
    (e) Site locations, i.e., lot and block, street address, or legal 
description;
    (f) Development construction cost estimate; and
    (g) Certification that open competition will be used by the grantee 
to select a development partner and/or owner entity, if applicable.
    f. Preliminary Environmental Approval Only. HUD's notification of 
award to a selected applicant constitutes a preliminary approval by HUD 
subject to the completion of an environmental review of the proposed 
sites in accordance with 24 CFR part 50. See Section III.C.2.k. of this 
NOFA for information about environmental requirements.
    g. First Construction Start. Grantees must start housing unit 
construction within 12 months after the grant award date or, if SHPO 
approval is necessary, 15 months after grant award date.
    h. Last Construction Completion. Grantees must complete 
construction within 30 months from the grant award date.
    i. Flood Insurance. In accordance with the Flood Disaster 
Protection Act of 1973 (42 U.S.C. 4001-4128), the application may not 
propose to provide financial assistance for acquisition or construction 
(including rehabilitation) of properties located in an area identified 
by the Federal Emergency Management Agency (FEMA) as having special 
flood hazards, unless:
    (1) The community in which the area is situated is participating in 
the National Flood Insurance program (see 44 CFR parts 59 through 79), 
or less than one year has passed since FEMA notification regarding such 
hazards; and
    (2) Where the community is participating in the National Flood 
Insurance Program, flood insurance is obtained as a condition of 
execution of a Grant Agreement.
    j. Coastal Barrier Resources Act. In accordance with the Coastal 
Barrier Resources Act (16 U.S.C. 3501), the application may not target 
properties in the Coastal Barrier Resources System.
    2. National Policy Requirements.
    a. See references to the General Section in Section III of this 
NOFA.
    3. Reporting.
    a. Quarterly Administrative and Compliance Checkpoints Report 
(Quarterly Report).
    (1) If the applicant is selected for funding, the applicant must 
submit a Main Street Quarterly Report to HUD. The report will be filled 
out on-line and will consist of administrative and production 
milestones, called ``Locked Checkpoints,'' and a short status 
narrative.
    (2) HUD will provide training and technical assistance on the 
filing and submitting of Main Street Quarterly Reports.
    (3) Filing of Quarterly Reports is mandatory for all grantees, and 
failure to do so within the required quarterly time frame will result 
in suspension of grant funds until the report is filed and approved by 
HUD.
    (4) Grantees will be held to the milestones that are reported on 
the Quarterly Report, as approved by HUD.
    4. LOCCS. Grantees must report all obligations and expenditures in 
HUD's Line of Credit Control System (LOCCS), or its successor system, 
on a quarterly basis.
    5. Logic Model Reporting.
    a. The reporting shall include submission of a completed logic 
model indicating results achieved against the proposed output goal(s) 
for output and proposed outcome(s) which the applicant stated in the 
applicant's approved application and agreed upon with HUD. The 
submission of the logic model and required information should be in 
accordance with the Program Schedule time frames as identified in the 
application and Grant Agreement.
    6. Information for Research and Evaluation Studies. 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.
    7. Final Audit. Grantees are required to obtain a complete final 
closeout audit of the grantee financial statements for the grant funds. 
The audit must be completed by a certified public accountant (CPA) in 
accordance with generally accepted government audit standards, and 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-110, A-87, and 
A-122, as applicable.
    8. Final Report.
    a. The grantees shall submit a final report, which will include a 
financial report and a narrative evaluating overall performance against 
its HOPE VI Main Street application and Main Street Quarterly Progress 
Report. Grantees shall use quantifiable data to measure performance 
against goals and objectives outlined in its application. 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.
    b. 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 form HUD-
27061, Racial and Ethnic Data Reporting Form (instructions for its 
use), found on www.HUDclips.org; a comparable program form; or a 
comparable electronic data system.
    c. The final narrative and financial report shall be due to HUD 90 
days after either the full expenditure of funds, or when the grant term 
expires, whichever comes first.

VII. Agency Contacts

A. Technical Corrections to the NOFA

    1. Technical corrections to this NOFA will be posted to the 
grants.gov Web site.
    2. Any technical corrections will also be published in the Federal 
Register.
    3. The applicant is responsible for monitoring these sites during 
the application preparation period.

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    B. Technical Assistance. Before the application submission date, 
HUD staff will be available to provide the applicant with general 
guidance and technical assistance on this NOFA. However, HUD staff is 
not permitted to assist in preparing the application. If the applicant 
has a question or needs clarification, the applicant may call Lar 
Gnessin at (202) 708-0614, ext. 2676, send an e-mail to [email protected], or the applicant may contact Mr. Milan Ozdinec, Deputy 
Assistant Secretary for Public Housing Investments, Department of 
Housing and Urban Development, 451 Seventh Street, SW., Room 4130, 
Washington, DC 20410-5000; telephone (202) 401-8812; fax (202) 401-2370 
(these are not toll-free numbers). Persons with hearing and/or speech 
impairments may access these telephone numbers via text telephone (TTY) 
by calling the toll-free Federal Information Relay Service at (800) 
877-8339. For technical support for downloading an application or 
submitting an application, please call grants.gov Customer Support at 
800-518-GRANTS (This is a toll-free number).
    C. General Information. General information about HUD's HOPE VI 
programs can be found on the Internet at http://www.hud.gov/offices/pih/programs/ph/hope6/.

VIII. Other Information

    A. General Section References. The following sub-sections of 
Section VIII. of the General Section are hereby incorporated by 
reference:
    1. Executive Order 13132, Federalism;
    2. Public Access, Documentation and Disclosure;
    3. Section 103 of the HUD Reform Act; and
    4. The FY 2005 HUD NOFA Process and Future HUD Funding Processes.
    B. Environmental Impact. A ``Finding of No Significant Impact'' 
(FONSI) 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). The FONSI is available for public inspection between 8 
a.m. and 5 p.m. in the Office of the General Counsel, Regulations 
Division, U.S. Department of Housing and Urban Development, 451 Seventh 
Street, SW., Room 10276, Washington, DC 20410-0500.
    C. Paperwork Reduction Act Statement. 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-
0208. 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 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 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. Sense of Congress. It is the sense of Congress, as published in 
Section 410 of the Consolidated Appropriations Act of 2004, that, to 
the greatest extent practicable, all equipment and products purchased 
with funds made available in this NOFA should be American-made.

    Dated: July 15, 2005.
Paula O. Blunt,
General Deputy Assistant Secretary for Public and Indian Housing.
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[FR Doc. 05-14299 Filed 7-15-05; 4:17 pm]
BILLING CODE 4210-33-C