**OVERVIEW INFORMATION:**

A.  **Federal Agency Name.** Department of Housing and Urban
    Development, Office of Public and Indian Housing.

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D.  **Funding Opportunity Title.** HOPE VI Main Street Grants.

E.  **Announcement Type.** Initial announcement.

F.  **Funding Opportunity Number.** The [Federal]{.underline}
    [Register]{.underline} number for this NOFA is: FR‑5059-N-01. The
    Office of Management and Budget (OMB) paperwork approval number for
    this program is 2577-0208.

G.  **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)."

H.  **Dates.**

    1.  **Application Submission Date.** The application deadline date
        is **July 11, 2006**. Applications must be received and
        validated Grants.gov by 11:59:59 p.m. on the application
        deadline date. See the General Section for application
        submission and timely receipt requirements.

    2.  **Estimated Grant Award Date.** The estimated award date will be
        **[September 15, 2006.]{.underline}**

I.  **Electronic Application Submission.** Applications for this NOFA
    must be submitted electronically through
    [http://www.grants.gov](http://www.grants.gov/). The applicant must
    be fully registered completing the five step registration process
    for new applicants or if you have previously submitted an
    application for assistance with Grants.gov, ensuring that the
    registration in the Central Contractor Registry is updated. See
    HUD's [Federal]{.underline} [Register]{.underline} Notice published
    on December 9, 2005 entitled "Notice of Opportunity to Register
    Early for Electronic Submission of Grant and HUD's registration
    brochure entitled "Step By Step: Your Guide to Registering for Grant
    Opportunities, Information for Applicants and Grantees. Submission
    validation by grants.gov may take 24-48 hours so when submitting
    your application please take these time frames into account. HUD
    recommends early submission so that if your application is rejected
    you will have to make the correction and resubmit prior to the
    deadline date. See "Other Submission Requirements," Section IV.F. of
    this NOFA and the General Section, and
    [http://www.grants.gov/GetStarted]{.underline}.

    **FULL TEXT OF ANNOUNCEMENT**

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I.  **Funding Opportunity Description**

    A.  **Available Funds.** This NOFA announces the availability of
        approximately \$2.5 million in Fiscal Year (FY) 2005 funds and
        approximately \$2.5 million in FY 2006 funds.

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    D.  **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.

    E.  **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, 2005 (Pub.
            L 108-447, approved December 8, 2005), under Title II,
            Public and Indian Housing, Revitalization of Severely
            Distressed Public Housing (Hope VI), and the Transportation,
            Treasury, Housing and Urban Development, the Judiciary, the
            District of Columbia, and Independent Agencies
            Appropriations Act, 2006 (Pub. L. 109-115, approved November
            30, 2005), under Revitalization of Severely Distressed
            Public Housing (HOPE VI).

        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. The
            statute amended Section 24(n) of the Act, which now provides
            for grants to smaller communities, to provide assistance to
            carry out eligible affordable housing activities.

    F.  **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 in a
                HOPE VI development. Public housing rights and
                responsibilities vary among HOPE VI developments.
                HOPE VI public housing units use various mechanisms to
                set the resident portion of rent, resident job training
                or employment requirements, resident rights of return,
                and other occupancy issues.

        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 (including architects who are
            knowledgeable about universal design and Section 504
            accessible design requirements), construction contractors,
            attorneys, investment partners that comprise an 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.  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;

            b.  Educational, life skills, job readiness and retention,
                employment training, and other activities as described
                on HUD's HOPE VI website at
                <http://www.hud.gov/offices/pih/programs/ph/hope6/css/>;
                and

            c.  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 or
            Leverage 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
            2006 Notice of Funding Availability Policy Requirements and
            General Section to the SuperNOFA for HUD's Discretionary
            Programs; Notice**, Docket No. FR- FR-5030-N-01, published
            in the [Federal]{.underline} [Register]{.underline} on
            January 20, 2006.

        6.  **Homeownership Unit** means a housing unit that the Local
            Government makes available through a grant from this NOFA
            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. There is no
            set requirement for the length of this occupancy period.

        8.  **Jurisdiction** means the physical area under the
            supervision of the Local Government.

        9.  **Leverage** means non-HOPE VI funded donations of cash and
            in-kind services that are firmly committed to the
            development of the Main Street Affordable Housing Project
            (called Main Street Affordable Housing Project Leverage) or
            to the Main Street Area as a whole (called Main Street Area
            Leverage)

            a.  Leverage may include funds/in-kind services that are
                already expended, received but not expended, and *firmly
                committed* but not yet received.

            b.  Types of resources that may be counted include:

                1.  Private mortgage-secured loans, Insured loans, and
                    other debt;

                2.  Housing trust funds;

                3.  Net sales proceeds from a homeownership project that
                    exceed the amount of HOPE VI funds used to develop
                    the homeownership unit;

                4.  Tax Increment Financing (TIF);

                5.  Proceeds from Low-Income Housing Tax Credits
                    (LIHTC), Historic Preservation Tax Credits, and Tax
                    Exempt Bonds;

                6.  Land Sale Proceeds. The value of land sale proceeds
                    may be included as leverage only if this value is a
                    sales proceed. Absent a sales transaction, the value
                    of land will not be counted;

                7.  Other Federal Funds. Other federal sources may
                    include non-public housing funds provided by HUD;

                8.  In-Kind Services, including donations of:

                    a.  Property such as land (donations of land may be
                        counted as leverage only if the donating entity
                        owns the land to be donated), materials,
                        supplies, a building, a lease on a building, and
                        other infrastructure;

                    b.  Services such as Homeownership Counseling, other
                        CSS and FSS resources (see "Definitions,"
                        Section I.D. of this NOFA for the definition of
                        CSS), and time and services contributed by
                        volunteers.

            c.  Leverage does NOT include, and HUD will not count:

                1.  Staff time of either the Local Government applicant
                    or the recognized developer entity; and

                2.  Wages projected to be paid to residents through jobs
                    that are provided by CSS partners.

        10. **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.

        11. **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
            f[http://www.huduser.org/datasets/il/IL05/Section8_IncomeLimits_2005.doc](http://www.huduser.org/datasets/il/IL04/Section8_IncomeLimits_2004.doc).
            Local area is defined as the non-metropolitan county/parish
            or Primary Metropolitan Statistical Area/Metropolitan
            Statistical Area (PMSA/MSA) or county/parish, as prescribed
            by HUD, in which the low-income family resides.

        12. **Main Street Area means** an area designated by the
            applicant, that:

            a.  Is within the jurisdiction of the applicant;

            b.  Has specific boundaries;

            c.  Is or was;

                1.  Traditionally the central business district and
                    center for socio-economic interaction;

                2.  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;

                3.  Typically arranged along a main street with
                    intersecting side streets and public space; and

                4.  Pedestrian-oriented.

        13. **Main Street Affordable Housing Project ("Project")** is
            defined in "Program Requirements," Section III.C. of this
            NOFA.

        14. **Main Street Rejuvenation Master Plan ("Main Street
            Plan")** is a document, or group of documents, that serves
            to guide the rejuvenation of a Main Street Area. It may be a
            formal, detailed declaration of intent, or an informal
            collection of records from various City, Chamber of
            Commerce, Main Street organization meetings, and portions of
            the applicant's city-wide Master Plan, that describes and
            demonstrates the Main Street rejuvenation effort's
            components, such as:

            a.  Design, promotion, and economic impact;

            b.  Broad community support;

            c.  Investment by both the public and private sectors;

            d.  Long-term planning and commitment by a local
                organization;

            e.  Active administration and implementation by the
                applicant, or by a locally recognized Main Street
                rejuvenation organization; and

            f.  Strong preservation element for historic or traditional
                architecture.

            g.  Main Street Plan documentation must comply with the
                minimum requirements stated in "Program Requirements,"
                Section III.C. of this NOFA.

        15. **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, including Community Development Block
                Grant Funds, which by statute are considered local
                money.

        16. **Owner entity** is the legal entity that holds title to the
            real property that contains any affordable housing units
            developed through this NOFA.

        17. **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;

#### Substantially impedes his or her ability to live independently; and 

#### 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, based solely on 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.

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18. **Program** means the HOPE VI Main Street Program.

19. **Recognized Developer** means the Local Government applicant or a
    legal entity that has an agreement with the Local Government
    applicant to seek financing for, rehabilitate and/or construct
    housing units, and to provide Community and Supportive Services (if
    required), for a HOPE VI Main Street grantee.

    a.  For a non-complex development, the applicant may choose not to
        use a developer, and instead directly procure a design/build
        construction contractor and accountant.

20. **Site Control** means the Local Government applicant, or its
    developer, has the legal authority to commit the owner of the
    property to the rehabilitation to be performed with HOPE VI Main
    Street grant funds. Some examples of site control are:

    a.  The local government owns the property outright;

    b.  The private owner of the property and the applicant have signed
        a developer agreement and the private owner is the developer;

    c.  The government- or private-owner has signed a developer
        agreement with a separate developer and the agreement gives the
        developer control;

    d.  The applicant or developer has an option to purchase the
        property that covers a time period sufficient to obtain grant
        funds for purchase (at least 180 days after award), and is
        contingent only upon: 1) receipt of a grant from this NOFA;
        and 2) satisfactory compliance with this NOFA's environmental
        review requirements;

    e.  An owner-entity partnership was formed between the original
        owner and the applicant or the developer (or both) and possibly
        a third-party investor (Tax Credits) and the developer is the
        General Partner; etc.

21. **Unit of Local Government:** See "Local Government" under this
    section.

22. **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 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](http://www.huduser.org/datasets/il/IL04/Section8_IncomeLimits_2004.doc).
    Local area is defined as the PMSA/MSA or nonmetropolitan
    county/parish, as prescribed by HUD, in which the low-income family
    resides.

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G.  **General Section Reference.** The subsection entitled "Funding
    Opportunity Description" in Section I. of the General Section is
    hereby incorporated by reference.

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II. **Award Information**

    D.  **Available Funds.** A total of \$5 million is available for
        funding. \$2.5 million is appropriated for FY 2005 and must be
        obligated before September 30, 2006; \$2.5 million is
        appropriated for FY 2006 and must be obligated before September
        30, 2007.

    E.  **Number of Awards.** This NOFA will result in approximately 10
        awards.

    F.  **Range of Amounts of Each Award.** Each applicant may request
        up to \$500,000.

    G.  **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
        thereafter.

    H.  **Type of Instrument.** Grant Agreement.

    I.  **Supplementation.** Grants resulting from this NOFA do not
        supplement other HOPE VI grants.

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III. **Eligibility Information**

     D.  **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 an active Main Street rejuvenation effort within its
             jurisdiction;

         2.  Have a population of 50,000 or fewer; and

         3.  Not be served by a Local Government, county/parish,
             regional or state public housing agency (PHA) that
             administers more than 100 public housing units, provided
             that more than 100 of those units are within the Local
             Government applicant's jurisdiction. For example, if a
             Local Government is served by a county PHA that administers
             180 public housing units (excluding Section 8), and 90 of
             those units are located within the jurisdiction of the
             Local Government, then the Local Government is eligible to
             apply. On the other hand, if a Local Government is served
             by a county PHA that administers 180 public housing units
             (excluding Section 8), and 103 of those units are located
             within the jurisdiction of the Local Government, then the
             Local Government is NOT eligible to apply.

     E.  **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, Community Development Block
             Grant (CDBG) funds (which are statutorily considered local
             funds), 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
             Main Street Affordable Housing 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.

             b.  The applicant may propose to use the applicant's own
                 funds to meet the match requirement, provided that the
                 match funds do not originate from HOPE VI funds.

             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.

     F.  **Other.**

         1.  **Eligible Uses of Grant Funds.** 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. New construction and rehabilitation activities
                 that are intrinsic to the development of the affordable
                 housing units may extend to other portions of the Main
                 Street Affordable Housing Project, e.g., to the
                 building envelop, to interior bearing walls of
                 commercial space located below the affordable housing
                 units, and to systems installation through commercial
                 space located below or adjacent to the affordable
                 housing units.;

             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 costs;

             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) and Handbook CPD 02-08,
                 Guidance on the Application of the Uniform Relocation
                 Assurance and Real Property Acquisition Policies Act of
                 1970 (URA), as amended in HOPE VI Projects;

             e.  Management improvements necessary for the proper
                 development and management of Main Street-related
                 affordable housing, similar to and 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.

             f.  **Leveraging non-HOPE VI funds and in-kind services.**
                 See the definition of "Leverage" in Section I.D. of
                 this NOFA.**;**

             g.  **Community and Supportive Services.** See Funding
                 Restrictions in Section IV.E. of this NOFA.

             h.  See "Funding Restrictions," Section IV.E. of this NOFA,
                 for non-allowable costs and activities.

         2.  **Thresholds.**

             a.  **Match.** Applicants must provide matching funds in
                 the amount of five percent of the requested grant
                 amount from sources other than HUD HOPE VI funds. See,
                 "Cost Sharing or Match," Section III.B. of this NOFA.
                 If the applicant does not demonstrate that there will
                 be matching funds of at least five percent (5%) of the
                 requested grant amount, the application will not be
                 eligible for funding through this NOFA.

             b.  **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.

             c.  **Prior Existence of Main Street Rejuvenation Master
                 Plan.** The Main Street Plan must have been in
                 existence prior to the publication date of this NOFA,
                 that is, the Main Street Plan must demonstrate that,
                 prior to this date, written documentation existed that
                 fulfilled the definition of a Main Street Plan as
                 defined in Section I.D. of this NOFA. If the
                 applicant's Main Street Rejuvenation Master Plan was
                 not in existence before the publication date of this
                 NOFA, the application will not be eligible for funding
                 through this NOFA.

             d.  **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 "Program Requirements,"
                 Section III.C. 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.

             e.  **Inclusion of Affordable Housing.** Affordable housing
                 must have been included in the applicant's Main Street
                 Plan on or before the application deadline date for
                 this NOFA. If affordable housing was not included in
                 the applicant's Main Street Plan on or before the
                 application deadline date for this NOFA, the
                 application will not be eligible for funding through
                 this NOFA.

             f.  **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 deadline 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 deadline date, the application
                 will not be eligible for funding through this NOFA.

             g.  **Leverage for the Main Street Rejuvenation Effort.**
                 The applicant must provide leverage funds/in-kind
                 services that are firmly committed to the Main Street
                 rejuvenation effort that is described in the Main
                 Street Rejuvenation Master Plan. According to the
                 authorizing statute, the targeted housing project must
                 be part of an existing Main Street rejuvenation effort.
                 Existence of Main Street leverage donations that are
                 not connected to the targeted housing project helps to
                 demonstrate that there is a wider-scaler rejuvenation
                 effort in progress. These leverage funds/in-kind
                 services must be from sources other than HUD HOPE VI
                 funds, and the amount must be in excess of 50 percent
                 of the requested grant amount.

                 1.  As explained in the above section, leverage for
                     this threshold does not include, and HUD will not
                     count, funds/in-kind services that are limited to
                     use in the development of the affordable housing
                     project that the applicant has targeted for this
                     NOFA.

                 2.  See rejuvenation effort leverage documentation
                     requirements for form HUD-52861, "HOPE VI Main
                     Street Application Data Sheet," attached to this
                     NOFA.

                 3.  If the applicant provides Main Street Area
                     rejuvenation effort leverage funds/in-kind services
                     of an amount less than 50 percent of the requested
                     grant amount, the application will not be eligible
                     for funding through this NOFA.

             h.  **One Main Street Area.** The applicant must only apply
                 for assistance in support of one Main Street Area under
                 this NOFA, that is, if the Local Government's
                 jurisdiction includes two neighborhoods, each with a
                 traditional commercial/social center, the application
                 must contain only one of those traditional
                 commercial/social centers. However, the applicant's
                 Main Street Affordable Housing Project may consist of
                 several scattered sites within that one Main Street
                 Area. If the applicant applies for assistance for more
                 than one Main Street Area through this NOFA, the
                 application will not be eligible for funding through
                 this NOFA.

             i.  **Code of Conduct.**

                 1.  The applicant must have developed and must maintain
                     a written code of conduct (see 24 CFR 84.42 and
                     85.36(b)(3)). The applicant must provide, or have
                     provided, documentation that demonstrates that it
                     has a written code of conduct.

                 2.  If the applicant does not provide a copy of the
                     code of conduct, and its implementation
                     methodology, in the application, or is not listed
                     by HUD as having already submitted such
                     documentation, the application will not be eligible
                     for funding through this NOFA.

                 3.  See "Threshold Documentation," Section IV.B. of
                     this NOFA, and Section III.C. of the General
                     Section.

             j.  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.

         3.  **Certification of Certain Thresholds.**

             a.  **Certification by Application.** The SF-424,
                 "Application for Federal Assistance," is the cover
                 sheet to the application. By manually or electronically
                 signing the SF-424, the applicant certifies that the
                 following thresholds have been met:

                 1.  All Match resources included in the application are
                     "firmly committed." See the definition of "firmly
                     committed" in Section I.D. of this NOFA;

                 2.  The Main Street Rejuvenation Master Plan that is
                     included as part of this application existed prior
                     to the publication date of this NOFA;

                 3.  The Main Street Plan contained affordable housing
                     prior to the application deadline date of this
                     NOFA;

                 4.  All project sites have zoning that allows for
                     residential development;

                 5.  All leverage resources included in the application
                     are "firmly committed." See the definition of
                     "firmly committed" in Section I.D. of this NOFA;

                 6.  Historic preservation requirements in Section 106
                     of the [National Historic Preservation Act of 1966
                     (NHPA)](http://www.achp.gov/nhpa.html) will be
                     fulfilled, where applicable.

                 7.  Environmental requirements stated in the NOFA will
                     be fulfilled;

                 8.  Building standards stated in the NOFA will be
                     fulfilled; and

                 9.  Relocation requirements under the Uniform
                     Relocation Assistance and Real Property Acquisition
                     Policies Act of 1970 (URA) will be fulfilled; and

                 10. Fair Housing, Civil Rights, and Section 3
                     requirements will be followed and fulfilled.

             b.  **Information for the Applicant's Certifying
                 Official.**

                 1.  Application documentation that is included for the
                     sole purpose of supporting certified thresholds is
                     not necessary, and will not improve the applicant's
                     chances of receiving a grant through this NOFA.

                 2.  Because of other NOFA requirements, the applicant
                     may already have included documentation in the
                     application that happens to also support a
                     certified threshold. For example, the applicant
                     includes the Main Street Plan to respond to the
                     Rating Factors. It also contains documentation that
                     is related to several thresholds.

                 3.  For the benefit of the applicant's certifying
                     official, this information will help prevent
                     accidental misrepresentation by providing evidence
                     that these thresholds have been met. For the
                     applicant certifying official's further benefit,
                     viewing of documents similar to the following may
                     help prevent accidental misrepresentation of
                     certifications for thresholds with no related
                     application documentation:

                     a.  Main Street Plan Existence. Any document dated
                         prior to the publication of this NOFA that
                         demonstrates the applicant intended to
                         rejuvenate a Main Street Area, or the applicant
                         acknowledged that a local Main Street
                         organization intended to rejuvenate a Main
                         Street Area;

                     b.  Inclusion of Affordable Housing. Documentation
                         in the Main Street Plan that demonstrates that
                         the concept of including development of
                         affordable housing in the Main Street
                         commercial area is included in the rejuvenation
                         strategy;

                     c.  Zoning. Zoning approvals or a certification
                         from the appropriate local official documenting
                         that all required zoning approvals have been
                         secured; and

                     d.  Main Street Area Leverage. Main Street Area
                         leverage may include, but is not limited to,
                         any public or private sector salaries paid for
                         Main Street related services or physical
                         improvements made to the Main Street Area, such
                         as the cost of developing a Main Street Plan,
                         salaries of people promoting the Main Street
                         Plan, building construction or rehabilitation,
                         site or infrastructure improvements, etc.
                         Documentation of these expenditures may
                         include, but is not limited to: tax returns,
                         typical accounting ledgers kept by the Local
                         Government applicant, non-profit organization
                         or private property owners; reports to
                         government agencies; and summary reports or
                         other publications produced by interested
                         parties. Leverage includes past expenditures,
                         current cash-on-hand, and letters of commitment
                         for future cash/in-kind services to be donated
                         to the Main Street Area rejuvenation effort.

         4.  **Program Requirements.**

             a.  **Main Street Area Recognition by HUD.** The applicant
                 must have, within the applicant's jurisdiction, a
                 HUD-recognized Main Street Area rejuvenation effort
                 that involves affordable housing. In order to be
                 recognized by HUD, a Main Street Area 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 both
                     the local government and locally located private
                     entities;

                 4.  Comply with historic preservation requirements as
                     directed by the 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 Plan that
                     existed prior to the publication date of this NOFA.

             b.  **Main Street Affordable Housing Project (Project).**
                 The "Main Street Affordable Housing Project" is the
                 collection of affordable housing units that are
                 rejuvenated or developed in the Main Street Area using
                 funds obtained through this NOFA. The project must:

                 1.  Involve the construction or rehabilitation of
                     affordable housing units. The number of units that
                     will be developed through this NOFA must at least
                     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.  Be located within the boundaries of the applicant's
                     Main Street Area;

                 3.  Be located within the jurisdiction of the
                     applicant; and

                 4.  Have been included as part of a Main Street
                     Rejuvenation Master Plan before the application
                     deadline date of this NOFA; and

                 5.  Be constructed in accordance with Building and Fair
                     Housing standards stated in this Section III.C.,
                     including Universal Design and Accessibility
                     standards.

             c.  **Main Street Plan.** The Main Street Rejuvenation
                 Master Plan must, at a minimum:

                 1.  Currently or in the past, have an architect, land
                     planner, or qualified planning professional
                     involved in Plan preparation. Participation as a
                     principal preparer or an advisor, in any part of
                     its preparation, is acceptable. This professional
                     may be, or may have been, employed by the
                     applicant, been on the applicant's Team, or been an
                     independent third party. This professional should
                     have knowledge of universal design and Section 504
                     accessible design requirements.;

                 2.  Describe the proposed Main Street Area rejuvenation
                     strategies and actions;

                 3.  Include the development of affordable housing;

                 4.  Include a map that indicates the Main Street Area
                     and the Main Street Affordable Housing Project
                     site(s); and

                 5.  Include a list of sites where affordable housing
                     will be rehabilitated or developed. The list of
                     sites must have been included in the Main Street
                     Plan on or before the application deadline date.

                 6.  Include promotion and marketing.

                     a.  Affirmative fair housing marketing should be
                         included in the listing of affordable housing
                         promotion and marketing activities. For
                         affirmative fair housing marketing, the
                         applicant should identify the population least
                         likely to apply for affordable housing
                         developed through this NOFA before commencing
                         with marketing for that housing."

             d.  **Requirements During the Initial Occupancy Period.**

                 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, i.e., site-based waiting lists,
                     resident job or training requirements, and other
                     occupancy requirements that are allowed under
                     Section 24 of the of the U.S. Housing Act of 1937
                     (1937 Act) may be applied to the units.

                 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 occupancy
                     policies.

                 3.  Public housing rental requirements that are
                     contained in 24 CFR 903.7(d) and 24 CFR 903.7(f)
                     are not mandatory, but may be used as examples for
                     such policies

             e.  **HOPE VI Homeownership.** The initial sale of an
                 affordable homeownership unit to a third-party,
                 low-income purchaser must take place in accordance with
                 Section 24 of the 1937 Act.

             f.  **Use Restrictions.** Project units must be maintained
                 as affordable housing only for the period of initial
                 rental occupancy or the initial resident's ownershipThe
                 applicant may elect to apply Use Restrictions for a
                 longer period, or in excess, of this requirement.

             g.  **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 "Match," Section III.B. and, "Rating
                 Factor 4," SectionV.A. of this NOFA) and, separately,
                 for use in the Main Street Area effort as a whole (see
                 "Thresholds," Section III.C 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 "seed 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 "Eligible Uses of Grant Funds,"
    Section III.C. of this NOFA and, in addition, for related activities
    may not be eligible uses of grant funds, but that are necessary for
    the development of the Main Street Affordable Housing Project. Such
    activities include, but are not limited to:

    a.  For Main Street Affordable Housing Project Leverage:

        i.  The acquisition of existing housing units that will become
            affordable housing, but do not require rehabilitation,
            including associated costs, such as appraisals, surveys, tax
            settlements, broker fees, and other closing costs;

        ii. Off-site site improvements that are contiguous to the site;

        iii. Demolition;

        iv. Restoration of the Main Street Affordable Housing Project
            façade when façade rehabilitation is not an integral part of
            the project's rehabilitation;

        v.  Rehabilitation of retail space in the Main Street Affordable
            Housing Project, even if this rehabilitation is not an
            integral part of the rehabilitation of the rental areas of
            the Project;

        vi. Funding of Reserves, e.g., Initial Operating Reserve
            necessary for financial viability during the initial
            affordable housing occupancy period, Replacement Reserves,
            etc.;

        vii. Legal and administrative fees and costs directly related to
             the Main Street Affordable Housing Project;

        viii. Homeownership financial assistance, e.g., write-down of
              homeownership unit development costs and down payment
              assistance; and

        ix. 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 Main Street
            Area rejuvenation effort described in the Main Street Plan.

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h.  **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.

i.  **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.

j.  **Environmental Requirements.**

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(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 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
    1527-05, 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 website is located at
    <http://www.hud.gov/offices/cpd/energyenviron/environment/index.cfm>.

    a.  **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 website
            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](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]{.underline}**.**

        4.  Energy Efficiency.

            a.  New construction and rehabilitation that is started on
                or before September 30, 2006 must comply with HUD
                Minimum property standards, which incorporates by
                reference the Council of American Building Officials
                (CABO) Model Energy Code, 1992 edition. Construction of
                multifamily high-rises (having a height of four or more
                stories above grade) must comply with ASHRAE 90.1 1989.
                New construction and rehabilitation that is started
                after September 30, 2006 must comply with the 2003
                International Energy Conservation Code (IECC 2003),
                which incorporates ASHRAE 90.1 2001 by reference for
                high-rise multifamily housing.

                i.  IECC 2003 Administrative Guidance. IECC 2003 applies
                    to all construction and rehabilitation of
                    residential and commercial property. The standard
                    contains exceptions that allow for its reasonable
                    application to Main Street NOFA activities.

                    A.  IECC 2003 Section "101.2.2.3 Historic buildings.
                        The provisions of this code ...shall not be
                        mandatory for existing buildings or structures
                        specifically identified and classified as
                        historically significant by the state or local
                        jurisdiction, listed in The National Register of
                        Historic Places, or which have been determined
                        to be eligible for such listing."

                    B.  IECC 2003 Section "101.2.3 Mixed occupancy.
                        \[For mixed-use buildings,\]...each portion of
                        the building shall conform to the requirements
                        for the occupancy housed therein. Buildings
                        \[with more than two housing units\] with a
                        height of four or more stories above grade shall
                        be considered commercial buildings...regardless
                        of the number of floors that are classified as
                        residential." That is, if there is a store in
                        the building, that part of the building is
                        considered commercial. The rest of the building
                        would incorporate low-rise residential
                        requirements.

                    C.  IECC 2003 Section "101.2.2.2 Additions,
                        alterations or repairs. Additions \[and
                        rehabilitation of a building or portion of a
                        building\]...shall conform to the provisions of
                        this code...without requiring the unaltered
                        portions(s) of the existing system to comply
                        with all of the requirements of this code.
                        Additions\[or rehabilitation\] shall not cause
                        any one of the aforementioned and existing
                        systems to become unsafe, hazardous or
                        overloaded."

            b.  Where local or State energy related building codes
                exceed the above standards, new construction and
                rehabilitation must comply with those local or State
                standards.

            c.  In HOPE VI new construction and gut-rehabilitation, 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. To
                achieve higher levels of energy efficiency, development
                costs can be financed through leverage grants from
                non-HOPE VI sources, e.g., CDBG, HOME, Weatherization
                Assistance, Energy Star rebates, etc. Increased
                development costs are typically offset by reduced
                utility expenses.

            d.  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.

            e.  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.

            f.  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
            benefit persons with disabilities. To order a copy of
            [Strategies for Providing Accessibility and Visitability for
            HOPE VI and Mixed Finance Homeownership]{.underline}, go to
            the publications and resource page of the HOPE VI website 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 build to
            Energy Star qualifications and 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](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.

    b.  **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]{.underline} [seq]{.underline}.), the EPA\'s
        Pre-Renovation Education Rule (40 CFR 745, subpart E), HUD's
        Lead Safe Housing Rule (24 CFR 35, subparts B-R), and theLead
        Disclosure Rule (24 CFR 35, subpart A), which regulates
        documents provided to pre-1978 housing owners regarding lead
        paint or hazard testing or lead hazard reduction activities, ,
        as they may be amended or revised from time to time. 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.

    c.  **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.

    d.  **Relocation Requirements.** The Uniform Relocation Assistance
        and Real Property Acquisition Policies Act of 1979 (42 U.S.C.
        4601-4655), implementing regulations at 49 CFR part 24, and
        "Handbook CPD 02-08, Guidance on the Application of the Uniform
        Relocation Assurance and Real Property Acquisition Policies Act
        of 1970 (URA), as amended in HOPE VI Projects" apply to anyone
        who is displaced as a result of acquisition, rehabilitation, or
        demolition due to a HUD-assisted activity.

    e.  **Fair Housing and Equal Opportunity Requirements**.

Fair Housing and Equal Opportunity requirements stated in Section III.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/]{.underline},
        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 website at
        [http://www.hud.gov/groups/fairhousing.cfm]{.underline}. 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.

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1.  **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]{.underline} [seq]{.underline}.); and

        3.  Title IX of the Education Amendments Act of 1972 (20 U.S.C.
            1681 [et]{.underline} [seq]{.underline}.)

    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.

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I.  **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 website 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 <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.

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        1.  The published [Federal Register]{.underline} 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]{.underline}
            publications and other information provided in paper copy,
            electronic copy, or at [www.grants.gov]{.underline}, the
            [Federal Register]{.underline} publication prevails. Please
            be sure to review the application submission against the
            requirements in the [Federal Register]{.underline} file of
            this NOFA.

# **Content and Form of Application Submission**

## 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 official name is the name
        that is submitted to grants.gov on the SF‑424.

    b.  **Electronic Format.**

        1.  General.

            a.  Sections of the application are as listed in Section
                IV.B. of this NOFA.

            b.  In accordance with instructions on grants.gov and in the
                General Section, section submissions may be submitted
                through PureEdge fill-in forms that are part of the
                grants.gov Application Package, in electronic files
                attached to the grants.gov Application Package, or (if
                the applicant encounters a problem submitting some part
                of the application electronically to grants.gov) via
                Facsimile. Note that applicants must use form HUD 96011,
                as the cover page to the facsimile and that applications
                submitted entirely by facsimile will not be accepted by
                HUD.

            c.  More than one Section's submission may be combined in
                one file, provided that each Section's submission is
                clearly labeled and is separately identifiable by a HUD
                reviewer.

        2.  File Names

            a.  The name of each submission file should include the
                information below so that a HUD reviewer will be able to
                identify it as part of the application:

                i.  Short version of applicant's name, e.g., town, city,
                    county/parish, etc., and state; and

                ii. The word "Narratives" or "Attachment," as
                    applicable, and the Section letter(s) (A through U)
                    that are included in the file, as listed in Section
                    IV.B. of this NOFA;

            b.  Examples of file names are, "Atlanta GA Narratives
                ABC.doc," and, "New York NY Attachments KL.pdf"

        3.  Narrative Files.

            a.  Each narrative submission file must be formatted so it
                can be read by MS Word 2000 (.DOC).

            b.  To be included in the application, each file must be
                entered into the grants.gov "Project Narrative
                Attachment Form" located in the Mandatory Documents area
                of the "Grant Application Package."

                i.  After the form is open, enter your first file as the
                    "Mandatory Project Narrative File. Add subsequent
                    files, if any, as "Optional Project Narrative Files"
                    by clicking on "Attach" in the Attachments window.

        4.  Attachment Files.

            a.  In the grants.gov Grant Application Package, certain
                form Attachments have been converted into PureEdge
                documents for completion by the applicant on the screen.
                The applicant must simply fill these forms in and submit
                them. Other Attachments are part of grants.gov's
                Application Instructions. The following instructions
                apply to those Attachments.

            b.  Each Attachment file must be formatted so it can be read
                by MS Word (.DOC), MS Excel (.XLS) or Adobe Acrobat
                (.PDF). See the General Section for format version
                specifications.

            c.  Downloaded files, e.g., forms HUD-52861 and HUD‑52825A,
                should be submitted in their original format.

            d.  Existing and third-party documents, e.g., Main Street
                Plan, maps and drawings, should be submitted in Adobe
                Acrobat (PDF) format.

            e.  You must complete these Attachments in stand-alone
                applications, such as MS Excel. To include these
                downloaded Attachments in the application, you must
                enter each Attachment's file into the grants.gov "Other
                Attachments Form," which is located in the Mandatory
                Documents area of the Grant Application Package.

                i.  After the form is open, enter your first file as the
                    "Mandatory Other Attachment." Add subsequent files,
                    if any, as "Optional Other Attachments" by clicking
                    on "Attach" in the Attachments window.

    c.  **Maximum Length of Application.** There is no overall maximum
        application length. However, there are maximum page limits for
        specific parts of the application. Pages beyond the below listed
        limits will not be reviewed. Page limits are as follows:

        a.  The Executive Summary is limited to a maximum of two pages;

        b.  All of the Narrative Sections' responses together, including
            the Rating Factor responses, are limited to a maximum of 20
            pages;

        c.  The Program Schedule is limited to a maximum of one page;

        d.  The Main Street Area Map, including identification of all
            project the sites, is limited to a maximum of one page. The
            map must be approximately to scale and must be of sufficient
            quality to be legible at 11"x 17" printed size;

        e.  Each different Main Street Affordable Housing Project unit
            layout is limited to a maximum of one page. One page may
            contain up to four layouts; and

        f.  The Main Street Plan is limited to a maximum of 20 pages. In
            order to meet the size limitation, the applicant may submit
            only the portions of the Main Street Plan that pertain to
            the "Thresholds" and "Program Requirements," in Section
            III.C., and the Rating Factors in Section V.A. of this NOFA.

        g.  The Evaluation Plan is limited to a maximum of three pages.

        h.  Applicant Team Resumes are limited to a maximum of 5 pages.
            More than one resume may be placed on each page.

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        1.  Page Definition and Layout.

            a.  A page is the electronic equivalent of an 8 ½" x 11"
                paper page, with one inch top, bottom, left and right
                margins.

            b.  For DOC files, a "page" contains a maximum of 23
                double-spaced lines. The length of each line is limited
                to 6 ½ inches. 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.

            c.  Third-party and existing documents converted into PDF
                format may retain their original page layout. They must
                not be shrunk to fit more than one original page on each
                application page. To add page numbers to PDF files using
                Adobe Acrobat 6, click on Document; Add Headers &
                Footers; Footer; Align Right; Insert Page Number.

            d.  Pages of HUD forms and certification formats furnished
                by HUD must remain as numbered by HUD.

    d.  **List of Application Sections and Related Documents.**

        1.  Summary Information:

            a.  Section A: Application for Federal Assistance, form
                SF-424;

            b.  Section B: Executive Summary;

        2.  Rating Factor Responses:

            a.  Section C: Rating Factor 1, Capacity, Narrative
                Response;

            b.  Section D: Rating Factor 3, Appropriateness of Main
                Street Plan;

            c.  Section E: Rating Factor 4, Appropriateness of the Main
                Street Affordable Housing Project;

            d.  Section F: Rating Factor 5, Program Administration and
                Fiscal Management;

            e.  Section G: Rating Factor 6, Incentive Criteria on
                Regulatory Barrier Removal (information required by form
                HUD-27300);

        3.  Attachments:

            a.  Section H: Program Schedule;

            b.  Section I: HOPE VI Main Street Application Data Sheet,
                form HUD-52861;

            c.  Section J: HOPE VI Budget, form HUD-52825A;

            d.  Section K: 5-Year Cash Flow Proforma;

            e.  Section L: Map of Main Street Area;

            f.  Section M: Housing Unit Layout;

            g.  Section N: Main Street Rejuvenation Master Plan (Main
                Street Plan);

            h.  Section O: America's Affordable Communities Initiative,
                form HUD-27300, and related documentation;

            i.  Section P: Certification of Consistency with the
                RC/EZ/EC-IIs Strategic Plan, form HUD-2990, if
                applicable;

            j.  Section Q: Logic Model, form HUD-96010, including:

                i.  Indicators, outcomes and related items obtained from
                    the grants.gov Grant Application Package Logic Model
                    drop-down menu, and

                ii. The grant Evaluation Plan;

            k.  Section R: Code of Conduct (including distribution
                methodology);

            l.  Section S: Applicant/Recipient Disclosure/Update Report,
                form HUD-2880, if applicable;

            m.  Section T: Disclosure of Lobbying Activities, Standard
                Form LLL, if applicable; and

            n.  Section U: Applicant Team Resumes.

4.  **Threshold Documentation.**

    a.  **Code of Conduct.**

        1.  The applicant must submit a copy of its code of conduct as
            part of the application if its code of conduct is not
            already on file with HUD. See 24 CFR 84.42 and 85.36(b)(3).

        2.  Unless the applicant is listed on HUD's Web site at
            <http://www.hud.gov/offices/adm/grants/codeofconduct/cconduct.cfm>
            and the information has not been revised, the applicant is
            required to submit:

            a.  A copy of its code of conduct;

            b.  A description of the methods it will use to ensure that
                all officers, employees, and agents of its organization
                are aware of its code of conduct; and

            c.  The following information, as it is stated on the
                SF-424:

                i.  DUNS;

                ii. EIN;

                iii. Applicant Legal Name;

                iv. Address (Street, P.O. Box, City, State, and Zip);

            d.  Authorized Official's information (Name, Title, Phone,
                and Email)

        3.  The code of conduct must prohibit real and apparent
            conflicts of interest that may arise among officers,
            employees, or agents; prohibit the solicitation and
            acceptance of gifts or gratuities by your officers,
            employees, or agents for their personal benefit in excess of
            minimal value; and outline administrative and disciplinary
            actions available to remedy violations of such standards.

        4.  See the General Section, III.C., for more detailed
            information and instructions if the applicant needs to
            submit their code of conduct to HUD via facsimile.

5.  **Summary and** **Attachment Documentation.**

    a.  **Executive Summary.**

        1.  Provide an Executive Summary, not to exceed two pages.
            Describe your affordable housing plan. State whether: 1) you
            have procured (or will procure) a developer, 2) you will act
            as your own developer, or 3) you will not use a developer
            because your housing project is not complex enough to
            warrant one. 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.  **Program Schedule.** The application requires a Program
        Schedule for the applicant's Project. The Program Schedule must
        reflect the Reasonable Time-Frame and Development Proposal time
        requirements stated in Section VI.B. of this NOFA.

    c.  **HOPE VI Main Street Application Data Sheet, form HUD-52861, in
        MS Excel format (.XLS).**

        1.  This form consists of several Excel worksheets. Each
            worksheet requires information that is necessary for the
            applicant to meet thresholds, obtain rating points, or
            determine the maximum grant amount. Instructions for
            completing the data worksheets are located in the left-hand
            worksheet, with the tab name, "Instructions." The worksheets
            should be completed 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.  Unit Mix. This worksheet will be HUD's primary source of
            information on the Main Street Affordable Housing Project's
            unit number and type. This information also feeds into the
            calculations for maximum grant amount.

        3.  Construction Sources and Uses. This worksheet contains the
            planned costs and funding resources that will exist during
            the construction period. That is, if a construction loan
            will be obtained, it would be included here along with other
            financing that will be expended during the construction
            period, including grant funds used in construction. A
            permanent mortgage would not be included here.

        4.  Permanent Sources and Uses. This worksheet contains the
            planned costs and long-term financing that will be used to
            develop the Main Street Affordable Housing Project. Tax
            credit equity, permanent mortgages, grant funds that will be
            used in construction, rent-up, developer fee, etc., would be
            included here.

        5.  TDC. The maximum amount of the grant must be based on HUD's
            Total Development Cost per unit developed. The applicant
            must choose an applicable city and state. HUD developed TDCs
            for larger cities, metropolitan statistical areas and
            primary metropolitan statistical areas (MSA/PMSA), not for
            small, rural cities. Therefore, the applicant must determine
            which listed city or MSA/PMSA is most applicable to it.

        6.  Match and Housing Resources. In order to meet HOPE VI's 5%
            Match, and to obtain rating points for Main Street
            Affordable Housing Project leverage, the applicant must
            enter funding sources, amounts, the leverage and related
            information in this worksheet. If a source is not listed in
            this worksheet, the amount will not be included in HUD's
            review and rating. Allowable resources may be cash
            contributions or contributions of in-kind services THAT WILL
            BE EXPENDED ON THE MAIN STREET AFFORDABLE HOUSING PROJECT
            ONLY.

        7.  Main Street Area Rejuvenation Effort Leverage Resources. In
            order to meet the 50% Main Street Area leverage threshold,
            the applicant must enter funding sources, amounts and
            related information in this worksheet. Allowable resources
            may be cash contributions or contributions of in-kind
            services that have been expended, or are committed to, the
            Main Street Area rejuvenation effort as a whole, EXCLUDING
            THE MAIN STREET AFFORDABLE HOUSING PROJECT. If a source is
            not listed in this worksheet, the amount will not be
            included in HUD's review and rating

        8.  For each of the applicant's Match and leverage resources,
            the applicant must include:

            i.  The name of the entity providing the resource;

            ii. The name of a contact for the entity providing the
                resource that is familiar with the contribution toward
                this application;

            iii. The telephone number of a contact for the resource who
                 is familiar with the contribution toward this
                 application;

            iv. The leverage amount;

            v.  Whether the leverage amount is cash or in-kind services;
                and

            vi. The period in which the leverage resource was expended
                or will be received, e.g., expended during 2005, or, for
                a future leverage resource, the period in which it will
                be furnished, e.g., over the next two years.

    d.  **HOPE VI Budget.** Enter the amount you are requesting through
        this NOFA. In "Part I: Summary," in the "PHA" space, enter the
        applicant's name as stated on the SF-424. Also complete the
        column entitled, "Revised Overall HOPE VI Budget for All Project
        Phases." It is not necessary to fill in the other columns. In
        "Part II: Supporting Pages," in the "PHA" space, enter the
        applicant's name as stated on the SF-424 and complete only
        columns 2 and 3.

    e.  **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 be included for:

        1.  All buildings together;

        2.  Separately for each building in the project; or

        3.  Separately for each owner entity in the project.

    f.  **Map of Main Street Area.** The drawing must denote the
        boundaries of a Main Street Area and denote each housing site
        that is included in the applicant's project. The map should be
        grayscale for printing on a black-and-white printer. Boundaries
        and site(s) should be delineated with black lines. The
        boundaries may include streets, highways, railroad tracks, etc.,
        and natural boundaries such as streams, hills, and ravines, etc.

    g.  **Housing Unit Layout.** The applicant must include one unit
        layout drawing for each of the different size and type
        affordable housing units that are planned. The drawings do not
        need to be blueprint quality, but should be approximately to
        scale. Up to four layouts may be included on each page. The
        layouts should be in grayscale, for printing on a
        black-and-white printer.

    h.  **Main Street Rejuvenation Master Plan (Main Street Plan).** The
        applicant's Main Street Rejuvenation Master Plan must address,
        at a minimum, the six subjects listed in "Main Street
        Rejuvenation Master Plan," in "Definitions," Section I.D. of
        this NOFA. The Main Street Plan should include amendments that
        occurred during the publication period of this NOFA, e.g.,
        inclusion of affordable housing, Main Street Affordable Housing
        Project site address.. It is not necessary to include a market
        analysis to demonstrate that affordable housing is needed in the
        Main Street Area. It is also not necessary to include
        nominations to the National Register of Historic Places (NRHP).
        The applicant may submit only the portions of the Main Street
        Plan that pertain to subjects that are listed in Section III.C.
        of this NOFA, under "Thresholds," "Program Requirements," and
        the Rating Factors in Section V.A. of this NOFA.

    i.  **America's Affordable Communities Initiative, form HUD-27300.**
        The applicant must complete and include this form, and
        accompanying documentation, in the application in order to
        receive rating points. See the General Section.

    j.  **Certification of Consistency with the RC/EZ/EC-IIs Strategic
        Plan, form HUD-2990.** If the applicant is eligible for, and
        desires, this NOFA's RC/EZ/EC-II bonus points, the applicant
        must complete, sign, and include this certification form in the
        application in order to receive the rating points. The
        certification must also meet the requirements stated in the
        General Section.

    k.  **Logic Model.** The applicant must complete the form HUD-96010,
        "Logic Model," in accordance with the "Logic Model Instructions"
        part of the form and Section VI.B. of the General Section. The
        Logic Model is included in the "Application Instructions" of the
        application on grants.gov. The Logic Model has self-contained
        instructions for its use. HUD suggests that you read those
        instructions first and then complete the Logic Model, selecting
        the applicable responses for your proposed program from the drop
        down selections. After completing the Logic model, save it and
        attach it to your electronic application submission using the
        "Other Attachments Form" found in the Mandatory Documents block
        of the grants.gov Application Package.

## Rating Factor Format. The narrative portion of the application includes the executive summary and all of the applicant's responses to the Rating Factors. To ensure proper credit for information applicable to each Rating Factor, the applicant should include references to application Sections, as listed in Section IV.B. of this NOFA, and to pages of the Main Street Plan, 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 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. 

6.  **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 Main Street Plan.

        2.  Each reference to the Main Street Plan should be specific,
            including the page number of the Main Street Plan where the
            information can be found and a reference to identify its
            location on the page. More than one specific reference to
            the Main Street 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:

        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.  Résumés of key personnel; and

        5.  Other documentation showing knowledge and experience of
            affordable housing development or construction.

    c.  **Need for Affordable Housing.** It is not necessary for the
        applicant to include documentation for this Rating Factor in the
        application. HUD reviewers will derive the 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 very low-income family living in that PMSA/MSA or
        nonmetropolitan county/parish can afford to pay. In performing
        the comparison, HUD will compare the FMR for a three-bedroom
        unit to the rent that would be paid by a four-person very
        low-income family.

        1.  PMSA/MSAs and nonmetropolitan counties/parishes are as
            listed in HUD's document titled "FY 2005 State List of
            Counties (and New England Towns) Identified by Metropolitan
            and Nonmetropolitan Status" at
            http://www.huduser.org/datasets/il/IL05/Definitions05.doc

        2.  The FMRs are listed at
            [http://www.huduser.org/datasets/fmr/fmr2006F/FY2006F_SCHEDULE_B.doc](http://www.huduser.org/intercept.asp?loc=/Datasets/FMR/FMR2005F/Final_FY2005_SCHEDULEB1.pdf)

    d.  The maximum, affordable very low-income rent is based on HUD's
        Income Limits, as listed at
        http://www.huduser.org/datasets/il/IL05/Section8_IncomeLimits_2005.docfor
        very low-income families. The initial occupant must not pay more
        in rent than a public housing resident at a HOPE VI development,
        which is 30% of one twelfth of the listed income limit for a
        very low-income family **Readiness and Appropriateness of the
        Main Street Affordable Housing Project**

        1.  **Site Control.** See the definition of Site Control in
            Section I.D. of this NOFA.

            **Section (3).** A minimal Section (3) plan must include at
            least general methods that the applicant will use to comply
            with implementing regulations at 24 CFR part 135 and give
            job training, employment, contracting and other economic
            opportunities to section 3 residents and section 3 business
            concerns. A Section (3) plan that exceeds this may contain
            more specific information, e.g., goals by age group, types
            of jobs, and other opportunities to be furnished; plans for
            tracking and evaluation of goals. To include Logic Model
            Section (3) information in the Section (3) plan, the
            applicant should make reference to such information in the
            Section (3) Narrative.

    e.  **Program Administration and Fiscal Management.**

        1.  Documentation that demonstrates program administration and
            fiscal management MUST include:

            a.  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

            b.  An Evaluation Plan. The plan should include the
                applicant's indicators, outcomes and evaluation
                methodology in prose format. The plan should include
                those indicators, outcomes, and methodologies included
                in the applicant completed Logic Model. The plan must
                include the methodology to be used to measure progress
                toward grant completion, and the return on investment
                (ROI) that the grant has achieved. The Evaluation Plan
                may contain indicators, outcomes and methodologies in
                addition to those stated in the Logic Model.

        2.  Documentation that demonstrates program administration and
            fiscal management should include

            a.  A description of the procurement system structure that
                the applicant has in place, including internal controls.
                Note that procurement system information will be
                included in the narrative page limit;

            b.  A description of the fiscal management structure that
                the applicant has in place, including fiscal controls
                and internal controls;

            c.  A summary of the results of the last available annual
                external, independent audit, including findings, if any;

            d.  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.

    f.  **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, if it wants to receive up to 2 policy
            priority points for removal of barriers to affordable
            housing. See Section IV. of the General Section.

    g.  **RC/EZ/EC-IIs.**

        1.  To receive up to two bonus points for performing the NOFA
            activities in a RC/EZ/EC-II area, the applicant must
            complete, sign, and submit the "Certification of Consistency
            with RC/EZ/EC Strategic Plan" (form HUD-2990) as part of the
            application and meet the requirements of the General
            Section.

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D.  **Submission Dates and Times**

    1.  **Application deadline date.** **[Electronic applications must
        be received and validated by Grants.gov by 11:59:59 p.m. eastern
        time on the application deadline of July 11, 2006. Paper copy
        applications submitted if a waiver to the electronic submission
        is granted, must be received by the application deadline date of
        July 11, 2006. See the General Section.]{.underline}**

    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.
        of the General Section, and that are received by the application
        deadline date will be accepted. Also, videos submitted as part
        of an application will not be viewed.

# **Intergovernmental Review**

3.  **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]{.underline}. States
    not listed on the website 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.

# **Funding Restrictions**

4.  Grant funds must only be used to provide assistance to carry out
    eligible affordable housing activities, as stated in Section III.C.
    of this NOFA.

5.  HOPE VI funds may not be used to meet the Match requirement.

6.  **Non-allowable Costs and Activities.** Grant funds awarded through
    this NOFA must not be expended on:

    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, and excluding
        purchase of property for rehabilitation);

    c.  Funding of project reserves of any type;

    d.  Payment of the applicant's administrative costs;

    e.  Payment of any and all legal fees;

    f.  Development of public housing replacement units (defined as
        units that replace disposed of or demolished public housing);

    g.  Housing Choice Vouchers;

    h.  Transitional security activities;

    i.  Main Street technical assistance consultants or contracts; and

    j.  Costs incurred prior to grant award, including the cost of
        application preparation.

7.  Main Street Affordable Housing Project Leverage. Excluding the Match
    amount, Main Street Affordable Housing Project Leverage resources
    may be used to fund non-allowable expenditures, provided that these
    expenditures support the development of affordable housing.

8.  **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 2005-26 (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 on HUD's
        HOPE VI Main Street website,
        <http://www.hud.gov/offices/pih/programs/ph/hope6/grants/mainstreet/>
        or at
        http://www.hudclips.org/sub_nonhud/cgi/nph-brs.cgi?d=PIHN&s1=total+development+cost&op1=AND&l=100&SECT1=TXT_HITS&SECT5=HEHB&u=./hudclips.cgi&p=1&r=4&f=G

    b.  Cost Control Safe Harbors apply. Grantees must comply with HOPE
        VI Main Street Cost Control and Safe Harbor Standards as
        follows:

        1.  Developer Fee Safe Harbor. The HOPE VI Main Street Safe
            Harbor for the developer fee is 9% or less of total Main
            Street Affordable Housing Project costs that are funded by
            grant funds or leverage funds included in the NOFA
            application (less the total amount of all reserve accounts
            and less the developer fee, itself.) The maximum developer
            fee is 12% of total Main Street Affordable Housing Project
            costs that are funded by grant funds or leverage funds
            included in the NOFA application. Any fee above the 9% safe
            harbor must be justified and approved by HUD in advance.
            Possible justifications for exceeding the 9% safe harbor
            include:

            a.  Developer independently obtains project financing,
                including tax credits. The more sources of financing,
                the greater the justification for a higher developer
                fee;

            b.  Developer obtains site control from an entity other than
                the Grantee. The more sites acquired the greater the
                justification for a higher developer fee;

            c.  The project is complex (e.g., in financial, legal,
                environmental and/or political terms.)

            d.  The developer bears more than 25% of the predevelopment
                costs;

            e.  The developer fee is deferred or paid out of positive
                cash flow from the project;

            f.  The developer guarantee(s) is for a large dollar amount
                in proportion to the project size and/or the
                guarantee(s) is for a long term.

        2.  General Contractor Fee. The HOPE VI Main Street Safe Harbor
            for the general contractor fee is as follows:

            a.  General Requirements: 6% of hard-costs (including
                contingency and bond premium);

            b.  Overhead: 2% of hard-costs plus General Requirements;

            c.  Profit: 6% of hard-costs, General Requirements and
                Overhead;

            d.  The maximum Safe Harbor for these combined costs is 14%,
                unless adequate justification is provided to HUD.

9.  **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.

10. **Statutory time limit for award, obligation, and expenditure.**

    a.  The estimated award date will be 60 days after the application
        deadline date of **[September 15, 2006]{.underline}**.

    b.  Funds available through this NOFA must be obligated on or before
        September 30, 2006.

    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 2005 must be expended by
        **September 30, 2011,** and all HOPE VI funds that were
        appropriated in FY 2006 must be expended by **September 30,
        2012.** Any funds that are not expended by these dates will be
        cancelled and recaptured by the Treasury, and thereafter will
        not be available for obligation or expenditure for any purpose.

11. **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.

12. **Transfer of Funds.** HUD has the discretion to transfer funds
    available through this NOFA to any other HOPE VI program.

13. **Limitation on Eligible Expenditures.** Expenditures on services,
    equipment, and physical improvements must directly relate to project
    activities allowed under this NOFA.

14. **Pre-Award Activities.** Award funds shall not be used to reimburse
    pre-award expenses.

# **Other Submission Requirements.** 

# **Application Submission and Receipt Procedures.** See Section IV.F. of the General Section.

#  **Timely Receipt Requirements and Proof of Timely Submission.** 

# **Electronic Submission.** All electronic applications must be received and verified by [www.grants.gov](http://www.Grants.gov/) **by 11:59:59 p.m. eastern time** on or before the deadline date established for this NOFA. 

An electronic time stamp is generated within the system when the
application is successfully received by grants.gov and again when the
application is successfully validated 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 these receipts and save them, 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 and validates 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 deadline date and time.

Applications received and validated 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 deadline date and
time. 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 early (see the General Section) and
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 and ask any questions should you have any concerns in trying to
submit your application.

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. However, applicants are advised to use the
Internet Explorer or Netscape browsers for submitting the application as
they have been tested on Grants.gov and have a proven track record.
Applicants are also advised that applications that take 1 hour or more
to upload may be timed out by their Internet Service provider. To avoid
such issues applicants should zip their files to shrink the size of the
transmissions and make sure that you are uploading the application from
the desktop and other applications have been closed. Following these
simple procedures will help speed the upload.

# Applications Receiving Waivers to Submit a Paper Copy Application

**See the Section IV. of the General Section. Applicants granted a
wavier to the electronic submission requirement must be submitted in
their entirety to the applicable HUD office by the application deadline
date. Written notification of waiver approval will include information
on mailing instructions and timely receipt of the application by HUD.**

# **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, on or before the application deadline date. 

# **General Section References.** Section IV of the General Section is hereby incorporated by reference.

# Forms. The following HUD standard forms are not required as part of the application for this NOFA:

# Grant Application Detailed Budget (HUD-424-CB);

# Grant Application Detailed Budget Worksheet (HUD-424-CBW); 

II. **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
                    Plan, that is, the applicant's team has developed or
                    rehabilitated more than 5 affordable housing
                    projects and 3 NRHP 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
                    Plan. That is, the applicant's team has developed or
                    rehabilitated more than 2 affordable housing
                    projects and 1 NRHP or traditional architecture
                    projects over the past three years.

                3.  The applicant will earn a maximum of 5 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 Plan.

                4.  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 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 deadline 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 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.

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        1.  **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 3-person very low-income family to the FMR of
                a 2-bedroom size unit (affordable rent divided by FMR)
                is equal to or less than 1.1, the applicant will receive
                10 points. Affordable rent is 30% of the Income Limit
                for a very low-income family, divided by 12 (months per
                year).

            b.  For the applicant's PMSA/MSA or nonmetropolitan
                county/parish, if the ratio of the maximum affordable
                rent for a 3-person family to the FMR of a 2-bedroom
                size unit (affordable rent divided by FMR) is greater
                than 1.1, the applicant will receive 0 points.
                Affordable rent is 30% of the Income Limit for a very
                low-income family, divided by 12 (months per year).

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        3.  **Rating Factor 3: Appropriateness of the Main Street Plan
            (up to 20 points).**

            a.  **Main Street Plan Requirements (up to 3 points).**

                1.  The Main Street Plan should at a minimum:

                    a.  Have had an architect, land planner, or
                        qualified planning professional involved in Plan
                        preparation.

                    b.  Describe the proposed Main Street Rejuvenation
                        redevelopment strategies;

                    c.  Describe the proposed Main Street Rejuvenation
                        redevelopment actions;

                    d.  Include a map that indicates the Main Street
                        Area and the Main Street Affordable Housing
                        Project sites;

                    e.  Include a narrative that refers to the map and
                        describes the various planned redevelopment
                        actions; 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 Plan on or before the
                        application deadline date. The properties must
                        be described by lot/block number, street
                        address, legal description, or other exact
                        description.

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                1.  Scoring:

                    a.  The applicant will receive 3 points if the
                        application demonstrates that the Main Street
                        Plan includes either 5 or 6 of the elements
                        listed above.

                    b.  The applicant will receive 2 points if the
                        application demonstrates that the Main Street
                        Plan includes either 3 or 4 of the elements
                        listed above.

                    c.  The applicant will receive 0 points if the
                        application does not demonstrate that the Main
                        Street Plan includes at least 3 of the elements
                        listed above.

            b.  **Main Street Plan Qualities (up to 17 points).**

                1.  Commitment to Historic or Traditional Architecture.

                    a.  The applicant will receive 5 points if the
                        applicant's Main Street Plan demonstrates a
                        strong commitment to the preservation of
                        historic or traditional architecture.

                    b.  The applicant will receive 3 points if the
                        applicant's Main Street 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 Main Street Plan does not address the
                        preservation of historic or traditional
                        architecture.

                2.  Design Guidelines.

                    a.  The applicant will receive 4 points if the
                        applicant's Main Street Plan contains specific
                        design guidelines that relate to historic or
                        traditional architecture, and that promote
                        universal design, as described in Section III.C.
                        of this NOFA.

                    b.  The applicant will receive 0 points if the Main
                        Street Plan does not contain design guidelines.

                3.  Public and Private Support.

                    a.  The applicant will receive 5 points if the
                        applicant's Main Street Plan has received strong
                        local public and private sector support
                        demonstrated by long-term (at least two years )
                        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 3 points if the
                        applicant's Main Street Plan has received strong
                        local public and private sector support
                        demonstrated by long-term (at least two years )
                        financial and in-kind service leverage
                        commitments to the Main Street Area equal to or
                        greater than 100 percent, but less than 200
                        percent of the applicant's requested grant
                        amount.

                    c.  The applicant will receive 0 points if the
                        applicant's Main Street Plan has received local
                        public and private sector support demonstrated
                        by long-term (at least two years ) financial and
                        in-kind service leverage commitments to the Main
                        Street Area less than 100 percent of the
                        applicant's requested grant amount.

                4.  Promotion and Marketing.

                    a.  The applicant will receive 3 points if the
                        applicant's Main Street Plan sets forth a plan
                        to promote and market the Main Street Area
                        rejuvenation effort to financiers, other 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 1 point if the
                        applicant's Main Street Plan includes a
                        discussion of either promotion or marketing, but
                        not both, 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 0 points if the
                        applicant's Main Street Plan does not includes a
                        discussion of promotion or marketing of the Main
                        Street Area rejuvenation effort.

        4.  **Rating Factor 4: Readiness and Appropriateness of the Main
            Street Affordable Housing Project (up to 25 points).**

            a.  **Site Control (up to 5 points)**

                1.  Site control is an indicator that the applicant is
                    ready to move forward with the rehabilitation
                    efforts that are included in the application and the
                    NOFA.

                2.  **Scoring:**

                    a.  The applicant will receive 5 points if the
                        application includes documentation that
                        demonstrates site control over (all of) the
                        affordable housing site(s) that comprise the
                        Main Street Affordable Housing Project, as
                        included in the application's Section L: Map of
                        the Main Street Area.

                    b.  The applicant will receive 0 points if the
                        application does not include documentation that
                        demonstrates site control over the affordable
                        housing sites that comprise the Main Street
                        Affordable Housing Project, as included in the
                        application's Section L: Map of the Main Street
                        Area.

            b.  **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 leverage used
                        for activities related to the Main Street Area
                        rejuvenation effort as a whole, and does not
                        include Main Street Affordable Housing Project
                        leverage. Note that long-term Main Street Area
                        Leverage is rated above in Section V.A.3.b. of
                        this NOFA, entitled "Public and Private
                        Support."

                    b.  Main Street Affordable Housing Project Leverage
                        includes leverage that 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.

                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 are assigned based on the following scale:

#  **Leverage as Percent of Grant Amount Points Awarded** {#leverage-as-percent-of-grant-amount-points-awarded .unnumbered}

Less than 50 percent zero points

Greater than or equal to 50 percent but less than 100 percent 5 points

100 percent or more 10 points

c.  **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 3 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.

d.  **Reservation for Very Low-Income Families (up to 3 points).**

    1.  The applicant will receive 3 points if the ratio of units
        reserved for very low-income initial residents to units reserved
        for low-income residents (very low-income divided by low-income)
        is greater than 20 percent of the total affordable housing units
        in the project.

    2.  The applicant will receive 0 points if the ratio of units
        reserved for very low-income initial residents to units reserved
        for low-income residents (very low-income divided by low-income)
        is less than or equal to 20 percent of the total affordable
        housing units in the project.

e.  **Economic Opportunities for Low-and Very-Low Income Persons
    (Provision of Section 3) (up to 2 Points)**.

    HOPE VI grantees must comply with Section 3 of the Housing and Urban
    Development Act of 1968 (12 U.S.C. 1701u) (Economic Opportunities
    for Low-and Very Low-Income Persons in Connection with assisted
    Projects) and its implementing regulations at 24 CFR part 135. One
    of the purposes of the assistance is to give, to the greatest extent
    feasible, and consistent with existing Federal, State and local laws
    and regulations, job training, employment, contracting and other
    economic opportunities to section 3 residents and section 3 business
    concerns.

    1.  The applicant will receive 2 points if the application includes
        a feasible plan to implement Section 3 that not only meets the
        minimum requirements described in Section (1) above, but also
        exceeds those requirements.

The applicant will receive 0 points if the application does not include
a feasible plan to implement Section 3 that not only meets the minimum
requirements described in Section (1) above, but also exceeds those
requirements.

f.  **Energy Star (up to 1 point).**

\(1\) Promotion of Energy Star compliance is a HOPE VI Main Street
program goal. See "Program Requirements," Section III.C. 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 your application includes the development of homeownership
units, include Energy Star in required 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 13 points).**

    a.  **Program Schedule (up to 5 points).**

        1.  The applicant may receive a maximum of 5 points if the
            applicant demonstrates that the milestones in the Program
            Schedule are realistic and achievable. That is, the
            application demonstrates that the applicant has performed
            the following actions and, where applicable, has obtained
            information that was used in developing the Program
            Schedule:

            a.  Contacted the State Historic Preservation Officer, the
                local HUD Field Office, architects, materials suppliers,
                and other parties that milestones depend upon to ensure
                that the milestones can reasonably be met;

            b.  Checked to see if any litigation or court orders exist
                that will affect the milestones; and

            c.  Prepared a chart that states estimated production
                milestones, their relative time frames, and each
                milestone's time to completion, e.g., Gantt Chart.

        2.  The applicant may receive a maximum of 3 points if the
            applicant has performed two of the three actions in (a)
            through (c) above, and, where applicable, has obtained
            information that was used in developing the Program
            Schedule.

        3.  The applicant will receive 0 points if the applicant has not
            performed at least two of the three actions in (a)
            through (c) above.

    b.  **Fiscal Management (up to 6 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 6 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 3 points;

        3.  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.

    c.  **Evaluation (Up to 2 points).**

        1.  If the applicant's required Evaluation Plan demonstrates the
            methods that will be used, and data that will be collected,
            to evaluate the indicators and outcomes of this grant,
            including, at a minimum, the indicators and outcomes stated
            in the applicant's Logic Model, the applicant will receive 2
            points.

        2.  If the applicant's required Evaluation Plan does not
            demonstrate the methods that will be used, and data that
            will be collected, to evaluate the indicators and outcomes
            of this grant, including, at a minimum, the indicators and
            outcomes stated in the applicant's Logic Model, 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.

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    a.  **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 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.

        4.  An applicant must submit the documentation requested in the
            questionnaire or provide a website address (URL) where the
            documentation can be readily found, to receive the bonus
            points for this policy priority. See Section IV. of the
            General Section for documentation requirements.

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6.  **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 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 webpage at
        [www.hud.gov/cr]{.underline}. Applicants can determine if their
        program/project activities are located in one of these
        designated areas by using the locator on HUD's website at
        [www.hud.gov/crlocator]{.underline}.

# **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. Clarifications or
        corrections of technical deficiencies in accordance with the
        information provided by HUD must be submitted within 14 calendar
        days of the date of receipt of the HUD notification.

    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 14 calendar day cure period, as described in
            Section V.B. above and the General Section.

        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 100,
            plus a possible 2 RC/EZ/EC-II bonus points.

        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 2005 HOPE VI appropriation, HUD may not
    use HOPE VI funds, including HOPE VI Main Street 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 Main
    Street 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.

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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 to the
            applicant's authorized signatory at the applicant's address,
            as stated on the SF-424.

        3.  **Applicant Debriefing.** For a period of at least 120 days,
            beginning 30 days after the awards for assistance are
            announced publicly, 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.

# **Administrative and National Policy Requirements**

5.  **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 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 procured developer who is
        undertaking the development of the Project.

    d.  **Reasonable Time Frame.** Grantees must proceed within a
        reasonable time frame to complete the following milestone
        activities:

        1.  **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.

            a.  Development proposals must include the following
                information:

                i.  Identification of parties to the project
                    development;

                ii. 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.

                iii. Financing, i.e., Sources and Uses in the form
                     HUD-52861 format;

                iv. Unit description, i.e., unit number and sizes.

                v.  Site locations, i.e., lot and block, street address,
                    or legal description;

                vi. Development construction cost estimate; and

                vii. Certification that open competition will be used by
                     the grantee to select a development partner and/or
                     owner entity, if applicable.

        2.  **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.

        3.  **Last Construction Completion**. Grantees must complete
            construction (receive Certificates of Occupancy for all
            units) within 30 months from the grant award date.

        4.  In determining reasonableness of such time frame, HUD will
            take into consideration those delays caused by factors
            beyond the applicant's control.

        5.  In accordance with the threshold requirement in Section
            III.C. of this NOFA and the threshold documentation in
            Section IV.B. of this NOFA, the above time frames must be
            stated in a Program Schedule that includes the following
            milestones, at a minimum:

            a.  Grant Award Date (assume two months after application
                deadline date);

            b.  Grant Agreement Execution Date (the Grant Agreement will
                be mailed to the grantee within one month after notice
                of award. The grantee will be given a maximum of 90 days
                to execute the Agreement);

            c.  Development Plan Submission Date;

            d.  Date of closing of financing of the first phase. If the
                applicant plans not to have a financial closing, it must
                state so in the Schedule;

            e.  Date of the start of construction of the first housing
                unit; and

            f.  Date of the completion of construction of the last
                housing unit.

    e.  **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. of this NOFA for information about
        environmental requirements.

    f.  **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.

    g.  **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.

6.  **National Policy Requirements**

    a.  See references to the General Section in Section III of this
        NOFA.

7.  **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 completed on-line. The Grantee will enter into the
            Quarterly Progress Report:

            a.  On a quarterly basis:

                i.  Administrative and production milestones, called
                    "Checkpoints,";

                ii. Financial status, by Budget Line Item as listed on
                    form HUD-52825-A, "HOPE VI Budget," including the
                    grant budget, amounts authorized by HUD for
                    expenditure, and amounts expended to date; and

                iii. A short status narrative.

            b.  On an annual basis, the Total real estate tax assessment
                for the census tract that includes the Main Street Area.

        2.  HUD will provide training and technical assistance on the
            filing and submitting of Main Street Quarterly Progress
            Reports.

        3.  Filing of Quarterly Progress 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 in
            the Quarterly Progress Report, as approved by HUD.

8.  **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.

9.  **Logic Model Reporting.** The grantee's Logic Model will be based
    upon the Logic Model included in the application. Provided that the
    Logic Model complies with the requirements of this NOFA, the General
    Section and the Grant Agreement, HUD will approve the Logic Model's
    outputs and outcomes at the time of approval of the Development
    Proposal. Beginning after HUD approval, at a minimum, the grantee
    will be required to submit a completed Logic Model showing outputs
    and outcomes achieved quarterly. Responses to the management
    questions and the ROI Statement in the Logic model for the Main
    Street program must be submitted annually. See Logic Model reporting
    in the General Section.

10. **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.

11. **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, if the Grantee expends \$500,000 or more in a calendar or
    program year. 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.

12. **Final Report.**

    a.  Within 30 days after the grantee obtains the results of the
        Final Audit, the grantee shall submit a final report. The final
        report will include a financial report, a narrative evaluating
        overall performance against its HOPE VI Main Street application
        and Main Street Quarterly Progress Report, and a completed Logic
        Model, form HUD-96010, including responses to the management
        questions and the ROI Statement. 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]{.underline}; a comparable program form; or a
        comparable electronic data system.

    c.  The final narrative, financial report, closeout documentation as
        required by HUD, and Logic Model shall be due to HUD 90 days
        after either the full expenditure of funds, or when the grant
        term expires, whichever comes first.

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VI. **Agency Contacts**

### Technical Corrections to the NOFA. 

### Technical corrections to this NOFA will be posted to the grants.gov website. 

### Any technical corrections will also be published in the [Federal]{.underline} [Register]{.underline}. 

### The applicant is responsible for monitoring these sites during the application preparation period. Applicants may sign up for the grants.gov notification service. Applicants signed up for the service will receive notification from grants.gov if HUD issues any modifications to the NOFA, Application Package, or Application Instructions.

### Technical Assistance. Before the application deadline 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 email to [**lawrence_gnessin@hud.gov**](mailto:lawrence_gnessin@hud.gov), or the applicant may contact Ms. Dominique Blom, Acting 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 about downloading an application, registering with grants.gov, and submitting an application, please call grants.gov Customer Support at 800-518-GRANTS (This is a toll-free number) or email grants.gov at \<support@grants\>.

### 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/**](http://www.hud.gov/offices/pih/programs/ph/hope6/). General information specifically about HUD's HOPE VI Main Street Program can be found on the Internet at http://www.hud.gov/offices/pih/programs/ph/hope6/grants/mainstreet/. 

VII. **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.

# **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 8:00 a.m. and 5:00 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.

B.  **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.