23876 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

[Docket No. FR–4363–N–01]

Super Notice of Funding Availability

(SuperNOFA) for Economic

Development and Empowerment

Programs

AGENCY: Office of the Secretary, HUD.

ACTION: Super Notice of Funding

Availability (SuperNOFA) for Economic

Development and Empowerment

Programs.

SUMMARY: This Super Notice of Funding

Availability (SuperNOFA) announces

the availability of approximately

$176,000,000 in HUD program funds

covering ten (10) Economic

Development and Empowerment

Programs operated and managed by the

following HUD Offices: Community

Planning and Development (CPD),

Housing-Federal Housing

Administration (FHA), Public and

Indian Housing (PIH), and the Office of

Lead Hazard Control (OLHC). The

General Section of this SuperNOFA

contains the procedures and

requirements applicable to all programs.

The applications for funding for these

programs have been consolidated into

four applications. The Programs Section

of this SuperNOFA contains a

description of the specific programs for

which funding is made available under

this SuperNOFA and additional

procedures and requirements that are

applicable to each.

APPLICATION DUE DATES: The information

contained in this ‘‘APPLICATION DUE

DATES’’ section applies to all programs

contained in this SuperNOFA.

Completed applications must be

submitted to HUD no later than the

deadline established for the program for

which you are seeking funding.

Applications may not be sent by

facsimile (FAX). See the Program Chart

for specific application due dates.

ADDRESSES AND APPLICATION SUBMISSION

PROCEDURES: Addresses. Completed

applications must be submitted to the

location specified in the Programs

Section of this SuperNOFA. When

submitting your application, please refer

to the program name for which you are

seeking funding.

For Applications to HUD

Headquarters. Applications to be

submitted to HUD Headquarters are due

at: Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room llll (See Program Chart or

Programs Section for room location),

Washington DC 20410.

For Applications to HUD Field

Offices. For those programs for which

applications are due to the HUD Field

Offices, please see the Programs Section

for the locations for submission.

Applications Procedures—Mailed

Applications. Applications will be

considered timely filed if postmarked

on or before 12:00 midnight on the

application due date and received by

the designated HUD Office on or within

ten (10) days of the application due

date.

Applications Sent by Overnight/

Express Mail Delivery. Applications sent

by overnight delivery or express mail

will be considered timely filed if

received before or on the application

due date, or upon submission of

documentary evidence that they were

placed in transit with the overnight

delivery service by no later than the

specified application due date.

Hand Carried Applications. For

applications submitted to HUD

Headquarters, hand carried applications

delivered before and on the application

due date must be brought to the

specified location and room number

between the hours of 8:45 am to 5:15

pm, Eastern time. Applications hand

carried on the application due date will

be accepted in the South Lobby of the

HUD Headquarters Building at the

above address from 5:15 pm until 12:00

midnight, Eastern time. Applications

due to HUD Field Office or Area Office

of Native American Programs locations

must be delivered to the appropriate

HUD Field Office or Area Office of

Native American Programs in

accordance with the instructions

specified in the Programs Section of the

SuperNOFA.

For applications submitted to the

HUD Field Offices or Area Offices of

Native American Programs, hand

carried applications will be accepted

during normal business hours before the

application due date. On the application

due date, business hours will be

extended to 6:00 pm. (Please see the

Appendix A to this SuperNOFA listing

the hours of operations for the HUD

Field Offices.) COPIES OF

APPLICATIONS TO HUD OFFICES. The

Programs Section of this SuperNOFA

may specify that, to facilitate processing

and review of your submission, a copy

of the application also be sent to an

additional HUD location (for example, a

copy to the HUD Field Office or Area

Office of Native American Programs if

the original application is to be

submitted to HUD Headquarters, or a

copy to HUD Headquarters, if the

original application is to be submitted to

a HUD Field Office or Area Office of

Native American Programs). Please

follow the requirements of the Programs

Section to ensure that you submit your

application to the proper location. HUD

requests additional copies in order to

expeditiously review your application

and appreciates your assistance in

providing the copies. Please note that

for those applications for which copies

are being submitted to the local HUD

Offices and HUD Headquarters,

timeliness of submission will be based

on the time the application is received

at HUD Headquarters.

FOR APPLICATION KITS, FURTHER

INFORMATION AND TECHNICAL ASSISTANCE:

The information contained in this

section is applicable to all programs

contained in this SuperNOFA, unless

otherwise specifically provided in the

applicable programs section.

For Application Kits and SuperNOFA

User Guide. HUD is pleased to provide

you with application kits and/or a

guidebook to all HUD programs. When

requesting an application kit, please

refer to the program name of the

application kit you are interested in

receiving. Please be sure to provide your

name, address (including zip code), and

telephone number (including area code).

Requests for application kits should

be made immediately to ensure

sufficient time for application

preparation. We will distribute

application kits as soon as they become

available.

The SuperNOFA Information Center

(1–800–HUD–8929) can provide you

with assistance, application kits, and

guidance in determining which HUD

Office(s) should receive a copy of your

application. Persons with hearing or

speech impairments may call the

Center’s TTY number at 1–800–HUD–

2209.

Consolidated Application

Submissions. Where an applicant can

apply for funding under more than one

program in this SuperNOFA, the

applicant need only submit one

originally signed SF–424 and one set of

original signatures for the other required

assurances and certifications,

accompanied by the matrix contained in

each application kit (provided that the

required assurances and certifications

are identical). As long as the applicant

submits one originally signed set of

these documents with an application,

only copies of these documents are

required to be submitted with any

additional application submitted by the

applicant. The application should

identify the program for which the

original signatures for assurances and

certifications is being submitted.

For Further Information. For answers

to your questions about this
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23877

SuperNOFA, you have several options.

You may call the HUD Office or

Processing Center serving your area at

the telephone number listed in your

program area section to this

SuperNOFA, or you may contact the

SuperNOFA Information Center at 1–

800–HUD–8929. Persons with hearing

or speech impairments may call the

Center’s TTY number at 1–800-HUD–

2209. Information on this SuperNOFA

also may be obtained through the HUD

web site on the Internet at http://

www.HUD.gov.

For Technical Assistance. Before the

application due date, HUD staff will be

available to provide general guidance

and technical assistance about this

SuperNOFA. Current law does not

permit HUD staff to assist in preparing

the application. Following selection of

applicants, but prior to award, HUD

staff will be available to assist in

clarifying or confirming information

that is a prerequisite to the offer of an

award or Annual Contributions Contract

(ACC) by HUD.

Introduction To The SuperNOFA

Process

To further HUD’s objective, under the

direction of Secretary Andrew Cuomo,

of improving customer service and

providing the necessary tools for

revitalizing communities and improving

the lives of people within those

communities, HUD will publish three

SuperNOFAs in 1998, which coordinate

program funding for 40 competitive

programs and cut across traditional

program lines.

(1) The first is the SuperNOFA and

consolidated application process for

Housing and Community Development

Programs, covering 19 Housing and

Community Development Programs.

This SuperNOFA was published in the

Federal Register on March 31, 1998.

(2) The second is the SuperNOFA and

consolidated application process for

Economic Development and

Empowerment Programs, published in

today’s Federal Register. This second

SuperNOFA includes funding for the

following programs and initiatives:

Brownfields; Economic Development

Initiative; Youthbuild; three Tenant

Opportunity Programs; Economic

Development and Supportive Services;

Mark to Market Outreach and Training;

Mark to Market Technical Assistance

Intermediaries Grant Administration;

and the Local Lead Hazard Awareness

Campaign.

(3) The third is the SuperNOFA and

consolidated application process for

Targeted Housing and Homeless

Assistance Programs. This third

SuperNOFA includes the following

programs and initiatives: Housing

Opportunities for Persons with AIDS;

Continuum of Care Homeless Assistance

Programs; Section 202 Supportive

Housing for the Elderly; and Section 811

Supportive Housing for Persons with

Disabilities. This third SuperNOFA is

published elsewhere in today’s Federal

Register.

All three SuperNOFAs and all

consolidated applications, to the

greatest extent possible, given statutory,

regulatory and program policy

distinctions, will have one set of rules

that, together, offer a ‘‘menu’’ of

approximately 40 programs. From this

menu, communities will be made aware

of funding available for their

jurisdictions. Nonprofits, public

housing agencies, local and State

governments, tribal governments and

tribally designated housing entities,

veterans service organizations, faithbased organizations and others will be

able to identify the programs for which

they are eligible for funding.

The National Competition NOFA

In addition to the three SuperNOFAs,

HUD is publishing elsewhere in today’s

Federal Register a single NOFA for

three national competitions: the Fair

Housing Initiatives Program National

Competition; the National Lead Hazard

Awareness Campaign; and the Housing

Counseling National Competition.

Assisting Communities To Make Better

Use of Available Resources

These SuperNOFAs represent a

marked departure from, and HUD

believes a significant improvement over,

HUD’s past approach to the funding

process. In the past, HUD has issued as

many as 40 separate NOFAs, all with

widely varying rules and application

processing requirements. This

individual program approach to

funding, with NOFAs published at

various times throughout the fiscal year,

did not encourage and, at times,

unintentionally impeded local efforts

directed at comprehensive planning and

development of comprehensive local

solutions. Additionally, the old

approach seemed to require

communities to respond to HUD’s needs

rather than HUD responding to local

needs. Secretary Cuomo brings to the

leadership of HUD the experience of

successfully implementing a

consolidated planning process in HUD’s

community development programs. As

Assistant Secretary for Community

Planning and Development, Secretary

Cuomo consolidated the planning,

application, and reporting requirements

of several community development

programs. The Consolidated Plan rule,

published in 1995, established a

renewed partnership among HUD, State,

and local governments, public and

private agencies, tribal governments,

and the general citizenry by

empowering field staff to work with

other entities in fashioning creative

solutions to community problems.

The SuperNOFA approach builds

upon Consolidated Planning

implemented by Secretary Cuomo in

HUD’s community development

programs, and also reflects the

Secretary’s organizational changes for

HUD, as described in the Secretary’s

management reform plan. On June 26,

1997, Secretary Cuomo released the

HUD 2020 Management Reform Plan,

which calls for significant consolidation

of like programs to maximize efficiency

and dramatically improve customer

service. The plan also calls for HUD to

improve customer service by adopting a

principle of ‘‘menus not mandates.’’

By announcing the funding of these

ten programs in one NOFA, HUD hopes

to assist communities in making better

use of available resources to address

their economic development needs and

the needs of those living within the

communities in a holistic and effective

fashion. These funds are available for

eligible applicants to support individual

program objectives, as well as crosscutting and coordinated approaches to

improving the overall effective use of

available HUD program funds.

To date, HUD has been consolidating

and simplifying the submission

requirements of many of its formula

grant and discretionary grant programs

to offer local communities a better

opportunity to shape available resources

into effective and coordinated

neighborhood housing and community

development strategies that will help

revitalize and strengthen their

communities, physically, socially and

economically. To complement this

overall consolidation and simplification

effort, HUD designed this process to

increase the ability of applicants to

consider and apply for funding under a

wide variety of HUD programs in

response to a single NOFA. Everyone

interested in HUD’s grant programs can

benefit from having this information

made available in one NOFA.

Coordination, Flexibility, and

Simplicity in the HUD Funding Process

The SuperNOFA approach places

heavy emphasis on the coordination of

activities to provide (1) greater

flexibility and responsiveness in

meeting local housing and community

development needs, and (2) greater

flexibility to eligible applicants to

determine what HUD program resources
23878 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

best fit the community’s needs, as

identified in local Consolidated Plans

and Analysis of Impediments to Fair

Housing Choice (‘‘Analysis of

Impediments’’ (AI)).

The SuperNOFA approach is

designed to simplify the application

process; promote effective and

coordinated use of program funds in

communities; reduce duplication in the

delivery of services and economic

development and empowerment

programs; allow interested applicants to

seek to deliver a wider, more integrated

array of services; and improve the

system for potential grantees to be aware

of, and compete for program funds.

HUD encourages applicants to work

together to coordinate and, to the

maximum extent possible, join their

activities to form a seamless and

comprehensive program of assistance to

meet identified needs in their

communities, and address barriers to

fair housing and equal opportunity that

have been identified in the community’s

Consolidated Plan and Analysis of

Impediments in the geographic area(s)

in which they are seeking assistance.

As part of the simplification of this

funding process, and to avoid

duplication of effort, the SuperNOFA

provides for consolidated applications

for several of the programs for which

funding is available under this NOFA.

HUD programs that provide assistance

for, or complement similar activities, for

example, the economic development

initiative (EDI) and the brownfields

economic development initiative

(BEDI), or the tenant opportunity and

economic development supportive

services programs, have consolidated

applications that reduce the

administrative and paperwork burden

applicants may otherwise encounter in

submitting an application for each

program.

The funding of these ten programs

through this SuperNOFA will not affect

the ability of eligible applicants to seek

HUD funding. Eligible applicants are

able, as they have been in the past, to

apply for funding under as few as one

or as many as all programs for which

they are eligible.

The specific statutory and regulatory

requirements of each of the ten separate

programs continue to apply to each

program. The SuperNOFA reflects,

where necessary, the statutory

requirements and differences applicable

to the specific programs. Please pay

careful attention to the individual

program requirements that are

identified for each program. Also, you

will note that not all applicants are

eligible to receive assistance under all

ten programs identified in this

SuperNOFA.

The SuperNOFA contains two major

sections. The General Section of the

SuperNOFA contains the procedures

and requirements applicable to all

applications. The Programs Section of

the SuperNOFA describes each program

for which funding is made available in

the NOFA. As in the past, each program

provides a description of eligible

applicants, eligible activities, factors for

award, and any additional requirements

or limitations that apply to the program.

Please read carefully both the General

Section and the Programs Section of the

SuperNOFA for the program(s) to which

you are applying. This will ensure that

you apply for program funding for

which your organization is eligible to

receive funds and you fulfill all the

requirements for that program(s).

The Programs of This SuperNOFA and

the Amount of Funds Allocated

The ten programs for which funding

availability is announced in this

SuperNOFA are identified in the

following chart. The approximate

available funds for each program are

listed as expected funding levels based

on appropriated funds. Should

recaptured or other funds become

available for any program, HUD reserves

the right to increase the available

program funding amounts by the

amount available.

The chart also includes the

application due date for each program,

the OMB approval number for the

information collection requirements

contained in the specific program, and

the Catalog of Federal Domestic

Assistance (CFDA) number.

BILLING CODE 4210–32–P
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23879
23880 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

BILLING CODE 4210–32–C
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23881

Paperwork Reduction Act Statement

For those programs listed in the chart

above which have OMB approval

numbers, the information collection

requirements contained in this

SuperNOFA for those programs have

been approved by the Office of

Management and Budget (OMB) in

accordance with the Paperwork

Reduction Act of 1995 (44 U.S.C. 3501–

3520). For those programs listed in the

chart for which an OMB approval

number is pending, the approval

number when received will be

announced by HUD in the Federal

Register. An agency may not conduct or

sponsor, and a person is not required to

respond to, a collection of information

unless the collection displays a valid

control number.

General Section of the SuperNOFA

I. Authority; Purpose; Amount

Allocated; Eligible Applicants and

Eligible Activities

(A) Authorities

Unless otherwise specified in the

Programs Section of the SuperNOFA,

the authority for Fiscal Year 1998

funding availability under this

SuperNOFA is the Department of

Veterans Affairs and Housing and Urban

Development and Independent Agencies

Appropriations Act, 1998 (Pub.L. 105–

65, approved October 27, 1997) (FY

1998 HUD Appropriations Act). Where

applicable, additional authority for each

program in this SuperNOFA is

identified in the Programs Section.

(B) Purpose

The purpose of this SuperNOFA is to:

(1) Make funding available through a

variety of programs to empower

communities and their residents,

particularly the poor and disadvantaged,

to develop viable communities, provide

decent housing and a suitable living

environment for all citizens, without

discrimination in order to improve

themselves both as individuals and as a

community.

(2) Simplify and streamline the

application process for funding under

HUD programs. By making available to

State and local governments, public

housing agencies, tribal governments,

non-profit organizations and others, the

application requirements for HUD

housing and community development

programs in one NOFA, HUD hopes that

the result will be a less time consuming

and less complicated application

process. This new process also allows

an applicant to submit one application

for funds for several programs. Except

where statutory or regulatory

requirements or program policy

mandate differences, the SuperNOFA

strives to provide for one set of rules,

standardized rating factors, and uniform

and consolidated application

procedures.

(3) Enhance the ability of applicants

to make more effective and efficient use

of housing and community development

funding when addressing community

needs and implementing coordinated

housing and community development

strategies established in local

Consolidated Plans, which is the single

application for HUD housing and

community development and other

formula funds submitted by the local or

State government. Through this

SuperNOFA process, applicants are

encouraged to: (i) create opportunities

for strategic planning and citizen

participation in a comprehensive

context at the local level in order to

establish a full continuum of housing

and services; and (ii) promote methods

for developing more coordinated and

effective approaches to dealing with

urban, suburban, and rural problems by

recognizing the interconnections among

the underlying problems and ways to

address them through layering of

available HUD programs;

(4) Promote the ability of eligible nonprofit organizations to participate in

many of the programs contained in this

SuperNOFA; provide an increased

opportunity to assist communities in

developing job training, economic

development and empowerment

programs, directed at revitalizing

neighborhoods and obtaining selfsufficiency for low and moderate

income families; and

(5) Recognize and make better use of

the expertise that each of the programs,

and organizations eligible for funding

under this SuperNOFA, can contribute

when developing and implementing

local housing and community

development plans, the Consolidated

Plan, and the HUD required Analysis of

Impediments to Fair Housing Choice.

(C) Amounts Allocated

The amounts allocated to specific

programs in this SuperNOFA are based

on appropriated funds. Should

recaptured funds become available in

any program, HUD reserves the right to

increase the available funding amounts

by the amount of funds recaptured.

(D) Eligible Applicants and Eligible

Activities

The eligible applicants and eligible

activities for each program are identified

and described for the program in the

Programs Section of the SuperNOFA.

II. Requirements and Procedures

Applicable to all Programs

Except as may be modified in the

Programs Section of this Super NOFA,

or as noted within the specific

provisions of this Section II, the

following principles apply to all

programs. Please be sure to read the

program area section of the SuperNOFA

for additional requirements or

information.

(A) Statutory Requirements

All applicants must meet and comply

with all statutory and regulatory

requirements applicable to the program

for which they are seeking funding in

order to be awarded funds. Copies of the

regulations are available from the

SuperNOFA Information Center or

through the Internet at http://

www.HUD.gov. HUD may reject an

application from further funding

consideration if the activities or projects

proposed are ineligible, or HUD may

eliminate the ineligible activities from

funding consideration and reduce the

grant amount accordingly.

(B) Threshold Requirements—

Compliance With Fair Housing and

Civil Rights Laws

All applicants, with the exception of

Federally recognized Indian tribes, must

comply with all Fair Housing and civil

rights laws, statutes, regulations and

executive orders as enumerated in 24

CFR 5.105(a). Federally recognized

Indian tribes must comply with the Age

Discrimination Act of 1975, Section 504

of the Rehabilitation Act of 1973, and

the Indian Civil Rights Act. If an

applicant (1) has been charged with a

violation of the Fair Housing Act by the

Secretary; (2) is the defendant in a Fair

Housing Act lawsuit filed by the

Department of Justice; or (3) has

received a letter of noncompliance

findings under Title VI of the Civil

Rights Act, Section 504 of the

Rehabilitation Act, or Section 109 of the

Housing and Community Development

Act, the applicant is not eligible to

apply for funding under this

SuperNOFA until the applicant resolves

such charge, lawsuit, or letter of

findings to the satisfaction of the

Department.

(C) Additional Nondiscrimination

Requirements

Applicants must comply with the

Americans with Disabilities Act, and

Title IX of the Education Amendments

Act of 1972.
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(D) Affirmatively Furthering Fair

Housing

Unless otherwise specified in the

Programs Section of this SuperNOFA,

each successful applicant will have a

duty to affirmatively further fair

housing. Where directed by the

applicable program section, applicants

should include in their work plans the

specific steps that they will take to (1)

address the elimination of impediments

to fair housing that were identified in

the jurisdiction’s Analysis of

Impediments (AI) to Fair Housing

Choice; (2) remedy discrimination in

housing; or (3) promote fair housing

rights and fair housing choice. Further,

applicants have a duty to carry out the

specific activities cited in their

responses to the rating factors that

address affirmatively furthering fair

housing in the Programs Section of this

SuperNOFA.

(E) Economic Opportunities for Low and

Very Low-Income Persons (Section 3).

Certain programs in this SuperNOFA

require recipients of HUD assistance to

comply with section 3 of the Housing

and Urban Development Act of 1968, 12

U.S.C. 1701u (Economic Opportunities

for Low and Very Low-Income Persons)

and the HUD regulations at 24 CFR part

135, including the reporting

requirements subpart E. Section 3

provides that recipients shall ensure

that training, employment and other

economic opportunities, to the greatest

extent feasible, be directed to (1) low

and very low income persons,

particularly those who are recipients of

government assistance for housing and

(2) business concerns which provide

economic opportunities to low and very

low income persons. Section 3 is

applicable to the following programs in

this SuperNOFA: Brownfields Economic

Development; Economic Development

Initiative; Economic Development and

Supportive Services; Tenant

Opportunity Program; and Youthbuild.

(F) Relocation

Any person (including individuals,

partnerships, corporations or

associations) who moves from real

property or moves personal property

from real property as a direct result of

a written notice to acquire or the

acquisition of the real property, in

whole or in part, for a HUD-assisted

activity is covered by acquisition

policies and procedures and the

relocation requirements of the Uniform

Relocation Assistance and Real Property

Acquisition Policies Act of 1970, as

amended (URA), and the implementing

governmentwide regulation at 49 CFR

part 24. Any person who moves

permanently from real property or

moves personal property from real

property as a direct result of

rehabilitation or demolition for an

activity undertaken with HUD

assistance is covered by the relocation

requirements of the URA and the

governmentwide regulation.

(G) Forms, Certifications and

Assurances

Each applicant is required to submit

signed copies of the standard forms,

certifications, and assurances, listed in

this section, unless the Programs

Section specifies otherwise.

Additionally, the Programs Section may

specify additional forms, certifications,

assurances, or other information, that

may be required for a particular program

in this SuperNOFA.

(1) Standard Form for Application for

Federal Assistance (SF–424);

(2) Standard Form for Budget

Information—Non-Construction

Programs (SF–424A) or Standard Form

for Budget Information-Construction

Programs (SF–424C), as applicable;

(3) Standard Form for Assurances—

Non-Construction Programs (SF–424B)

or Standard Form for Assurances—

Construction Programs (SF–424D), as

applicable;

(4) Drug-Free Workplace Certification

(HUD–50070);

(5) Certification and Disclosure Form

Regarding Lobbying (SF–LLL); (Tribes

and tribally designated housing entities

(THDEs) established by an Indian tribe

as a result of the exercise of the tribe’s

sovereign power are not required to

submit this certification. Tribes and

TDHEs established under State law are

required to submit this certification.)

(6) Applicant/Recipient Disclosure

Update Report (HUD–2880);

(7) Certification that the applicant

will comply with the requirements of

the Fair Housing Act, Title VI of the

Civil Rights Act of 1964, section 504 of

the Rehabilitation Act of 1973, and the

Age Discrimination Act of 1975, and

will affirmatively further fair housing.

CDBG recipients also must certify to

compliance with section 109 of the

Housing and Community Development

Act. Federally recognized Indian tribes

must certify that they will comply with

the requirements of the Age

Discrimination Act of 1975, section 504

of the Rehabilitation Act of 1973, and

the Indian Civil Rights Act.

(8) Certification required by 24 CFR

24.510. (The provisions of 24 CFR part

24 apply to the employment,

engagement of services, awarding of

contracts, subgrants, or funding of any

recipients, or contractors or

subcontractors, during any period of

debarment, suspension, or placement in

ineligibility status, and a certification is

required.)

(H) OMB Circulars

The policies, guidances, and

requirements of OMB Circular No. A–87

(Cost Principles Applicable to Grants,

Contracts and Other Agreements with

State and Local Governments), OMB

Circular No. A–122 (Cost Principles for

Nonprofit Organizations), 24 CFR part

84 (Grants and Agreements with

Institutions of Higher Education,

Hospitals, and other Non-Profit

Organizations) and 24 CFR part 85

(Administrative Requirements for

Grants and Cooperative Agreements to

State, Local, and Federally recognized

Indian tribal governments) apply to the

award, acceptance and use of assistance

under the programs of this SuperNOFA,

and to the remedies for noncompliance,

except when inconsistent with the

provisions of the FY 1998 HUD

Appropriations Act, other Federal

statutes or the provisions of this

SuperNOFA. Compliance with

additional OMB Circulars may be

specified for a particular program in the

Programs Section of the SuperNOFA.

Copies of the OMB Circulars may be

obtained from EOP Publications, Room

2200, New Executive Office Building,

Washington, DC 10503, telephone (202)

395–7332 (this is not a toll free number).

(I) Environmental Requirements

For programs under this SuperNOFA

that assist physical development

activities or property acquisition,

grantees are generally prohibited from

acquiring, rehabilitating, converting,

leasing, repairing or constructing

property, or committing or expending

HUD or non-HUD funds for these

program activities, until one of the

following has occurred: (1) HUD has

completed an environmental review in

accordance with 24 CFR part 50; or (2)

for programs subject to 24 CFR part 58,

HUD has approved a grantee’s Request

for Release of Funds (HUD Form

7015.15) following a Responsible

Entity’s completion of an environmental

review. Applicants should consult the

Programs Section for the applicable

program to determine the procedures

for, timing of, and any exclusions from

environmental review under a particular

program.

(J) Conflicts of Interest

Consultants or experts assisting HUD

in rating and ranking applicants for

funding under this SuperNOFA are

subject to 18 U.S.C. 208, the Federal

criminal conflict of interest statute, and
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23883

to the Standards of Ethical Conduct for

Employees of the Executive Branch

regulation published at 5 CFR part 2635.

As a result, individuals who have

assisted or plan to assist applicants with

preparing applications for this

SuperNOFA may not serve on a

selection panel or as a technical advisor

to HUD for this SuperNOFA. All

individuals involved in rating and

ranking this SuperNOFA, including

experts and consultants, must avoid

conflicts of interest or the appearance of

conflicts. If the selection or nonselection of any applicant under this

NOFA affects the individual’s financial

interests set forth in 18 U.S.C. 208 or

involves any party with whom the

individual has a covered relationship

under 5 CFR 2635.502, that individual

must, prior to participating in any

matter regarding this NOFA, disclose

this fact to the General Counsel or the

Ethics Law Division.

III. Application Selection Process

(A) General

To review and rate applications, HUD

may establish panels including persons

not currently employed by HUD to

obtain certain expertise and outside

points of view, including views from

other Federal agencies.

(1) Rating. All applications for

funding in each program listed in this

SuperNOFA will be evaluated and rated

against the criteria in this SuperNOFA.

The rating of the ‘‘applicant’’ or the

‘‘applicant’s organization and staff’’ for

technical merit or threshold

compliance, unless otherwise specified,

will include any sub-contractors,

consultants, sub-recipients, and

members of consortia which are firmly

committed to the project.

(2) Ranking. Applicants will be

ranked within each program. Applicants

will be ranked only against others that

applied for the same program funding

and where there are set-asides within

the competition, the applicant would

only compete against applicants in the

same set-aside competition.

(B) Threshold Requirements

HUD will review each application to

determine whether the application

meets all of the threshold criteria

described for program funding made

available under this SuperNOFA.

Applications that meet all of the

threshold criteria will be eligible to be

rated and ranked, based on the criteria

described, and the total number of

points to be awarded.

(C) Factors for Award Used To Evaluate

and Rate Applications

For all of the programs for which

funding is available under this

SuperNOFA, the points awarded for the

factors total 100. Where applicable (as

provided in the Programs Section of the

SuperNOFA), applicants may be eligible

for additional points as discussed in this

Section III(C).

(1) Bonus Points. The SuperNOFA

provides for the award of up to two

bonus points for eligible activities/

projects that are proposed to be located

in federally designated Empowerment

Zones, Enterprise Communities, or

Urban Enhanced Enterprise

Communities, and serve the EZ/EC

residents, and are certified to be

consistent with the strategic plan of the

EZs and ECs. The application kit

contains a certification which must be

completed for the applicant to be

considered for EZ/EC bonus points. In

the BEDI competition, two bonus points

are available for federally designated

Brownfields Showcase Communities.

(Please see BEDI section of this

SuperNOFA for additional information).

A listing of the federally designated EZs,

ECs, Enhanced ECs and Brownfields

Showcase Communities are available

from the SuperNOFA Information

Center, or through the HUD web site on

the Internet at http://www.HUD.gov.

(2) Court-Ordered Consideration. Due

to an order of the U.S. District Court for

the Northern District of Texas, Dallas,

Division, with respect to any

application by the City of Dallas, Texas,

for HUD funds, HUD shall consider the

extent to which the strategies or plans

in an application or applications

submitted by the City of Dallas for any

program under this SuperNOFA will be

used to eradicate the vestiges of

segregation in the Dallas Housing

Authority’s low income housing

programs. The City of Dallas should

address the effect, if any, that vestiges

of racial segregation in Dallas Housing

Authority’s low income housing

programs have on potential participants

in the programs covered by this NOFA,

and identify proposed actions for

remedying those vestiges. HUD may add

up to 2 points to the score for any

program based on this consideration, as

provided in Factor 3 by the individual

programs in the Programs Section of this

SuperNOFA. (The points provided in

this Section III(C)(2) is limited to

applications submitted by the City of

Dallas.)

(3) The Five Standard Rating Factors.

The factors for rating and ranking

applicants are listed in this Section

III(c)(2) and maximum points for each

factor, are provided in the Programs

Section of the SuperNOFA. Each

applicant should carefully read the

factors for award as described in the

program area section that they are

seeking funding. While HUD has

established the following basic factors

for award, these may have been

modified or adjusted to take into

account specific program needs, or

statutory or regulatory limitations

imposed on a program. The standard

factors for award, except as modified in

the program area section are:

Factor 1: Capacity of the Applicant and

Relevant Organizational Staff

Factor 2: Need/Extent of the Problem

Factor 3: Soundness of Approach

Factor 4: Leveraging Resources

Factor 5: Comprehensiveness and

Coordination

(D) Negotiation

After all applications have been rated

and ranked and a selection has been

made HUD may require that all winners

participate in negotiations to determine

the specific terms of the grant agreement

and budget. In cases where HUD cannot

successfully conclude negotiations or a

selected applicant fails to provide HUD

with requested information, awards will

not be made. In such instances, HUD

may offer an award to the next highest

ranking applicant, and proceed with

negotiations with the next highest

ranking applicant.

(E) Adjustments to Funding

HUD reserves the right to fund less

than the full amount requested in any

application to ensure the fair

distribution of the funds and to ensure

the purposes of the programs contained

in this SuperNOFA are met. HUD may

choose not to fund portions of the

applications that are ineligible for

funding under applicable program

statutory or regulatory requirements, or

which do not meet the requirements of

this General Section of this SuperNOFA

or the requirements in the Programs

Section for the specific program, and

fund eligible portions of the

applications.

If funds remain after funding the

highest ranking applications, HUD may

fund part of the next highest ranking

application in a given program area. If

the applicant turns down the award

offer, HUD will make the same

determination for the next highest

ranking application. If funds remain

after all selections have been made,

remaining funds may be available for

other competitions for each program

area where there is a balance of funds.

Additionally, in the event of a HUD

procedural error that, when corrected,
23884 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

would result in selection of an

otherwise eligible applicant during the

funding round of this SuperNOFA, HUD

may select that applicant when

sufficient funds become available.

(F) Performance and Compliance

Actions of Grantees

Performance and compliance actions

of grantees will be measured and

addressed in accordance with

applicable standards and sanctions of

their respective programs.

IV. Application Submission

Requirements

As discussed earlier in the

introductory section of this

SuperNOFA, part of the simplification

of this funding process, is to reduce the

duplication of effort involved in

completing and submitting similar

applications for HUD funded programs.

This SuperNOFA provides for

consolidated applications for several of

the programs for which funding is

available under this SuperNOFA.

V. Corrections to Deficient Applications

After the application due date, HUD

may not, consistent with 24 CFR part 4,

subpart B, consider unsolicited

information from an applicant. HUD

may contact an applicant, however, to

clarify an item in the application or to

correct technical deficiencies.

Applicants should note, however, that

HUD may not seek clarification of items

or responses that improve the

substantive quality of the applicant’s

response to any eligibility or selection

criterion. Examples of curable technical

deficiencies include failure to submit

the proper certifications or failure to

submit an application containing an

original signature by an authorized

official. In each case, HUD will notify

the applicant in writing by describing

the clarification or technical deficiency.

HUD will notify applicants by facsimile

or by return receipt requested.

Applicants must submit clarifications or

corrections of technical deficiencies in

accordance with the information

provided by HUD within 14 calendar

days of the date of receipt of the HUD

notification. If the deficiency is not

corrected within this time period, HUD

will reject the application as

incomplete.

VI. Promoting Comprehensive

Approaches to Housing and Community

Development

(A) General

HUD believes the best approach for

addressing community problems is

through a community-based process that

provides a comprehensive response to

identified needs. By making HUD’s

Economic Development and

Empowerment funding available in one

NOFA, applicants may be able to relate

the activities proposed for funding

under this SuperNOFA to the recent and

upcoming NOFAs and the community’s

Consolidated Plan and Analysis of

Impediments to Fair Housing Choice. A

complete schedule of NOFAs to be

published during the fiscal year and

those already published appears under

the HUD Homepage on the Internet,

which can be accessed at http://

www.hud.gov/nofas.html.

(B) Linking Program Activities With

AmeriCorps

Applicants are encouraged to link

their proposed activities with

AmeriCorps, a national service program

engaging thousands of Americans on a

full or part-time basis to help

communities address their toughest

challenges, while earning support for

college, graduate school, or job training.

For information about AmeriCorps, call

the Corporation for National Service at

(202) 606–5000.

(C) Encouraging Visitability in New

Construction and Substantial

Rehabilitation Activities

In addition to applicable accessible

design and construction requirements,

applicants are encouraged to

incorporate visitability standards where

feasible in new construction and

substantial rehabilitation projects

involving housing. Visitability

standards allow a person with mobility

impairments access into the home, but

does not require that all features be

made accessible. Visitability means at

least one entrance at grade (no steps),

approached by an accessible route such

as a sidewalk; the entrance door and all

interior passage doors are at least 2 feet

10 inches wide, allowing 32 inches of

clear passage space. Allowing use of

2′10′′ doors is consistent with the Fair

Housing Act (at least for the interior

doors), and may be more acceptable

than requiring the 3 foot doors that are

required in fully accessible areas under

the Uniform Federal Accessibility

Standards for a small percentage of

units. A visitable home also serves

persons without disabilities, such as a

mother pushing a stroller, or a person

delivering a large appliance. Copies of

the UFAS are available from the Office

of Fair Housing and Equal Opportunity,

U.S. Department of Housing and Urban

Development, Room 5230, 451 Seventh

Street, SW, Washington, DC 20410,

telephone (202) 755–5404 or the TTY

telephone number, 1–800–877–8399

(Federal Information Relay Service).

(D) Developing Healthy Homes

HUD’s Healthy Homes Initiative is

one of the initiatives developed by the

White House Task Force on

Environmental Health Risks and Safety

Risks to Children that was established

under Executive Order 13045

(‘‘Protection of Children from

Environmental Health Risks and Safety

Risks’’). HUD encourages the funding of

activities (to the extent eligible under

specific programs) that promote healthy

homes, or that promote education on

what is a healthy home. These activities

may include, but are not limited to the

following: educating homeowners or

renters about the need to protect

children in their home from dangers

that can arise from items such as curtain

cords, electrical outlets, hot water,

poisons, fire, and sharp table edges,

among others; incorporating child safety

measures in the construction,

rehabilitation or maintenance of

housing, which include but are not

limited to: child safety latches on

cabinets, hot water protection devices,

properly ventilated windows to protect

from mold, window guards to protect

children from falling, proper pest

management to prevent cockroaches

which can cause asthma, and activities

directed to control of lead-based paint

hazards. The National Lead Information

Hotline is 1–800–424–5323.

VII. Findings and Certifications

(A) Environmental Impact

A Finding of No Significant Impact

with respect to the environment has

been made in accordance with HUD

regulations at 24 CFR part 50 that

implement section 102(2)(C) of the

National Environmental Policy Act of

1969 (42 U.S.C. 4332). The Finding of

No Significant Impact is available for

public inspection during regular

business hours in the Office of the

General Counsel, Regulations Division,

Room 10276, U.S. Department of

Housing and Urban Development, 451

Seventh Street, SW, Washington, DC

20410–0500.

(B) Federalism, Executive Order 12612

The General Counsel, as the

Designated Official under section 6(a) of

Executive Order 12612, Federalism, has

determined that the policies contained

in this SuperNOFA will not have

substantial direct effects on States or

their political subdivisions, or on the

relationship between the Federal

Government and the States, or on the

distribution of power and

responsibilities among the various

levels of government. Specifically, the

SuperNOFA solicits applicants to
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23885

expand their role in addressing

community development needs in their

localities, and does not impinge upon

the relationships between the Federal

government and State and local

governments. As a result, the

SuperNOFA is not subject to review

under the Order.

(C) Prohibition Against Lobbying

Activities

Applicants for funding under this

SuperNOFA are subject to the

provisions of section 319 of the

Department of Interior and Related

Agencies Appropriation Act for Fiscal

Year 1991, 31 U.S.C. 1352 (the Byrd

Amendment), which prohibits

recipients of Federal contracts, grants,

or loans from using appropriated funds

for lobbying the executive or legislative

branches of the Federal Government in

connection with a specific contract,

grant, or loan. Applicants are required

to certify, using the certification found

at Appendix A to 24 CFR part 87, that

they will not, and have not, used

appropriated funds for any prohibited

lobbying activities. In addition,

applicants must disclose, using

Standard Form LLL, ‘‘Disclosure of

Lobbying Activities,’’ any funds, other

than Federally appropriated funds, that

will be or have been used to influence

Federal employees, members of

Congress, and congressional staff

regarding specific grants or contracts.

Tribes and tribally designated housing

entities (THDEs) established by an

Indian tribe as a result of the exercise of

the tribe’s sovereign power are excluded

from coverage of the Byrd Amendment,

but tribes and TDHEs established under

State law are not excluded from the

statute’s coverage.

(D) Section 102 of the HUD Reform Act;

Documentation and Public Access

Requirements

Section 102 of the Department of

Housing and Urban Development

Reform Act of 1989 (42 U.S.C. 3545)

(HUD Reform Act) and the regulations

codified in 24 CFR part 4, subpart A,

contain a number of provisions that are

designed to ensure greater

accountability and integrity in the

provision of certain types of assistance

administered by HUD. On January 14,

1992 (57 FR 1942), HUD published a

notice that also provides information on

the implementation of section 102. The

documentation, public access, and

disclosure requirements of section 102

apply to assistance awarded under this

SuperNOFA as follows:

(1) Documentation and public access

requirements. HUD will ensure that

documentation and other information

regarding each application submitted

pursuant to this SuperNOFA are

sufficient to indicate the basis upon

which assistance was provided or

denied. This material, including any

letters of support, will be made

available for public inspection for a 5-

year period beginning not less than 30

days after the award of the assistance.

Material will be made available in

accordance with the Freedom of

Information Act (5 U.S.C. 552) and

HUD’s implementing regulations in 24

CFR part 15.

(2) Disclosures. HUD will make

available to the public for 5 years all

applicant disclosure reports (HUD Form

2880) submitted in connection with this

SuperNOFA. Update reports (also Form

2880) will be made available along with

the applicant disclosure reports, but in

no case for a period less than 3 years.

All reports—both applicant disclosures

and updates—will be made available in

accordance with the Freedom of

Information Act (5 U.S.C. 552) and

HUD’s implementing regulations at 24

CFR part 15.

(3) Publication of Recipients of HUD

Funding. HUD’s regulations at 24 CFR

4.7 provide that HUD will publish a

notice in the Federal Register on at least

a quarterly basis to notify the public of

all decisions made by the Department to

provide:

(i) Assistance subject to section 102(a)

of the HUD Reform Act; or

(ii) Assistance that is provided

through grants or cooperative

agreements on a discretionary (nonformula, non-demand) basis, but that is

not provided on the basis of a

competition.

(E) Section 103 HUD Reform Act

HUD’s regulations implementing

section 103 of the Department of

Housing and Urban Development

Reform Act of 1989 (42 U.S.C. 3537a),

codified in 24 CFR part 4, apply to this

funding competition. The regulations

continue to apply until the

announcement of the selection of

successful applicants. HUD employees

involved in the review of applications

and in the making of funding decisions

are limited by the regulations from

providing advance information to any

person (other than an authorized

employee of HUD) concerning funding

decisions, or from otherwise giving any

applicant an unfair competitive

advantage. Persons who apply for

assistance in this competition should

confine their inquiries to the subject

areas permitted under 24 CFR part 4.

Applicants or employees who have

ethics related questions should contact

the HUD Ethics Law Division at (202)

708–3815. (This is not a toll-free

number.) For HUD employees who have

specific program questions, the

employee should contact the

appropriate field office counsel, or

Headquarters counsel for the program to

which the question pertains.

VIII. The FY 1998 SuperNOFA Process

and Future HUD Funding Processes

In FY 1997, Secretary Cuomo took the

first step at changing HUD’s funding

process to better promote

comprehensive, coordinated approaches

to housing and community

development. In FY 1997, the

Department published related NOFAs

on the same day or within a few days

of each other. In the individual NOFAs

published in FY 1997, HUD advised that

additional steps on NOFA coordination

may be considered for FY 1998. The

three SuperNOFAs to be published for

FY 1998 represent the additional step

taken by HUD to improve HUD’s

funding process and assist communities

to make better use of available resources

through a coordinated approach. This

new SuperNOFA process was

developed based on comments received

from HUD clients and the Department

believes it represents a significant

improvement over HUD’s approach to

the funding process in prior years. For

FY 1999, HUD may take even further

steps to enhance this process. HUD

welcomes comments from applicants

and other members of the public on this

process, and how it may be improved in

future years.

The description of program funding

available under this second SuperNOFA

for Economic Development and

Empowerment Programs follows.

Dated: April 23, 1998.

Saul N. Ramirez, Jr.,

Acting Deputy Secretary.

BILLING CODE 4210–32–P

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BILLING CODE 4210–22–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23889

Funding Availability for the

Brownfields Economic Development

Initiative (BEDI)

Program Description: Approximately

$25 million is available for Brownfields

Economic Development Initiative (BEDI)

grants under Section 108(q) of the

Housing and Community Development

Act of 1974, as amended. BEDI funds

are used to enhance the security of the

Section 108 guaranteed loan for the

same project or to improve the viability

of a project financed with a Section 108-

guaranteed loan. A BEDI grant is

required to be used in conjunction with

a new Section 108 guaranteed loan

commitment.

Application Due Date: Completed

applications (one original and two

copies) must be submitted no later than

12:00 midnight, Eastern time, on August

10, 1998 to the addresses shown below.

See the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Addresses for Submitting Applications

To HUD Headquarters. The

completed application (an original and

one copy) must be submitted to:

Processing and Control Unit, Room

7255, Office of Community Planning

and Development, Department of

Housing and Urban Development, 451

Seventh Street, SW, Washington, D.C.

20410, Attention: BEDI Grant, by mail or

hand delivery.

To the Appropriate CPD Field Office.

An additional copy should be submitted

to the Community Planning and

Development Division of the

appropriate HUD Field Office for the

applicant’s jurisdiction.

When submitting your application,

please refer to BEDI, and include your

name, mailing address (including zip

code) and telephone number (include

area code).

For Application Kits, Further

Information, and Technical Assistance

For Application Kits. For an

application kit and any supplemental

information, please call HUD’s

SuperNOFA Information line toll free at

1–800–HUD–8929. Persons with hearing

or speech impairments may call the

Center’s TTY number at 1–800–HUD–

2209 to obtain an application kit. The

application kit will also be available on

the Internet through the HUD web site

at http://www.hud.gov. When

requesting an application kit, please

refer to BEDI. Please be sure to provide

your name, address (including zip

code), and telephone number (including

area code).

For Further Information and

Technical Assistance. Contact either

Stan Gimont or Paul Webster, Financial

Management Division, Office of Block

Grant Assistance, Department of

Housing and Urban Development, 451

Seventh Street, SW, Room 7178,

Washington, DC 20410, telephone (202)

708–1871 (this is not a toll-free

number). Persons with speech or

hearing impairments may access this

number via TTY by calling the toll-free

Federal Information Relay Service at 1–

800–877–8339.

See the General Section of this

SuperNOFA for guidance on technical

assistance. With respect to the Section

108 Loan Guarantee program, which is

not a competitive program and thus not

subject to those provisions of the HUD

Reform Act pertaining to competitions,

HUD staff will be available to provide

advice and assistance to develop

Section 108 loan applications.

Additional Information

I. Authority; Definitions; Purpose;

Amount Allocated; and Eligibility

(A) Authority

Section 108(q), Title I, Housing and

Community Development Act of 1974,

as amended, (42 U.S.C. 5301–5320) (the

Act); 24 CFR part 570.

(B) Definitions

Unless otherwise defined herein,

terms defined in 24 CFR part 570 and

used in this program section of this

SuperNOFA shall have the respective

meanings given thereto in that part.

Brownfield means abandoned, idled,

or under-used real property (including

industrial and commercial facilities)

where expansion or redevelopment is

complicated by real or suspected

contamination.

Brownfields Economic Development

Initiative (BEDI) means the competitive

award of up to $25 million, as

appropriated in the FY 1998 HUD

Appropriations Act, for economic

development grant assistance under

section 108(q) of the Act for the purpose

of assisting public entities in the

redevelopment of brownfields.

CDBG funds means those funds as

defined at 24 CFR 570.3, including grant

funds received pursuant to section

108(q) and this program section of this

SuperNOFA.

Economic Development Initiative

(EDI) means the provision of economic

development grant assistance under

section 108(q) of the Act, as authorized

by Section 232 of the Multifamily

Housing Property Disposition Reform

Act of 1994 (Pub. L. 103–233, approved

April 11, 1994).

Economic development project means

an activity or activities (including

mixed use projects with housing

components) that are eligible under the

Act and under 24 CFR 570.703, and that

increase economic opportunity for

persons of low- and moderate-income or

that stimulate or retain businesses or

jobs or that otherwise lead to economic

revitalization in connection with

brownfields.

Empowerment Zone or Enterprise

Community means an urban area so

designated by the Secretary of HUD

pursuant to 24 CFR part 597, or a rural

area so designated by the Secretary of

Agriculture pursuant to 7 CFR part 25,

subpart B.

EPA means the U.S. Environmental

Protection Agency.

Showcase Community means an

applicant chosen by the Federal

Government’s Brownfields National

Partnership for inclusion in Federal

Government’s Brownfields Showcase

Communities program.

Strategic Plan means a strategy

developed and agreed to by the

nominating local government(s) and

State(s) and submitted in partial

fulfillment of the application

requirements for an Empowerment Zone

or Enterprise Community designated

pursuant to 24 CFR part 597.

(C) Purpose

(1) Background. HUD has multiple

programs which are intended to

stimulate and promote economic and

community development and can be

effectively employed to address and

remedy brownfield conditions. Primary

among HUD’s resources are the

Community Development Block Grant

(CDBG) program and the Section 108

loan guarantee program.

The CDBG program provides grant

funds ($4.195 billion in FY 1998) to

local governments (either directly or

through States) to carry out community

and economic development activities.

The Section 108 loan guarantee program

provides local governments with a

source of financing for economic

development, housing rehabilitation,

and other eligible large scale physical

development projects. HUD is

authorized pursuant to Section 108 to

guarantee notes issued by CDBG

entitlement communities and nonentitlement units of general local

government eligible to receive funds

under the State CDBG program.

Regulations governing the Section 108

program are found at 24 CFR part 570,

subpart M. It must be noted that the

Section 108 program is subject to the
23890 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

regulations of 24 CFR part 570

applicable to the CDBG program with

the exception of changes embodied in

24 CFR part 570, subpart M.

For FY 1998, the Section 108 program

is authorized at $1.261 billion in loan

guarantee authority. The full faith and

credit of the United States is pledged to

the payment of all guarantees made

under Section 108. Under this program,

communities (and States, if applicable)

pledge their future years’ CDBG

allocations as security for loans

guaranteed by HUD. The Section 108

program, however, does not require

CDBG funds to be escrowed for loan

repayment (unless such an arrangement

is specifically negotiated as loan

security). This means that a community

can continue to spend its existing

allocation for other CDBG purposes,

unless needed for loan repayment.

(2) EDI Program. The EDI program

was enacted in 1994 and is intended to

complement and enhance the Section

108 Loan Guarantee program. The

purpose of EDI (and BEDI) grant funds

is to further minimize the potential loss

of future CDBG allocations:

(a) By strengthening the economic

feasibility of the projects financed with

Section 108 funds (and thereby

increasing the probability that the

project will generate enough cash to

repay the guaranteed loan);

(b) By directly enhancing the security

of the guaranteed loan; or

(c) Through a combination of these or

other risk mitigation techniques.

(3) BEDI Program. For FY 1998, the

Congress made a specific appropriation

of approximately $25 million for the EDI

program to assist in financing

‘‘brownfields’’ redevelopment. HUD

intends the $25 million in Brownfields

EDI (BEDI) funds available pursuant to

this program section of this SuperNOFA

to be used with a particular emphasis

upon the redevelopment of brownfield

sites consistent with the statutory

purpose of the FY 1998 HUD

Appropriations Act. Accordingly, BEDI

funds shall be used as the stimulus for

local governments and private sector

parties to commence redevelopment or

continue phased redevelopment efforts

on brownfield sites where

contamination is known or suspected

and redevelopment plans exist. HUD

desires to see BEDI and Section 108

funds used to finance projects and

activities that will provide near-term

results and demonstrable economic

benefits, such as job creation and

increases in the local tax base. HUD

does not encourage applications whose

scope is limited only to site acquisition

and/or remediation (i.e., land banking).

(4) Redevelopment Focus. The

redevelopment focus for BEDI-assisted

projects is also prompted by the need to

provide additional security for the

Section 108 loan guarantee pursuant to

24 CFR 570.705(b)(3). While public

entities are required by the Act to

pledge their current and future CDBG

funds as a source of security for the

Section 108 loan guarantee, the public

entity will usually be required to

furnish additional collateral which,

ideally, will be the assets financed with

the Section 108 loan funds. Clearly, a

redevelopment focus for the BEDI funds

will help achieve this goal by enhancing

the value and improving the viability of

projects assisted with Section 108

financing.

(5) Integration of Other Government

Brownfield Programs. HUD expects and

encourages local governments which are

designated through the Federal

Government’s Brownfields Showcase

Community program or other

brownfields programs (i.e., EPA’s

Assessment Pilot or Revolving Loan

Fund programs) or a State-supported

brownfields program or related

economic development program to

integrate efforts arising from those

programs in developing projects for

assistance under HUD’s BEDI and

Section 108 programs. Such applicants

should elaborate upon these ties in their

response to the rating factors, where

appropriate (e.g. ‘‘Capacity of the

Applicant,’’ ‘‘Soundness of Approach,’’

or ‘‘Leveraging Resources,’’—Rating

Factors 1, 3, and 4 respectively.)

(6) Typical Project Structures.

Provided that proposals are consistent

with other CDBG requirements,

including national objectives, HUD

envisions that the following project

structures could be typical:

(a) Land Writedowns. Local

governments may use a combination of

Section 108 and BEDI funds to acquire

a brownfield site for purposes of

reconveying the site to a private

developer at a discount from its

purchase price. This approach would

provide the developer with an asset of

enhanced value which could be used as

collateral for other sources of funding.

Such other sources of financing could

be used to finance environmental

remediation or other development costs.

In theory, the level of BEDI assistance

would approximate the difference

between the original cost of the site and

its remediation in comparison to the

market value of the remediated

property.

(b) Site Remediation Costs. Local

governments may use BEDI funds in any

of several ways to address site

remediation costs. If the local

government used Section 108 funds to

acquire real property, BEDI funds could

be used to address assessment and site

remediation costs as part of demolition,

clearance, or site preparation activities.

If the local government used Section

108 funds to make a loan to a developer,

BEDI funds could be granted to the

developer for the purpose of addressing

remediation costs as part of an

economic development activity.

(c) Funding Reserves. The cash flow

generated by an economic development

project may be expected to be relatively

‘‘thin’’ in the early stages of the project,

i.e. potentially insufficient cash flows to

meet operating expenses and debt

service obligations. The BEDI grant can

make it possible for reserves to be

established in a way that enhances the

economic feasibility of the project.

(d) Over-Collateralizing the Section

108 Loan.

(i) The use of BEDI grant funds may

be structured in appropriate cases so as

to improve the likelihood that projectgenerated cash flow will be sufficient to

cover debt service on the Section 108

loan and directly to enhance the

guaranteed loan. One technique for

accomplishing this approach is overcollateralization of the Section 108 loan.

(ii) An example is the creation of a

loan pool made up of Section 108 and

BEDI grant funds. The community

would make loans to various businesses

from the combined pool at an interest

rate equal to or greater than the rate on

the Section 108 loan. The total loan

portfolio would be pledged to the

repayment of the Section 108 loan.

(e) Direct Enhancement of the

Security of the Section 108 Loan. The

BEDI grant can be used to cover the cost

of providing enhanced security. An

example of how the BEDI grant can be

used for this purpose is by using the

grant funds to cover the cost of a

standby letter of credit, issued in favor

of HUD. This letter of credit will be

available to fund amounts due on the

Section 108 loan if other sources fail to

materialize and will, thus, serve to

protect the public entity’s future CDBG

funds.

(f) Provision of Financing to For-Profit

Businesses at a Below Market Interest

Rate.

(i) While the rates on loans

guaranteed under Section 108 are only

slightly above the rates on comparable

U.S. Treasury obligations, they may

nonetheless be higher than can be

afforded by businesses in severely

economically distressed neighborhoods.

The BEDI grant can be used to make

Section 108 financing affordable.

(ii) BEDI grant funds could serve to

‘‘buy down’’ the interest rate up front,
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23891

or make full or partial interest

payments, allowing the businesses to be

financially viable in the early start-up

period not otherwise possible with

Section 108 alone. This strategy would

be particularly useful where a

community was undertaking a large

commercial/retail project in a distressed

neighborhood to act as a catalyst for

other development in the area.

(g) Combination of Techniques. An

applicant could employ a combination

of these or other techniques in order to

implement a strategy that carries out an

economic development project.

(D) Amount Allocated

HUD has available a maximum of $25

million for the BEDI program, as

appropriated in the FY 1998 HUD

Appropriations Act for the purpose of

assisting public entities in the

redevelopment of brownfields.

(E) Eligibility to Apply for Grant

Assistance

Any public entity eligible to apply for

Section 108 loan guarantee assistance in

accordance with 24 CFR 570.702 may

apply for BEDI grant assistance under

section 108(q). Eligible applicants are

CDBG entitlement units of general local

government and non-entitlement units

of general local government eligible to

receive loan guarantees under 24 CFR

part 570, subpart M. Note that effective

January 25, 1995, non-entitlement

public entities in the states of New York

and Hawaii were authorized to apply to

HUD for Section 108 loans (see 59 FR

47510, December 27, 1994). Thus nonentitlement public entities in all 50

states and Puerto Rico are eligible to

participate in the Section 108 and BEDI

programs.

(F) Related Section 108 Loan Guarantee

Application

(1) Each BEDI application must be

accompanied by a request for new

Section 108 loan guarantee assistance.

Both the BEDI and Section 108 funds

must be used in conjunction with the

same economic development project.

This request may take any of several

forms as defined below.

(a) A formal application for new

Section 108 loan guarantee(s), including

the documents listed at 24 CFR

570.704(b);

(b) A brief description (not to exceed

three pages) of a new Section 108 loan

guarantee application(s). Such 108

application(s) will be submitted within

60 days, with HUD reserving the right

to extend such period for good cause on

a case-by-case basis, of a notice of BEDI

selection. BEDI awards will be

conditioned on approval of actual

Section 108 loan commitments. This

description must be sufficient to

support the basic eligibility of the

proposed project or activities for Section

108 assistance. (See Section I(G) of this

program section of this SuperNOFA.);

(c) If applicable, a copy of a Section

108 loan guarantee approval document

with grant number and date of approval

(which was approved after the date of

this SuperNOFA, except in conjunction

with a previous EDI award); or

(d) A request for a Section 108 loan

guarantee amendment (analogous to

Section I(F)(1) (a) or (b) of this BEDI

section of the SuperNOFA) that

proposes to increase the amount of a

previously approved application.

However, any amount of Section 108

loan guarantee authority approved

before the date of this SuperNOFA is

not eligible to be used in conjunction

with a BEDI grant under this

SuperNOFA.

(2) Further, a Section 108 loan

guarantee amount that is required to be

used in conjunction with a prior EDI

grant award, whether or not the Section

108 loan guarantee has been approved

as of the date of this SuperNOFA, is not

eligible for a BEDI award under this

SuperNOFA. For example, if a public

entity has a previously approved

Section 108 loan guarantee commitment

of $12 million, even if none of the funds

have been utilized, or if the public

entity had previously been awarded an

EDI grant of $1 million and had certified

that it will submit a Section 108 loan

application for $10 million in support of

that EDI grant, the public entity’s

application under this program section

of this SuperNOFA must propose to

increase the amount of its total Section

108 loan guarantee commitments

beyond those amounts (the $12 million

or $10 million in this example) to which

it has previously agreed.

(G) Eligible Activities and National

Objectives

BEDI grant funds may be used for

activities listed at 24 CFR 570.703,

provided such activities are carried out

as part of an economic development

project as defined in Section I(B) of this

BEDI section of this SuperNOFA. Each

activity assisted with Section 108 loan

guarantee or BEDI funds must meet a

national objective of the CDBG program

as described in 24 CFR 570.208. In the

aggregate, a grantee’s use of CDBG

funds, including any Section 108 loan

guarantee proceeds and section 108(q)

(EDI) funds provided pursuant to this

program section of this SuperNOFA,

must comply with the CDBG primary

objectives requirements as described in

section 101(c) of the Housing and

Community Development Act of 1974,

as amended, and 24 CFR 570.200(c)(3)

or 570.484 in the case of State grantees.

The foregoing eligible activities may

also include:

(1) Payment of costs of private

financial guaranty insurance policies,

letters of credit, or other credit

enhancements for the notes or other

obligations guaranteed by HUD

pursuant to Section 108, provided that

the proceeds of such notes or

obligations are used to finance an

economic development project. Such

enhancements shall be specified in the

contract required by 24 CFR

570.705(b)(1), and shall be satisfactory

in form and substance to HUD for

security purposes; and

(2) The payment of interest due (and

other costs such servicing,

underwriting, or other costs as may be

authorized by HUD) on the notes or

other obligations guaranteed by HUD

pursuant to the Section 108 loan

guarantee program.

(H) Limitations on Use of BEDI and

Section 108 Funds

Certain restrictions shall apply to the

use of BEDI and Section 108 funds:

(1) BEDI grants shall not be used as a

resource to immediately repay the

principal of a loan guaranteed under

Section 108. Repayment of principal is

only permissible with BEDI grant funds

as a matter of security if other sources

projected for repayment of principal

prove to be unavailable.

(2) BEDI grant funds shall not be used

in any manner by grantees to provide

public or private sector entities with

funding to remediate conditions caused

by their actions, where the public entity

(or other known prospective beneficiary

of the proposed BEDI grant) has been

determined responsible for causation

and remediation by order of a court or

a Federal, State, or local regulatory

agency, or is responsible for the

remediation as part of a settlement

approved by such a court or agency.

(3) Applicants may not propose

projects on sites which are listed or

proposed to be listed on EPA’s National

Priority List (NPL). Further, applicants

are cautioned against proposing projects

on sites where the nature and degree of

environmental contamination is not

well quantified or which are the subject

of on-going litigation or environmental

enforcement action.

(4) Applicants are cautioned against

using Section 108 funds to finance

activities which also include financing

generated through the issuance of

federally tax exempt obligations.

Pursuant to Office of Management and

Budget (OMB) Circular A–129 (Policies
23892 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

for Federal Credit Programs and NonTax Receivables), Section 108

guaranteed loan funds may not directly

or indirectly support federally taxexempt obligations.

(I) Limitations on Grant Amounts

(1) HUD expects to approve BEDI

grant amounts for approvable

applications at a range of ratios of BEDI

grant funds awarded to new Section 108

loan guarantee commitments but the

minimum ratio will be $1 of Section 108

loan guarantee commitments for every

$1 of BEDI grant funds. However,

applicants that propose a leverage ratio

of 1:1 will not receive any points under

the Rating Subfactor 4(1): ‘‘Leverage of

Section 108 Funds.’’

For example, an applicant requesting

a BEDI grant of $1 million will be

required to leverage a minimum of at

least $1 million in new Section 108 loan

guarantee commitments. This will be a

special condition of the BEDI grant

award. Of course, even though there is

a minimum ratio of 1:1, applications

with higher ratios will receive more

points under Rating Factor 4,

‘‘Leveraging Resources/Financial Need’’

and, all other things being equal, will be

more competitive. Applicants are

encouraged to propose projects with a

greater leverage ratio of new Section 108

to BEDI grant funds (assuming such

projects are financially viable). For

example $1 million of BEDI could

leverage $12 million of new Section 108

loan commitments. HUD intends that

the BEDI funds will be used for projects

which leverage the greatest possible

amount of Section 108 loan guarantee

commitments.

(2) HUD expects that the average grant

size will be approximately $1 million.

(3) In the event the applicant is

awarded a BEDI grant that has been

reduced below the original request (e.g.

the application contained some

activities that were ineligible or there

were insufficient funds to fund the last

competitive application at the full

amount requested), the applicant will be

required to modify its project plans and

application to conform to the terms of

HUD approval before execution of a

grant agreement. HUD reserves the right

to reduce or de-obligate the BEDI award

if approvable Section 108 loan

guarantee applications are not

submitted by the grantee in the required

amounts on a timely basis. Any

requested modifications must be within

the scope of the original BEDI

application.

(4) In the case of requested

amendments to a previously approved

Section 108 loan guarantee commitment

(as further discussed in section I(F)(1)(d)

above), the BEDI assistance approved

will be based on the increased amount

of Section 108 loan guarantee

assistance.

(J) Timing of Grant Awards

(1) To the extent a full Section 108

application is submitted with the BEDI

grant application, the Section 108

application will be evaluated

concurrently with the request for BEDI

grant funds. Note that BEDI grant

assistance cannot be used to support a

Section 108 loan guarantee approved

prior to the date of the publication of

this SuperNOFA. However, the BEDI

grant may be awarded prior to HUD

approval of the Section 108

commitment if HUD determines that

such award will further the purposes of

the Act.

(2) HUD notification to the grantee of

the amount and conditions (if any) of

BEDI funds awarded based upon review

of the BEDI application shall constitute

an obligation of grant funds, subject to

compliance with the conditions of

award and execution of a grant

agreement. BEDI funds shall not be

disbursed to the public entity before the

issuance of the related Section 108

guaranteed obligations.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, applicants

are subject to the following

requirements.

(A) CDBG Program Regulations

The requirements of 24 CFR part 570,

including subpart K (Other Program

Requirements).

(B) Environmental Review

After the completion of this

competition and after HUD’s award of

BEDI grant funds, pursuant to 24 CFR

570.604, each project or activity assisted

under this program is subject to the

provisions of 24 CFR part 58, including

limitations on the EDI grant and Section

108 public entity’s commitment of HUD

and non-HUD funds prior to the

completion of environmental review,

notification and release of funds. No

such assistance will be released by HUD

until a request for release of funds is

submitted and the requirements of 24

CFR part 58 have been met. All public

entities, including nonentitlement

public entities, shall submit the request

for release of funds and related

certification, pursuant to 24 CFR part

58, to the appropriate HUD field office

for each project to be assisted.

(C) Environmental Justice

(1) Executive Order 12898 (Federal

Actions to Address Environmental

Justice in Minority Populations and

Low-Income Populations directs Federal

agencies to develop strategies to address

environmental justice. Environmental

justice seeks to rectify the

disproportionately high burden of

environmental pollution that is often

borne by low-income, minority, and

other disadvantaged communities, and

to ensure community involvement in

policies and programs addressing this

issue.

(2) Brownfields are often located in

distressed neighborhoods, contribute to

neighborhood blight, and lower the

quality of social, economic, and

environmental health of communities.

The BEDI program is intended to

promote the clean up and

redevelopment of brownfield sites and,

to this end, HUD expects that projects

presented for BEDI funding will

integrate environmental justice concerns

and provide demonstrable benefits for

affected communities and their

residents.

(D) Compliance With Applicable Laws

Applicants are advised that an award

of BEDI funding does not in any way

relieve the applicant or third parties

users of BEDI funds from compliance

with all applicable Federal, State and

local laws, particularly those addressing

the environment. Applicants are further

advised that HUD may require evidence

that any project involving remediation

has been or will be carried out in

accordance with State law, including

voluntary clean up programs.

III. The Application Selection Process

(A) Rating and Ranking

(1) Each rating factor and the

maximum number of points is provided

below. The maximum number of points

to be awarded is 102. This includes two

EZ/EC bonus points as described in the

General Section of the SuperNOFA, or

two bonus points for having received a

federal designation as a Brownfields

Showcase Community.

(2) Once scores are assigned, all

applications will be ranked in order of

points assigned, with the applications

receiving more points ranking above

those receiving fewer points.

Applications will be funded in rank

order.

(3) If HUD determines that an

application rated, ranked and fundable

could be funded at a lesser BEDI grant

amount than requested consistent with

feasibility of the funded project or

activities and the purposes of the Act,
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23893

HUD reserves the right to reduce the

amount of the BEDI award and/or

increase the Section 108 loan guarantee

commitment, if necessary, in

accordance with such determination.

An application in excess of $1 million

may be reduced below the amount

requested by the applicant if HUD

determines that such a reduction is

appropriate.

(4) HUD may decide not to award the

full amount of BEDI grant funds

available under this program section of

this SuperNOFA and may make any

remaining amounts available under a

future SuperNOFA.

(B) Narrative Statement

Each applicant shall provide a

narrative statement describing the

activities that will be carried out with

the BEDI grant funds and explaining the

nature and extent of the Brownfield’s

problems(s) affecting the project. The

narrative statement shall not exceed

three (3) 8.5’’ by 11’’ pages for the

description of the activities to be carried

out with the BEDI grant funds. The

description of activities should include

a statement of how the proposed uses of

BEDI funds will meet the national

objectives for the CDBG program under

24 CFR 570.208 and qualify as eligible

activities under 24 CFR 570.703.

Citations to the specific regulatory

subsections supporting eligibility are

recommended, but a narrative

description will be accepted. See

Section I(G) of this program section of

this SuperNOFA. The applicant shall

also provide a narrative response to the

rating factors below. Each of the listed

rating factors (or, where applicable, each

subfactor) below also has a separate

page limitation specified. Narrative

statements must be printed in 12 point

type/font, and have sequentially

numbered pages.

(C) Factors for Award Used to Evaluate

and Rate Applications

All applications will be considered

for selection based on the following

factors that demonstrate the quality of

the proposed project or activities, and

the applicant’s creativity, capacity and

commitment to obtain maximum benefit

from the BEDI funds, in accordance

with the purposes of the Act.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. The rating

of the ‘‘applicant’’ or the ‘‘applicant’s

organization and staff’’ for technical

merit or threshold compliance, unless

otherwise specified, will include any

faculty, subcontractors, consultants,

subrecipients, and members of consortia

which are firmly committed (i.e. has a

written agreement or a signed letter of

understanding with the applicant

agreeing in principle to its participation

and role in the project). In rating this

factor, HUD will consider the following:

(1) With regard to the BEDI/Section

108 project proposed by the applicant,

the applicant should demonstrate that it

has the capacity to implement the

specific steps required to successfully

carry out the proposed BEDI/Section

108 project. This includes factors such

as the applicant’s:

(a) Performance in the administration

of its CDBG, HOME or other programs;

(b) Previous experience, if any, in

administering a Section 108 loan

guarantee;

(c) Performance and capacity in

carrying out economic development

projects;

(d) Performance and capacity to carry

out Brownfields redevelopment

projects;

(e) Ability to conduct prudent

underwriting;

(f) Capacity to manage and service

loans made with the guaranteed loan

funds or previous EDI grant funds;

(g) Capacity to carry out its projects

and programs in a timely manner; and,

(h) If applicable, the applicant’s

capacity to manage projects under this

program section of this SuperNOFA

along with any federal funds awarded as

a result of a federal urban

Empowerment Zone/Enterprise

Community designation.

(2) If an applicant has previously

received an EDI grant award(s), the

applicant must describe the status of the

implementation of that EDI-assisted

project(s), any delays that have been

encountered and the actions the

applicant is taking to overcome any

such delays in order to carry out the

project in a timely manner. For such

previously funded EDI grant projects,

HUD will consider the extent to which

the awarded EDI grant funds and the

associated Section 108-guaranteed loan

funds have been utilized.

(3) The capacity of subrecipients,

nonprofit organizations and other

entities that have a role in implementing

the proposed program will be included

in this review. HUD may also rely on

information from performance reports,

financial status information, monitoring

reports, audit reports and other

information available to HUD in making

its determination under this factor.

Rating Factor 2: Distress/Extent of the

Problem (15 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the extent to

which there is need for funding the

proposed activities based on levels of

distress, and an indication of the

urgency of meeting the need/distress in

the target area.

(1) In applying this factor, HUD will

consider current levels of distress in the

immediate community to be served by

the project and the jurisdiction applying

for assistance. Applicants who are able

to indicate a level of distress in the

immediate project area that is greater

than the level of distress in the

applicant’s jurisdiction as a whole will

receive a higher score under this factor

than those who do not. HUD requires

that applicants use sound and reliable

data that is verifiable to support the

level of distress claimed in the

application. The applicant shall provide

a source for the information it uses.

(2) In previous EDI competitions, the

poverty rate was often considered the

best indicator of distress; however, the

applicant may demonstrate the level of

distress with other factors such as

income levels and unemployment rates.

(3) HUD will consider a project to

have maximum distress if the project(s)

is located within the boundaries of a

federally-designated Empowerment

Zone or Enterprise Community

(Applicants will be responsible for

demonstrating that the project site is

within the boundaries of the applicant’s

EZ/EC area).

(4) To the extent that the applicant’s

Consolidated Plan and its Analysis of

Impediments to Fair Housing choice

(AI) identifies the level of distress in the

community and the neighborhood in

which the project is being carried out,

the applicant should include references

to such documents in preparing its

response to this factor.

Rating Factor 3: Soundness of Approach

(25 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed plan. There must be a clear

relationship between the proposed

activities, community needs and

purposes of the program funding for an

applicant to receive points for this

factor. In rating this factor, HUD will

consider the following:

(1) HUD will consider the quality of

the applicant’s plan/proposal for the use
23894 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

of BEDI funds and Section 108 loan

funds, including the extent to which the

applicant’s proposed plan for the

effective use of BEDI grant/Section 108

loan guarantee will address the needs

described in Rating Factor 2 above

regarding the distress and extent of the

problem in the applicant’s immediate

community and/or its jurisdiction.

(2) HUD will consider the extent to

which the plan is logically, feasibly, and

substantially likely to achieve its stated

purpose. HUD’s desire is to fund

projects and activities which will

quickly produce demonstrable results

and advance the public interest

including the number of jobs to be

created by the project. An applicant

should demonstrate that it has a clear

understanding of the steps required to

implement its project, the actions that it

and others responsible for implementing

the project must complete and shall

include a reasonable time schedule for

carrying out the project.

(3) The applicant’s response to this

factor should take into account certain

site selection, planning, and

environmental issues. Further,

applicants are cautioned against

proposing projects on sites where the

nature and degree of environmental

contamination is not well quantified or

which are the subject of on-going

litigation or environmental enforcement.

To reiterate, HUD’s desire is to fund

projects and activities which will

quickly produce demonstrable results

and advance the public interest. Sites

with unknown or exceptionally

expensive contamination problems may

be beyond the scope of the BEDI

program’s financial resources and sites

subject to pending and current litigation

may not be available for remediation

and development in a timeframe

consistent with HUD’s desire for rapid

progress in the use of BEDI and Section

108 funds.

(4) The BEDI program is intended to

promote the clean up and

redevelopment of brownfield sites and,

to this end, HUD expects that projects

presented for BEDI funding will

integrate environmental justice concerns

and provide demonstrable benefits for

affected communities and their

residents.

(5) HUD will evaluate the extent to

which the applicant’s project

incorporates one or more elements that

facilitate a successful transition of

welfare recipients from welfare to work.

Such an element could include, for

example, linking the proposed project or

loan fund to social and/or other services

needed to enable welfare recipients to

successfully secure and carry out fulltime jobs in the private sector; provision

of job training to welfare recipients who

might be hired by businesses financed

through the proposal; and/or incentives

for businesses financed with BEDI/

section 108 funds to hire and train

welfare recipients.

(6) Up to two (2) additional points

will be awarded to any application

submitted by the City of Dallas, Texas,

to the extent this subfactor is addressed.

Due to an order of the U.S. District

Court for the Northern District of Texas,

Dallas Division, with respect to any

application submitted by the City of

Dallas, Texas, HUD’s consideration of

the applicant’s response to this factor,

‘‘Soundness of Approach’’ will include

the extent to which the applicant’s plan

for the use of BEDI funds and Section

108 loans will be used to eradicate the

vestiges of racial segregation in the

Dallas Housing Authority’s programs

consistent with the Court’s order.

Rating Factor 4: Leveraging Resources/

Financial Need (35 Points)

[Page limits for the response to this

factor are listed separately for each

subfactor under this factor.]

In evaluating this factor, HUD will

consider the extent to which the

applicant’s response demonstrates the

financial need and feasibility of the

project and the leverage ratio of Section

108 loan proceeds to BEDI grant funds.

This factor has three subfactors, each

with its own maximum point total:

(1) Leverage of Section 108 funds (20

points). [Your response to this subfactor

is limited to one (1) page.] The

minimum ratio of Section 108 funds to

BEDI funds in any project may not be

less than 1:1. The extent to which the

proposed project leverages an amount of

Section 108 funds beyond the 1:1 ratio

will be considered a positive factor.

Applicants that have a ratio of 1:1 will

not receive any points under this

subfactor. Applicants that use their

BEDI grant to leverage more Section 108

commitments will receive more points

under this subfactor.

(2) Financial feasibility (10 points).

[Your response to this subfactor is

limited to three (5) pages.] HUD will

consider the extent to which the

applicant demonstrates that the project

is financially feasible. This may include

factors such as:

(a) Project costs and financial

requirements. Applicants should

provide a funding sources and uses

statement (not included in 5 page

narrative limit) as well as justifications

for project costs.

(b) The amount of any debt service or

operating reserve accounts to be

established in connection with the

economic development project.

(c) The reasonableness of the costs of

any credit enhancement paid with BEDI

grant funds.

(d) The amount of program income (if

any) to be received each year during the

repayment period for the guaranteed

loan.

(e) Interest rates on those loans to

third parties (other than subrecipients)

(either as an absolute rate or as a plus/

minus spread to the Section 108 rate).

(f) Underwriting criteria that will be

used in determining project feasibility.

(3) Leverage of other financial

resources (5 points). [Your response to

this subfactor is limited to one (1) page

plus supporting documentation

evidencing third party commitment

(written and signed) of funds.] HUD will

evaluate the extent to which the

applicant leverages other funds (public

or private) with BEDI grant funds and

section 108 guaranteed loan funds and

the extent to which such other funds are

firmly pledged to the project. This could

include the use of CDBG funds, other

Federal or state grants or loans, a

grantee’s general funds, project equity or

commercial financing provided by

private sources or funds from nonprofits or other sources. Funds will be

considered pledged to the project if

there is evidence of the third party’s

written commitment to make the funds

available for the BEDI/108 project,

subject to approval of the BEDI and

Section 108 assistance and completion

of any environmental clearance required

under 24 CFR part 58 for the project.

Note that with respect to CDBG funds,

the applicant’s pledge of its CDBG funds

will be considered sufficient

commitment.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

[Your response to this factor is limited

to two (2) pages.]

This factor addresses the extent to

which the applicant coordinated its

activities with other known

organizations, participates or promotes

participation in the applicant’s or a

State’s Consolidated Planning process,

and is working towards addressing a

need in a comprehensive manner

through linkages with other activities in

the community.

In evaluating this factor, HUD will

consider the extent to which the

applicant demonstrates it has:

(1) Coordinated its proposed activities

with those of other groups or

organizations prior to submission in

order to best complement, support and

coordinate all known activities and if

funded, the specific steps it will take to

share information on solutions and

outcomes with others. Any written
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23895

agreements, memoranda of

understanding in place, or that will be

in place after award should be

described.

(2) Developed linkages, or the specific

steps it will take to develop linkages

with other activities, programs or

projects through meetings, information

networks, planning processes or other

mechanisms to coordinate its activities

so solutions are holistic and

comprehensive, including linkages with

other HUD-funded projects/activities

outside the scope of those covered by

the Consolidated Plan.

(3) Coordinated its efforts with other

Federal, State or locally supported

activities, including EPA’s various

Brownfields initiatives, and those

proposed or on-going in the community.

IV. Application Submission

Requirements

(A) Public entities seeking BEDI

assistance must make a specific request

for that assistance, in accordance with

the requirements of this program section

of this SuperNOFA.

(B) The application should include an

original and one copy of the items listed

below submitted to HUD Headquarters

(see the section ‘‘Addresses For

Submitting Applications in this program

section of this SuperNOFA), with one

additional copy submitted directly to

the Community Planning and

Development Division of the cognizant

HUD Field Office for the applicant’s

jurisdiction.

(C) A BEDI application shall consist of

the following items:

(1) Transmittal letter from applicant;

(2) Table of contents;

(3) Application check list (supplied in

application kit);

(4) A request for loan guarantee

assistance under Section 108, as further

described in Section I(F) of this program

section of this SuperNOFA. Application

guidelines for the Section 108 program

are found at 24 CFR 570.704;

(5) As described in Section III(B) of

this program section of this

SuperNOFA, a narrative statement (3

page limit) describing the activities that

will be carried out with the BEDI grant

funds;

(6) Responses to each of the rating

factors (within the page limits provided

for each factor or subfactor as

applicable);

(7) Completion of a funding sources

and uses statement and a BEDI and

Section 108 eligibility statement (see the

application kit);

(8) Written agreements or signed

letters of understanding in support of

Rating Factor 1: ‘‘Capacity of the

Applicant and Relevant Organizational

Experience’’;

(9) Signed third party commitment

letters pledging funds in support of

subfactor 4(2): ‘‘Leverage of other

financial resources’’;

(10) Required certifications; and

(11) Acknowledgement of Application

Receipt form.

V. Corrections to Deficient Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

BILLING CODE 4210–32–P

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23897

BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23899

Funding Availability for the Economic

Development Initiative (EDI)

Program Description: Approximately

$38 million is available for Economic

Development Initiative (EDI) grants

under Section 108(q) of the Housing and

Community Development Act of 1974,

as amended. (Please see Section I(D) of

this EDI section of the SuperNOFA for

possible set-aside.) EDI funds are used

to enhance the security of the Section

108 guaranteed loan for the same project

or to improve the viability of a project

financed with a Section 108-guaranteed

loan. An EDI grant is required to be used

in conjunction with a new Section 108

guaranteed loan commitment.

Application Due Date: Completed

applications (one original and two

copies) must be submitted no later than

12:00 midnight, Eastern time, on July

30, 1998 to the addresses shown below.

See the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications

To HUD Headquarters. The

completed application (an original and

one copy) must be submitted to:

Processing and Control Unit, Room

7255, Office of Community Planning

and Development, Department of

Housing and Urban Development, 451

Seventh Street, SW, Washington, DC

20410, Attention: EDI Grant, by mail or

hand delivery.

To the Appropriate CPD Field Office.

An additional copy should be submitted

to the Community Planning and

Development Division of the

appropriate HUD Field Office for the

applicant’s jurisdiction.

When submitting your application,

please refer to EDI, and include your

name, mailing address (including zip

code) and telephone number (including

area code).

For Application Kits, Further

Information, and Technical Assistance

For Application Kits. For an

application kit and any supplemental

information, please call HUD’s

SuperNOFA Information line toll free at

1–800–HUD–8929. Persons with hearing

or speech impairments may call the

Center’s TTY number at 1–800–HUD–

2209 to obtain an application kit. The

application kit will also be available on

the Internet through the HUD web site

at http://www.hud.gov. When

requesting the application kit, please

refer to EDI. Please make sure to provide

your name, address (including zip

code), and telephone number (including

area code).

For Further Information and

Technical Assistance. Contact either

Stan Gimont or Paul Webster, Financial

Management Division, Office of Block

Grant Assistance, Department of

Housing and Urban Development, 451

Seventh Street, SW, Room 7178,

Washington, DC 20410; telephone (202)

708–1871 (this is not a toll-free

number). Persons with speech or

hearing impairments may access this

number via TTY by calling the toll-free

Federal Information Relay Service at 1–

800–877–8339.

See the General Section of this

SuperNOFA for guidance on technical

assistance. With respect to the Section

108 Loan Guarantee program, which is

not a competitive program and thus not

subject to those provisions of the HUD

Reform Act pertaining to competitions,

HUD staff will be available to provide

advice and assistance to develop

Section 108 loan applications.

Additional Information

I. Authority; Definitions; Purpose;

Amount Allocated; and Eligibility

(A) Authority

Section 108(q), Title I, Housing and

Community Development Act of 1974,

as amended (42 U.S.C. 5301–5320) (the

Act); 24 CFR part 570.

(B) Definitions

Unless otherwise defined herein,

terms defined in 24 CFR part 570 and

used in this program section of this

SuperNOFA shall have the respective

meanings given thereto in that part.

CDBG funds means those funds as

defined at 24 CFR 570.3, including grant

funds received pursuant to section

108(q) of the Act and this program

section of this SuperNOFA.

Economic Development Initiative

(EDI) means the provision of economic

development grant assistance under

section 108(q) of the Act, as authorized

by Section 232 of the Multifamily

Housing Property Disposition Reform

Act of 1994 (Pub.L. 103–233, approved

April 11, 1994).

Economic development project means

an activity or activities (including

mixed use projects with housing

components) that are eligible under the

Act and under 24 CFR 570.703, and that

increase economic opportunity for

persons of low- and moderate-income or

that stimulate or retain businesses or

jobs or that otherwise lead to economic

revitalization.

Empowerment Zone or Enterprise

Community means an urban area so

designated by the Secretary of HUD

pursuant to 24 CFR part 597, or a rural

area so designated by the Secretary of

Agriculture pursuant to 7 CFR part 25,

subpart B.

Strategic Plan means a strategy

developed and agreed to by the

nominating local government(s) and

State(s) and submitted in partial

fulfillment of the application

requirements for an Empowerment Zone

or Enterprise Community designated

pursuant to 24 CFR part 597.

(C) Purpose

(1) Background. HUD has multiple

programs which are intended to

stimulate and promote economic and

community development. Primary

among HUD’s resources are the

Community Development Block Grant

(CDBG) program and the Section 108

loan guarantee program.

The CDBG program provides grant

funds ($4.195 billion in FY 1998) to

local governments (either directly or

through States) to carry out community

and economic development activities.

The Section 108 loan guarantee program

provides local governments with a

source of financing for economic

development, housing rehabilitation

and other eligible large scale physical

development projects. HUD is

authorized pursuant to Section 108 to

guarantee notes issued by CDBG

entitlement communities and nonentitlement units of general local

government eligible to receive funds

under the State CDBG program.

Regulations governing the Section 108

program are found at 24 CFR part 570,

subpart M. It must be noted that the

Section 108 program is subject to the

regulations of 24 CFR part 570

applicable to the CDBG program with

the exception of changes embodied in

24 CFR part 570, subpart M.

For FY 1998, the Section 108 program

is authorized at $1.261 billion in loan

guarantee authority. The full faith and

credit of the United States is pledged to

the payment of all guarantees made

under Section 108. Under this program,

communities (and States, if applicable)

pledge their future years’ CDBG

allocations as security for loans

guaranteed by HUD. The Section 108

program, however, does not require

CDBG funds to be escrowed for loan

repayment (unless such an arrangement

is specifically negotiated as loan

security). This means that a community

can continue to spend its existing

allocation for other CDBG purposes,

unless needed for loan repayment.

(2) EDI Program. The EDI program

was enacted in 1994 and is intended to

complement and enhance the Section

108 Loan Guarantee program. The
23900 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

purpose of EDI grant funds is to further

minimize the potential loss of future

CDBG allocations:

(a) By strengthening the economic

feasibility of the projects financed with

Section 108 funds (and thereby

increasing the probability that the

project will generate enough cash to

repay the guaranteed loan);

(b) By directly enhancing the security

of the guaranteed loan; or

(c) Through a combination of these or

other risk mitigation techniques.

(3) Purpose of EDI Funding. HUD

intends the approximately $38 million

in EDI funds to stimulate economic

development by local governments and

private sector parties. HUD desires to

see EDI and Section 108 funds used to

finance projects and activities that will

provide near-term results and

demonstrable economic benefits, such

as job creation and increases in the local

tax base.

(4) Additional Security for Section

108 Loan Guarantee. Public entities

should be mindful of the need to

provide additional security for the

Section 108 loan guarantee pursuant to

24 CFR 570.705(b)(3). Although a public

entity is required by the Act to pledge

its current and future CDBG funds as

security for the Section 108 loan

guarantee, the public entity will usually

be required to furnish additional

collateral. In most cases, the additional

collateral consists (in whole or in part)

of the asset financed with the Section

108 loan funds (e.g., a loan made to a

business as part of an economic

development project). Applications

proposing uses for EDI funding that

enhance the viability of projects will

help ensure that the project-based

asset(s) will satisfy the additional

collateral requirements.

(5) Typical Project Structures.

Provided that proposals are consistent

with other CDBG requirements,

including national objectives, HUD

envisions that the following project

structures could be typical:

(a) Funding Reserves. The cash flow

generated by an economic development

project may be expected to be relatively

‘‘thin’’ in the early stages of the project,

i.e. potentially insufficient cash flows to

meet operating expenses and debt

service obligations. The EDI grant can

make it possible for reserves to be

established in a way that enhances the

economic feasibility of the project.

(b) Over-Collateralizing the Section

108 Loan.

(i) The use of EDI grant funds may be

structured in appropriate cases so as to

improve the likelihood that projectgenerated cash flow will be sufficient to

cover debt service on the Section 108

loan and directly to enhance the

guaranteed loan. One technique for

accomplishing this approach is overcollateralization of the Section 108 loan.

(ii) An example is the creation of a

loan pool funded with Section 108 and

EDI grant funds. The community would

make loans to various businesses from

the combined pool at an interest rate

equal to or greater than the rate on the

Section 108 loan. The total loan

portfolio would be pledged to the

repayment of the Section 108 loan.

(c) Direct Enhancement of the

Security of the Section 108 Loan. The

EDI grant can be used to cover the cost

of providing credit enhancements. An

example of how the EDI grant can be

used for this purpose is by using the

grant funds to cover the cost of a

standby letter of credit, issued in favor

of HUD. This letter of credit will be

available to fund amounts due on the

Section 108 loan if other sources fail to

materialize and will, thus, serve to

protect the public entity’s future CDBG

funds.

(d) Provision of Financing to ForProfit Businesses at a Below Market

Interest Rate.

(i) While the rates on loans

guaranteed under Section 108 are only

slightly above the rates on comparable

U.S. Treasury obligations, they may

nonetheless be higher than can be

afforded by businesses in severely

economically distressed neighborhoods.

The EDI grant can be used to make

Section 108 financing affordable.

(ii) EDI grant funds could serve to

‘‘buy down’’ the interest rate up front,

or make full or partial interest

payments, allowing the businesses to be

financially viable in the early start-up

period not otherwise possible with

Section 108 alone. This strategy would

be particularly useful where a

community was undertaking a large

commercial/retail project in a distressed

neighborhood to act as a catalyst for

other development in the area.

(e) Combination of Techniques. An

applicant could employ a combination

of these or other techniques in order to

implement a strategy that carries out an

economic development project.

(D) Amount Allocated

HUD has available a maximum of

approximately $38 million for the EDI

program, as appropriated in the FY 1998

HUD Appropriations Act. If any

additional EDI grant monies for this

SuperNOFA become available, HUD

may either fund additional applicants in

accordance with this SuperNOFA

during Fiscal Year 1998 or may add any

funds that become available to funds

available for any future EDI

competitions.

As part of EDI, HUD is developing a

program enhancement designed to

reduce the risk that CDBG funds will

have to be used to repay Section 108

loans that finance economic

development projects. This mechanism

will allow public entities to pool

economic development loans and

related reserves. The diversification

created by the pooling of loans and

reserves will reduce the risk that a

public entity will incur a catastrophic

loss to its CDBG program if a business

defaults on an economic development

loan made with Section 108 funds. The

CDBG Risk Reduction Pool will also

assist public entities in satisfying the

collateral requirements for Section 108

loans. The pool’s reserves and

incremental cash flows will provide an

additional credit enhancement for the

Section 108 loan and thereby satisfy

Section 108 additional collateral

requirements. The HUD budget for FY

1999 has requested $400 million for an

enhanced EDI program that includes

features of this mechanism.

HUD is developing this pooling

mechanism in consultation with other

Federal agencies and outside experts.

HUD is considering a $10 million

demonstration in FY 1998. If the

demonstration occurs, then $28 million

will be available for the EDI competition

announced in this SuperNOFA. In this

event, HUD will publish a

supplementary notice to the EDI

program section of this SuperNOFA

announcing the availability of the $10

million for an FY 1998 demonstration of

this mechanism. Should there be no

demonstration in FY 1998, then HUD

reserves the right to utilize the $10

million for the EDI competition

announced in this SuperNOFA, making

the total amount available $38 million.

(E) Eligibility to Apply for Grant

Assistance

Any public entity eligible to apply for

Section 108 loan guarantee assistance

pursuant to 24 CFR 570.702 may apply

for EDI grant assistance under Section

108(q). Eligible applicants are CDBG

entitlement units of general local

government and non-entitlement units

of general local government eligible to

receive loan guarantees under 24 CFR

part 570, subpart M. Note that effective

January 25, 1995, non-entitlement

public entities in the states of New York

and Hawaii were authorized to apply to

HUD for Section 108 loans (see 59 FR

47510, December 27, 1994). Thus, nonentitlement public entities in all 50

states and Puerto Rico are eligible to
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23901

participate in the Section 108 and EDI

programs.

(F) Related Section 108 Loan Guarantee

Application

(1) Each EDI application must be

accompanied by a request for new

Section 108 loan guarantee assistance.

Both the EDI and Section 108 funds

must be used in conjunction with the

same economic development project.

This request may take any of several

forms as defined below.

(a) A formal application for new

Section 108 loan guarantee(s), including

the documents listed at 24 CFR

570.704(b);

(b) A brief description (not to exceed

three pages) of a new Section 108 loan

guarantee application(s). Such 108

application(s) will be submitted within

60 days, with HUD reserving the right

to extend such period for good cause on

a case-by-case basis, of a notice of EDI

selection. EDI awards will be

conditioned on approval of actual

Section 108 loan commitments. This

description must be sufficient to

support the basic eligibility of the

proposed project or activities for Section

108 assistance. (See Section I(G) of this

program section of this SuperNOFA.);

(c) If applicable, a copy of a Section

108 loan guarantee approval document

with grant number and date of approval

(which was approved after the date of

this SuperNOFA, except in conjunction

with a previous EDI award); or

(d) A request for a Section 108 loan

guarantee amendment (analogous to

Section I(G)(1)(a) or (b) above) that

proposes to increase the amount of a

previously approved application.

However, any amount of Section 108

loan guarantee authority approved

before the date of this SuperNOFA is

not eligible to be used in conjunction

with a EDI grant under this SuperNOFA.

(2) Further, a Section 108 loan

guarantee amount that is required to be

used in conjunction with a prior EDI

grant award, whether or not the Section

108 loan guarantee has been approved

as of the date of this SuperNOFA, is not

eligible for an EDI award under this

SuperNOFA. For example, if a public

entity has a previously approved

Section 108 loan guarantee commitment

of $12 million, even if none of the funds

have been utilized, or if the public

entity had previously been awarded an

EDI grant of $1 million and had certified

that it will submit a Section 108 loan

application for $10 million in support of

that EDI grant, the public entity’s EDI

application under this SuperNOFA

must propose to increase the amount of

its total Section 108 loan guarantee

commitments beyond those amounts

(the $12 million or $10 million in this

example) to which it has previously

agreed.

(G) Eligible Activities and National

Objectives

EDI grant funds may be used for

activities listed at 24 CFR 570.703,

provided such activities are carried out

as part of an economic development

project as defined in Section I(B) of this

EDI section of this SuperNOFA. Each

activity assisted with Section 108 loan

guarantee or EDI funds must meet a

national objective of the CDBG program

(see 24 CFR 570.208). In the aggregate,

a grantee’s use of CDBG funds,

including any Section 108 loan

guarantee proceeds and section 108(q)

(EDI) funds provided pursuant to this

program section of this SuperNOFA,

must comply with the CDBG primary

objectives requirement as described in

section 101(c) of the Housing and

Community Development Act of 1974,

as amended, and 24 CFR 570.200(c)(3)

or 24 CFR 570.484 in the case of State

grantees. The foregoing eligible

activities may also include:

(1) Payment of costs of private

financial guaranty insurance policies,

letters of credit, or other credit

enhancements for the notes or other

obligations guaranteed by HUD

pursuant to Section 108, provided that

the proceeds of such notes or

obligations are used to finance an

economic development project. Such

enhancements shall be specified in the

contract required by 24 CFR

570.705(b)(1), and shall be satisfactory

in form and substance to HUD for

security purposes; and

(2) The payment of interest due (and

other costs such as servicing,

underwriting, or other costs as may be

authorized by HUD) on the notes or

other obligations guaranteed by HUD

pursuant to the Section 108 loan

guarantee program.

(H) Limitations on Use of EDI and

Section 108 Funds

Certain restrictions shall apply to the

use of EDI and Section 108 funds:

(1) EDI grants shall not be used as a

resource to immediately repay the

principal of a loan guaranteed under

Section 108. Repayment of principal is

only permissible with EDI grant funds

as a matter of security if other sources

projected for repayment of principal

prove to be unavailable.

(2) Applicants are cautioned against

using Section 108 funds to finance

activities which also include financing

generated through the issuance of

federally tax exempt obligations.

Pursuant to Office of Management and

Budget (OMB) Circular A–129 (Policies

for Federal Credit Programs and NonTax Receivables), Section 108

guaranteed loan funds may not directly

or indirectly support federally taxexempt obligations.

(I) Limitations on Grant Amounts

(1) HUD expects to approve EDI grant

amounts for approvable applications at

a range of ratios of EDI grant funds

awarded to new Section 108 loan

guarantee commitments, but the

minimum ratio will be $1 of Section 108

loan guarantee commitments for every

$1 of EDI grant funds. However,

applicants that propose a leverage ratio

of 1:1 will not receive any points under

Ration Subfactor 4(1): ‘‘Leverage of

Section 108 Funds.’’ For example, an

applicant requesting a EDI grant of $1

million will be required to leverage a

minimum of at least $1 million in new

Section 108 loan guarantee

commitments. This will be a special

condition of the EDI grant award. Of

course, even though there is a minimum

ratio of 1:1, applications with higher

ratios will receive more points under

Rating Factor 4, ‘‘Leveraging Resources/

Financial Need’’ and, all other things

being equal, will be more competitive.

Applicants are encouraged to propose

projects with a greater leverage ratio of

new Section 108 to EDI grant funds

(assuming such projects are financially

viable). For example, $1 million of EDI

could leverage $12 million of new

Section 108 loan commitments. HUD

intends that the EDI funds will be used

for projects which leverage the greatest

possible amount of Section 108 loan

guarantee commitments.

(2) HUD expects that the average grant

size will be approximately $1 million.

(3) If additional EDI grant funds

become available to HUD as the result

of recaptures prior to the date of this

NOFA, HUD reserves the right to award

grants under this SuperNOFA whose

aggregate total may exceed the $38

million announced in this SuperNOFA,

up to the maximum amount authorized

by law.

(4) In the event the applicant is

awarded an EDI grant that has been

reduced below the original request (e.g.

the application contained some

activities that were ineligible or there

were insufficient funds to fund the last

competitive application at the full

amount requested), the applicant will be

required to modify its project plans and

application to conform to the terms of

HUD’s approval before execution of a

grant agreement. HUD reserves the right

to reduce or de-obligate the EDI award

if approvable Section 108 loan

guarantee applications are not
23902 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

submitted by the grantee in the required

amounts on a timely basis. Any

requested modifications must be within

the scope of the original EDI

application.

(5) In the case of requested

amendments to a previously approved

Section 108 loan guarantee commitment

(as further discussed in Section

I(F)(1)(d), above), the EDI assistance

approved will be based on the increased

amount of Section 108 loan guarantee

assistance.

(J) Timing of Grant Awards

(1) To the extent a full Section 108

application is submitted with the EDI

grant application, the Section 108

application will be evaluated

concurrently with the request for EDI

grant funds. Note that EDI grant

assistance cannot be used to support a

Section 108 loan guarantee approved

prior to the date of the publication of

this SuperNOFA. However, the EDI

grant may be awarded prior to HUD

approval of the Section 108

commitment if HUD determines that

such award will further the purposes of

the Act.

(2) HUD notification to the grantee of

the amount and conditions (if any) of

EDI funds awarded based upon review

of the EDI application shall constitute

an obligation of grant funds, subject to

compliance with the conditions of

award and execution of a grant

agreement. EDI funds shall not be

disbursed to the public entity before the

issuance of the related Section 108

guaranteed obligations.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, applicants

are subject to the following

requirements.

(A) CDBG Program Regulations

The requirements of 24 CFR part 570,

including subpart K (Other Program

Requirements).

(B) Environmental Review

After the completion of this

competition and after HUD’s award of

EDI grant funds, pursuant to 24 CFR

570.604, each project or activity assisted

under this program is subject to the

provisions of 24 CFR part 58, including

limitations on the EDI grant and Section

108 public entity’s commitment of HUD

and non-HUD funds prior to the

completion of environmental review,

notification and release of funds. No

such assistance will be released by HUD

until a request for release of funds is

submitted and the requirements of 24

CFR part 58 have been met. All public

entities, including nonentitlement

public entities, shall submit the request

for release of funds and related

certification, required pursuant to 24

CFR part 58, to the appropriate HUD

field office for each project to be

assisted.

(C) Environmental Justice

Executive Order 12898 (Federal

Actions to Address Environmental

Justice in Minority Populations and

Low-Income Populations) directs

Federal agencies to develop strategies to

address environmental justice.

Environmental justice seeks to rectify

the disproportionately high burden of

environmental pollution that is often

borne by low-income, minority, and

other disadvantaged communities, and

to ensure community involvement in

policies and programs addressing this

issue.

III. Application Selection Process

(A) Rating and Ranking

(1) Each rating factor and the

maximum number of points is provided

below. The maximum number of points

to be awarded is 102. This includes two

EZ/EC bonus points as described in the

General Section of this SuperNOFA.

(2) Once scores are assigned, all

applications will be ranked in order of

points assigned, with the applications

receiving more points ranking above

those receiving fewer points.

Applications will be funded in rank

order.

(3) If HUD determines that an

application rated, ranked and fundable

could be funded at a lesser EDI grant

amount than requested consistent with

feasibility of the funded project or

activities and the purposes of the Act,

HUD reserves the right to reduce the

amount of the EDI award and/or

increase the Section 108 loan guarantee

commitment, if necessary, in

accordance with such determination.

An application in excess of $1 million

may be reduced below the amount

requested by the applicant if HUD

determines that such a reduction is

appropriate.

(4) HUD may decide not to award the

full amount of EDI grant funds available

under this program section of this

SuperNOFA and may make any

remaining amounts available under a

future SuperNOFA, or under a

supplementary notice.

(B) Narrative Statement

Each applicant shall provide a

narrative statement describing the

activities that will be carried out with

the EDI grant funds and explaining how

the use of EDI grant funds meets the

rating factor identified below. The

narrative statement shall not exceed

three (3) 8.5′′ by 11′′ pages for the

description of the activities to be carried

out with the EDI grant funds. The

description of activities should include

a statement of how the proposed uses of

EDI funds will meet the national

objectives under 24 CFR 570.208 for the

CDBG program and qualify as eligible

activities under 24 CFR 570.703.

Citations to the specific regulatory

subsections supporting eligibility are

recommended, but a narrative

description will be accepted. See

Section I(G) of this program section of

this SuperNOFA. Each of the listed

rating factors (or, where applicable, each

subfactor) below also has a separate

page limitation specified. Narrative

statements must be printed in 12 point

type/font, and have sequentially

numbered pages.

(C) Factors for Award Used to Evaluate

and Rate Applications

All applications will be considered

for selection based on the following

factors that demonstrate the quality of

the proposed project or activities, and

the applicant’s creativity, capacity and

commitment to obtain maximum benefit

from the EDI funds, in accordance with

the purposes of the Act.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (15 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. The rating

of the ‘‘applicant’’ or the ‘‘applicant’s

organization and staff’’ for technical

merit or threshold compliance, unless

otherwise specified, will include any

faculty, subcontractors, consultants,

subrecipients, and members of consortia

which are firmly committed (i.e., has a

written agreement or a signed letter of

understanding with the applicant

agreeing in principle to its participation

and role in the project). In rating this

factor, HUD will consider the following:

(1) With regard to the EDI/Section 108

project proposed by the applicant, the

applicant should demonstrate that it has

the capacity to implement the specific

steps required to successfully carry out

the proposed EDI/Section 108 project.

This includes factors such as the

applicant’s:

(a) Performance in the administration

of its CDBG, HOME or other programs;
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23903

(b) Previous experience, if any, in

administering a Section 108 loan

guarantee;

(c) Performance and capacity in

carrying out economic development

projects;

(d) Ability to conduct prudent

underwriting;

(e) Capacity to manage and service

loans made with the guaranteed loan

funds or previous EDI grant funds;

(f) Capacity to carry out its projects

and programs in a timely manner; and,

(g) If applicable, the applicant’s

capacity to manage projects under this

program section of this SuperNOFA

along with any federal funds awarded as

a result of a federal urban

Empowerment Zone/Enterprise

Community designation.

(2) If an applicant has previously

received an EDI grant award(s), the

applicant must describe the status of the

implementation of that EDI-assisted

project(s), any delays that have been

encountered and the actions the

applicant is taking to overcome any

such delays in order to carry out the

project in a timely manner. For such

previously funded EDI grant projects,

HUD will consider the extent to which

the awarded EDI grant funds and the

associated Section 108 guaranteed loan

funds have been utilized.

(3) The capacity of subrecipients,

nonprofit organizations and other

entities that have a role in implementing

the proposed program will be included

in this review. HUD may also rely on

information from performance reports,

financial status information, monitoring

reports, audit reports and other

information available to HUD in making

its determination under this factor.

Rating Factor 2: Distress/Extent of the

Problem (15 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the extent to

which there is need for funding the

proposed activities based on levels of

distress, and an indication of the

urgency of meeting the need/distress in

the target area.

(1) In applying this factor, HUD will

consider current levels of distress in the

immediate community to be served by

the project and the jurisdiction applying

for assistance. Applicants who are able

to indicate a level of distress in the

immediate project area that is greater

than the level of distress in the

applicant’s jurisdiction as a whole will

receive a higher score under this factor

than those who do not. HUD requires

that applicants use sound and reliable

data that is verifiable to support the

level of distress claimed in the

application. The applicant shall provide

a source for the information it uses.

(2) In previous EDI competitions, the

poverty rate was often considered the

best indicator of distress; however, the

applicant may demonstrate the level of

distress with other factors such as

income levels and unemployment rates.

(3) HUD will consider a project to

have maximum distress if the project(s)

is located within the boundaries of a

federally-designated Empowerment

Zone or Enterprise Community

(Applicants will be responsible for

demonstrating that the project site is

within the boundaries of the applicant’s

EZ/EC area).

(4) To the extent that the applicant’s

Consolidated Plan and its Analysis of

Impediments to Fair Housing choice

(AI) identifies the level of distress in the

community and the neighborhood in

which the project is being carried out,

the applicant should include references

to such documents in preparing its

response to this factor.

Rating Factor 3: Soundness of Approach

(25 Points)

[Your response to this factor is limited

to three (3) pages.]

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed plan. There must be a clear

relationship between the proposed

activities, community needs and

purposes of the program funding for an

applicant to receive points for this

factor. In rating this factor, HUD will

consider the following:

(1) HUD will consider the quality of

the applicant’s plan/proposal for the use

of EDI funds and Section 108 loan

funds, including the extent to which the

applicant’s proposed plan for the

effective use of EDI grant/Section 108

loan guarantee will address the needs

described in Rating Factor 2 above

regarding the distress and extent of the

problem in the applicant’s immediate

community and/or its jurisdiction.

(2) HUD will consider the extent to

which the plan is logically, feasibly, and

substantially likely to achieve its stated

purpose. HUD’s desire is to fund

projects and activities which will

quickly produce demonstrable results

and advance the public interest

including the number of jobs to be

created by the project and the impact of

the project on job creation that will

benefit individuals on or previously on

welfare. An applicant should

demonstrate that it has a clear

understanding of the steps required to

implement its project, the actions that it

and others responsible for implementing

the project must complete and shall

include a reasonable time schedule for

carrying out the project.

(3) HUD will consider the extent to

which the applicant’s proposed project

addresses the applicant’s Analysis of

Impediments and the needs identified

in Factor 2 and the extent to which such

project activities will result in the

physical and economic improvement for

the residents in the neighborhood in

which the project will be carried out.

(4) HUD will evaluate the extent to

which the applicant’s project

incorporates one or more elements that

facilitate a successful transition of

welfare recipients from welfare to work.

Such an element could include, for

example, linking the proposed project or

loan fund to social and/or other services

needed to enable welfare recipients to

successfully secure and carry out fulltime jobs in the private sector; provision

of job training to welfare recipients who

might be hired by businesses financed

through the proposal; and/or incentives

for businesses financed with EDI/

section 108 funds to hire and train

welfare recipients.

(5) Up to two (2) additional points

will be awarded to any application

submitted by the City of Dallas, Texas,

to the extent this subfactor is addressed.

Due to an order of the U.S. District

Court for the Northern District of Texas,

Dallas Division, with respect to any

application submitted by the City of

Dallas, Texas, HUD’s consideration of

the applicant’s response to this factor,

‘‘Soundness of Approach,’’ will include

the extent to which the applicant’s plan

for the use of EDI funds and Section 108

loans will be used to eradicate the

vestiges of racial segregation in the

Dallas Housing Authority’s programs

consistent with the Court’s order.

Rating Factor 4: Leveraging Resources/

Financial Need (35 Points)

[Page limits for the response to this

factor are listed separately for each

subfactor under this factor.]

In evaluating this factor, HUD will

consider the extent to which the

applicant’s response demonstrates the

financial need and feasibility of the

project and the leverage ratio of Section

108 loan proceeds to EDI grant funds.

This factor has three subfactors, each

with its own maximum point total:

(1) Leverage of Section 108 funds (20

points). Your response to this subfactor

is limited to one (1) page. The minimum

ratio of Section 108 funds to EDI funds

in any project may not be less than 1:1.

The extent to which the proposed

project leverages an amount of Section

108 funds beyond the 1:1 ratio will be

considered a positive factor. Applicants

that have a ratio of 1:1 will not receive
23904 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

any points under this subfactor.

Applicants that use their EDI grant to

leverage more Section 108 commitments

will receive more points under this

subfactor.

(2) Financial feasibility (10 points).

[Your response to this subfactor is

limited to five (5) pages.] HUD will

consider the extent to which the

applicant demonstrates that the project

is financially feasible. This may include

factors such as:

(a) Project costs and financial

requirements. Applicants should

provide a funding sources and uses

statement (not included in 5 page

narrative limit) as well as justifications

for project costs.

(b) The amount of any debt service or

operating reserve accounts to be

established in connection with the

economic development project.

(c) The reasonableness of the costs of

any credit enhancement paid with EDI

grant funds.

(d) The amount of program income (if

any) to be received each year during the

repayment period for the guaranteed

loan.

(e) Interest rates on those loans to

third parties (other than subrecipients)

(either as an absolute rate or as a plus/

minus spread to the Section 108 rate).

(f) Underwriting criteria that will be

used in determining project feasibility.

(3) Leverage of other financial

resources (5 points). [Your response to

this subfactor is limited to one (1) page

plus supporting documentation

evidencing third party commitment

(written and signed) of funds.] HUD will

evaluate the extent to which the

applicant leverages other funds (public

or private) with EDI grant funds and

Section 108 guaranteed loan funds and

the extent to which such other funds are

firmly pledged to the project. This could

include the use of CDBG funds, other

Federal or state grants or loans, a

grantee’s general funds, project equity or

commercial financing provided by

private sources or funds from nonprofits or other sources. Funds will be

considered pledged to the project if

there is evidence of the third party’s

written commitment to make the funds

available for the EDI/108 project, subject

to approval of the EDI and Section 108

assistance and completion of any

environmental review required under 24

CFR part 50 for the project. Note, that

with respect to CDBG funds, the

applicant’s pledge of its CDBG funds

will be considered sufficient

commitment.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

[Your response to this factor is limited

to two (2) pages.]

This factor addresses the extent to

which the applicant coordinated its

activities with other known

organizations, participates or promotes

participation in the applicant’s or a

State’s Consolidated Planning process,

and is working towards addressing a

need in a comprehensive manner

through linkages with other activities in

the community.

In evaluating this factor, HUD will

consider the extent to which the

applicant demonstrates it has:

(1) Coordinated its proposed activities

with those of other groups or

organizations prior to submission in

order to best complement, support and

coordinate all known activities and if

funded, the specific steps it will take to

share information on solutions and

outcomes with others. Any written

agreements, memoranda of

understanding in place, or that will be

in place after award should be

described.

(2) Developed linkages, or the specific

steps it will take to develop linkages

with other activities, programs or

projects through meetings, information

networks, planning processes or other

mechanisms to coordinate its activities

so solutions are holistic and

comprehensive, including linkages with

other HUD-funded projects/activities

outside the scope of those covered by

the Consolidated Plan.

IV. Application Submission

Requirements

(A) Public entities seeking EDI

assistance must make a specific request

for that assistance, in accordance with

the requirements of this program section

of this SuperNOFA.

(B) The application should include an

original and one copy of the items listed

below, with one additional copy

submitted directly to the Community

Planning and Development Division of

the cognizant HUD Field Office for the

applicant’s jurisdiction.

(C) An EDI application shall consist of

the following items:

(1) Transmittal letter from applicant;

(2) Table of contents;

(3) Application check list (supplied in

application kit);

(4) A request for loan guarantee

assistance under Section 108 as further

described in Section I(F) of this program

section of the SuperNOFA. Application

guidelines for the Section 108 program

are found at 24 CFR 570.704;

(5) A described in Section III(B) of

this program section of this

SuperNOFA, a narrative statement (3

page limit) describing the activities that

will be carried out with the EDI grant

funds;

(6) Responses to each of the rating

factors (within the page limits provided

for each factor or subfactor as

applicable);

(7) Completion of a funding sources

and uses statement and a EDI and

Section 108 eligibility statement (see the

application kit);

(8) Written agreements or signed

letters of understanding in support of

Rating Factor 1: ‘‘Capacity of the

Applicant and Relevant Organizational

Experience;’’

(9) Signed third party commitment

letters pledging funds in support of

subfactor 4(2): ‘‘Leverage of other

financial resources;’’

(10) Required certifications; and

(11) Acknowledgement of Application

Receipt form.

V. Corrections to Deficient Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

BILLING CODE 4210–32–P
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23905

BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23907

Consolidated Economic Development

and Supportive Services and Tenant

Opportunities Programs

Program Description: Approximately

$64.1 million in funding is made

available for two programs: Public and

Indian Housing Economic Development

and Supportive Services Program

(EDSS) and the Tenant Opportunities

Program (TOP). In general, although

both programs fund similar activities,

Housing Authorities, Indian tribes, and

Tribally Designated Housing Entities are

the recipients under EDSS while

resident associations are the recipients

under TOP. Therefore, although the

funding availability announcements for

these two programs have been

combined, the application processes

will remain separate.

This program section of the

SuperNOFA combines TOP and EDSS to

highlight HUD’s parallel restructuring of

these complementary programs. The

restructuring represents a major HUD

initiative to improve the targeting and

management of limited resources for

resident self-sufficiency. The goal is to

most effectively focus these resources

on ‘‘welfare to work’’ and on

independent living for the elderly and

persons with disabilities. HUD believes

that it is imperative that housing

authorities and residents work together

to meet the challenge of welfare reform.

Application Due Date: Completed

applications (one original and two

copies) must be submitted, at the

address shown below, no later than 6:00

pm local time on:

July 31, 1998 for the EDSS Program;

and

July 31, 1998 for the TOP Program.

Please see the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried) and the time by which the

application must be received by HUD

and/or postmarked in order to meet the

deadline for submission.

Address for Submitting Applications:

An original and two copies of the

application must be received by the

application due date at the local Field

Office with delegated public or assisted

housing responsibilities attention:

Director, Office of Public or Assisted

Housing, or, in the case of the Native

American population, to the

Administrator, Area Office of Native

American Programs (AONAP), as

appropriate.

For Application Kits, Further

Information and Technical Assistance

For Application Kits. For an

application kit and any supplemental

information please call the SuperNOFA

Information Center at 1–800–HUD–

8929. Persons with hearing or speech

impairments may call the Center’s TTY

number at 1–800–HUD–2209. The

application kit also will be available on

the Internet through the HUD web site

at http://www.hud.gov. When

requesting an application kit, please

refer to EDSS/TOP and provide your

name, address (including zip code), and

telephone number (including area code).

For Further Information and

Technical Assistance. For answers to

your questions, you have several

options. You may call the local HUD

field office with delegated

responsibilities over the pertinent

housing agency/authority, or in the case

of an Indian tribe or a Tribally

Designated Housing Entity (TDHE)

applying for EDSS grants, the AONAP

with jurisdiction over the tribe/TDHE.

Answers may also be obtained by

calling the Public and Indian Housing

Information and Resource Center at 1–

800–955–2232. Information on this

SuperNOFA may also be obtained

through the HUD web site on the

Internet at http://www.HUD.gov.

Additional Information

I. Authority; Purpose; Amount

Allocated; and Eligibility

The Authority, Purpose of the

Program, Amount Allocated, Program

Award Period, Eligible Applicants;

Grants Amounts; Eligible and Ineligible

Activities, and Additional Program

Requirements, as applicable, are

delineated under each technical

assistance program area for which

funding is being made available.

Applicants should take care in

reviewing this section to ensure they are

eligible to apply for funds and that they

meet the additional program

requirements and limitations described

for each program.

(A) Authority

(1) For the EDSS Program, the

Community Development Block Grant

section of the FY 1998 HUD

Appropriations Act.

(2) For TOP, section 20 of the U.S.

Housing Act of 1937. The TOP

regulations are found in 24 CFR part

964.

(3) Common Definitions. Please see

Appendix A to this EDSS/TOP section

of the SuperNOFA for common

definitions.

(B) Purpose

The purposes of the two programs are

as follows:

(1) EDSS. The purpose of the EDSS

program is to provide grants to Public

Housing Authorities (PHAs), Tribes or

their Tribally Designated Housing

Entities (TDHEs) to enable them to

establish and implement programs that

increase resident self-sufficiency, and

support continued independent living

for elderly and disabled residents.

(2) TOP. TOP provides grants to

public housing Site-Based Resident

Councils, Resident Management

Corporations and Intermediary Resident

Organizations to provide resident

training such as improving resident

educational, professional, and economic

levels by providing skills to make them

more employable in the local

community; organizational capacitybuilding for newly created resident

associations; and training residents to

resolve disputes in public housing.

(C) Amount Allocated for EDSS

(1) Amount Allocated. For EDSS,

$47,211,223 is available in funds for

eligible PHAs, Tribes/TDHEs. This

amount includes the FY 98 EDSS

appropriation of $30 million and FY 97

carryover funds of $17,211,223. HUD is

setting aside $5 million of this amount

to fund applications from Tribes/TDHEs

with the remaining available to fund

applications from PHAs.

(a) Both the amount for Tribes/TDHEs

and PHAs will be allocated as follows:

60% will be allocated to Family

Economic Development and Supportive

Services category grants; and the

remaining 40% will be allocated to

Elderly and Disabled Supportive

Services category grants.

(b) A PHA, Tribe/TDHE may submit

one application under the Family

Economic Development and Supportive

Services grant category and/or one

application under the Elderly and

Disabled Supportive Services grant

category.

The maximum number of applications

that a HA may submit is two. If an

applicant is applying for both funding

categories, then it must submit two

separate applications in which the total

amount requested must not exceed the

maximum grant amount available for its

size under the Family Economic

Development and Supportive Services

category.

(2) Maximum Grant Awards. The

maximum grant awards are limited as

follows:

(a) For Family Economic

Development and Supportive Services

category—no more than $250 per unit

up to the below listed maximums:

(i) For PHAs, Tribes/TDHEs with 1 to

780 units, the maximum grant award is

$150,000.
23908 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

(ii) For PHAs, Tribes/TDHEs with 781

to 7,300 units, the maximum grant

award is $500,000.

(iii) For PHAs, Tribes/TDHEs with

7,301 or more units, the maximum grant

award is $1,000,000.

(b) For elderly or Disabled Supportive

Services category—no more than $250

per unit up to the below listed

maximums:

(i) For PHAs, Tribes/TDHEs with 1 to

217 units occupied by Elderly residents

or persons with disabilities, the

maximum grant award is $54,250.

(ii) For PHAs, Tribes/TDHEs with 218

to 1,155 units occupied by Elderly

residents or persons with disabilities,

the maximum grant award is $200,000.

(iii) For PHAs, Tribes/TDHEs with

1,156 or more units occupied by Elderly

residents or persons with disabilities,

the maximum grant award is $300,000.

(3) Tribes/TDHEs should use the

number of units counted as Formula

Current Assisted Stock for Fiscal Year

1998 as defined in 24 CFR 1000.316.

Tribes who have not previously

received funds from the Department

under the 1937 Act should count

housing units under management that

are owned and operated by the tribe and

are identified in their housing inventory

as of September 30, 1997.

(D) Amount Allocated for TOP

$16,884,530 ($5 million in FY 98

appropriations and $11,884,530 in carry

over funds) is available for awards to

qualified applicants to provide technical

assistance and training activities under

the TOP program. The TOP funding will

be distributed to the three grant

categories as follows: Economic SelfSufficiency Grants—$10.9 million,

Organizational Development Grants—$3

million, and Mediation Grants—$3

million. If all funds are not awarded in

one category, funds are transferable to

the other grant categories for use by

qualified applicants.

(1) TOP Grant Categories. TOP

funding is allocated to the following

grant categories:

(a) Economic Self-Sufficiency Grant

(ESSG) provides assistance to Site-Based

Resident Associations (RAs) and

Intermediary Resident Organizations

(IROs), to move welfare dependent

families to work. The applicant must

provide evidence that at least 51% of

those served are households affected by

welfare reform. The funds can be used

for training and technical assistance

which will provide educational, job,

business, and life skills to enable

residents to move towards selfsufficiency and consistent with a needs

assessment. For elderly/disabled

developments, TOP funds can be used

for stipends and training (including

business development training, if

appropriate) for residents to: engage in

day care for children, provide

professional and personal mentoring,

raise grandchildren, and provide other

intergenerational service. When TOP

funds are utilized in this manner, the

elderly residents providing these

services need not be affected by welfare

reform; however, at least 51 percent of

those to be assisted by the services to be

provided by elderly residents must be

affected by welfare reform.

(b) Organizational Development

Grants (ODG) provide assistance to SiteBased Resident Associations who do not

yet have the capacity to administer a

welfare-to-work program or conduct

management activities. The funds will

be targeted to help establish new

resident organizations or enhance the

capacity of existing organizations to

assist residents, participate in Housing

Authority decision-making, manage all

or a portion of their developments, and/

or apply for and administer grants. An

additional grant applicant is not eligible

to apply for this grant.

(c) Mediation Grant provides

assistance to Intermediary Resident

Organizations (IROs) partnering with

professional mediators to resolve

conflicts involving public housing

residents and/or Site-Based Resident

Associations. The skilled mediator/

partners, under the auspices of an IRO,

will bridge impasses between residents

and/or factions within specific

developments, among active

participants of a Site-Based Resident

Association (RA), or between an RA and

its partners, especially local Housing

Authorities. The grant applicant must

apply in partnership with a recognized

professional mediation organization. All

applicants must have entered into at

least one referral agreement with

judicial, law enforcement or social

services agencies to mediate for public

housing residents served by the agency.

After awarding the grants, HUD would

refer cases requiring mediation to the

grantee. Also conflicting parties, on

their own initiative, could request

mediation services directly to the

grantee. While mediating for residents

and their partners, the professional

mediators would also train IRO grantee

staff in mediation principles and skills

for mediation in the future.

(2) TOP Grant Categories’ Amounts.

(a) Basic Grants. Any eligible SiteBased RA in the development that has

not previously received up to the

following amount for an ESS grant or

Organizational Development grant.

(i) ESS grant—Site-Based RAs may

receive up to $100,000 less the value of

any TOP assistance previously received

by the development from an IRO.

(ii) Organizational Development

grant—Site-Based RA may receive up to

$40,000.

(b) Additional Grants (ESS Grant

Only). Any eligible RA selected for a

Resident Management (RM) or a TOP

grant in FYs 1988–1997 (including a

mini grant for start-up activities) that

received less than a total of $100,000

may apply for an Additional Grant for

economic self sufficiency, provided that

the total cumulative RM/TOP funding

for a project site, including Citywide or

Intermediary Grant funds benefiting the

project does not exceed (including

previous grants) the total statutory

maximum of $100,000. Additional Grant

applicants may not apply for an

Organizational Development grant.

(c) Intermediary Grants. (i) Any

eligible NRO, RRO, or SRO may apply

for a single ESS, Organizational

Development or Mediation grant for up

to $250,000. These organizations may

also apply for one grant each in two or

more of the grant categories provided

that the combined amount requested by

the IRO this year does not exceed

$350,000.

(ii) A Jurisdiction-wide Resident

Organization may apply for an ESS, OD

or Mediation grant for an amount of up

to $100,000. A Jurisdiction-wide

Organization may not apply in more

than one grant category.

(iii) An IRO cannot assist RAs that

have already received RM/TOP grants

totaling $100,000 and cannot propose to

provide assistance to a given project that

would result in the project exceeding its

statutory maximum for RM/TOP

funding.

(d) Housing Authority Jurisdiction

Maximum. The amount of funding

available for all applicants that are not

Intermediary Resident Organizations,

that are located within the jurisdiction

of a single housing authority is limited

to the following amounts based on the

size of the housing authority.

(i) For Housing Authorities with one

to 780 units the maximum funding

amount is $700,000.

(ii) For Housing Authorities with 781

to 7,300 units the maximum funding

amount is $1,400,000.

(iii) For Housing Authorities with

more than 7,301 units the maximum

funding amount is $2,100,000.

(E) Eligible Applicants

(1) EDSS Eligible Applicants.

PHAs, Tribes or their TDHEs that

have not received a previous EDSS grant

are eligible applicants.

(2) TOP Eligible Applicants. (a) Public

housing Site-Based Resident Councils,
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23909

Resident Management Corporations and

Intermediary Resident Organizations

which include National Resident

Organizations, Statewide Resident

Organizations, Regional Resident

Organizations, and Jurisdiction wide

Resident Organizations.

(b) Please see Appendix A to this

TOP/EDSS section of the SuperNOFA

for the definition of Intermediary

Resident Organization. Additionally,

Intermediary Resident Organizations

must be registered with the state as nonprofit corporations and have applied for

or received 501(c) status with the U.S.

Internal Revenue Service. Eligible

Intermediary Resident Organizations

must list in their application the name

of the RAs that will receive training or

technical assistance, and submit letters

of support from each entity identified in

the application.

(3) Indian Housing Resident

Organizations are now ineligible to

apply for TOP funding. The President

signed into law the Native American

Housing Assistance and SelfDetermination Act of 1996 (NAHASDA)

on October 26, 1996, which terminated

Indian Housing Assistance under the

U.S. Housing Act of 1937.

(F) EDSS Eligible Activities

EDSS Program funds may be used for

the activities as described below. At

least 75 percent of the persons

participating and receiving benefits

from these activities must be residents

of conventional Public or Indian

Housing. Any other persons (up to 25

percent per grantee) participating or

receiving benefits from these programs

must be recipients of Section 8

assistance.

(1) Family Economic Development

and Supportive Services category.

(a) Economic Development activities.

Activities essential to facilitate

economic uplift and provide access to

the skills and resources needed for selfdevelopment and business

development. Economic development

activities may include:

(i) Entrepreneurship Training (literacy

training, computer skills training,

business development planning).

(ii) Entrepreneurship Development

(entrepreneurship training curriculum,

entrepreneurship courses).

(iii) Micro/Loan Fund. Developing a

strategy for establishing a revolving

micro/loan fund and/or capitalizing a

loan fund.

(iv) Developing credit unions.

Developing a strategy to establish and/

or create onsite credit union(s) to

provide financial and economic

development initiatives to PHA/Tribal/

TDHE residents. (EDSS grant funds

cannot be used to capitalize a credit

union.) The credit union could support

the normal financial management needs

of the community (i.e., check cashing,

savings, consumer loans, microbusinesses and other revolving loans).

(v) Employment training and

counseling (e.g., job training (such as

Step-Up programs), preparation and

counseling, job search assistance, job

development and placement, and

continued follow-up assistance).

(vi) Employer linkage and job

placement.

(b) Supportive Services. The provision

of services to assist eligible residents to

become economically self-sufficient,

particularly families with children

where the head of household would

benefit from the receipt of supportive

services and is working, seeking work,

or is preparing for work by participating

in job-training or educational programs.

Supportive services may include:

(i) Child care, of a type that provides

sufficient hours of operation and serves

appropriate ages as needed to facilitate

parental access to education and job

opportunities.

(ii) Computer based educational

opportunities, skills training, and

entrepreneurial activities.

(iii) Homeownership training and

counseling, development of feasibility

studies and preparation of

homeownership plans/proposals.

(iv) Education including but not

limited to: Remedial education; Literacy

training; Assistance in the attainment of

certificates of high school equivalency;

Two-year college tuition assistance;

Trade school assistance; Youth

leadership skills and related activities

(activities may include peer leadership

roles training for youth counselors, peer

pressure reversal, life skills, goal

planning).

(vi) Youth mentoring of a type that

mobilizes a potential pool of role

models to serve as mentors to public or

Indian housing youth. Mentor activities

may include after-school tutoring, help

with problem resolution issues, illegal

drugs avoidance, job counseling or

mental health counseling.

(vii) Transportation costs, as

necessary to enable any participating

family member to receive available

services to commute to his or her

training or supportive services activities

or place of employment.

(viii) Personal wellbeing (e.g., family/

parental development counseling,

parenting skills training for adult and

teenage parents, and self-development

counseling, etc.).

(ix) Supportive health care services

(e.g., outreach and referral services to

substance and alcohol abuse treatment

and counseling, for example, mental

health).

(x) Contracting for case management

services contracts or employment of

case managers, either of which must

ensure confidentiality about resident’s

disabilities.

(2) Elderly or Disabled Supportive

Services category. Supportive Services

for the elderly and for persons with

disabilities include:

(a) Meal service adequate to meet

nutritional need;

(b) Assistance with daily activities;

(c) Housekeeping aid;

(d) Transportation services;

(e) Wellness programs, preventive

health education, referral to community

resources;

(f) Personal emergency response; and

(g) Congregate services—includes

supportive services that are provided in

a congregate setting at a conventional

HA development.

(3) For both Family Economic

Development and Supportive Services

category and Elderly or Disabled

Supportive Services category grants:

(a) The employment of or contracting

for service coordinators. For the

purposes of this program section of the

SuperNOFA, a service coordinator is

any person who is responsible for one

or more of the following functions:

(i) Assessing the training and

supportive service needs of eligible

residents (for Family Economic

Development and Supportive Service

category grants);

(ii) Working with community service

providers to coordinate the provision of

services and to tailor the services to the

needs and characteristics of eligible

residents;

(iii) Establishing a system to monitor

and evaluate the delivery, impact,

effectiveness and outcomes of

supportive services under this program;

(iv) Coordinating this program with

other independent living or selfsufficiency, education and employment

programs;

(v) Performing other duties and

functions that are appropriate to assist

eligible public and Indian housing

residents to become economically selfsufficient;

(vi) Performing other duties and

functions to assist residents to remain

independent, and to prevent

unnecessary institutionalization; and

(vii) Mobilizing other national and

local public/private resources and

partnerships.

(viii) Any other services and

resources, proposed by the applicant

and approved by HUD and authorized

by the 1998 Appropriations Act that are

determined to be appropriate in

assisting eligible residents.
23910 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

(b) Administrative costs not to exceed

15% of the grant amount.

(c) Stipends. No more than $200 per

participant per month of the grant

award may be used for stipends for

active trainees and EDSS program

participants to cover the reasonable

costs related to participation in training

and other EDSS activities.

(G) EDSS Ineligible Activities

Activities for which costs are

ineligible for funding under the EDSS

Program include:

(1) Payment of wages and/or salaries

to participants receiving supportive

services and/or training programs,

except that grant funds may be used to

hire a resident(s) to coordinate/provide

training program activities.

(2) Purchase or rental of land of

buildings or any improvements to land

or buildings.

(3) Building materials and

construction costs.

(4) The hiring of service coordinators

under the Elderly/Disabled EDSS

category if applicant is also applying for

a Service Coordinators program grant.

(H) TOP Eligible Activities

The following activities have been

categorized based on their general

appropriateness for the requirements of

each grant category. Activities for which

funding under TOP may be provided to

an eligible Site-Based RA or

Intermediary include any combination

of, but are not limited to, the following:

(1) Economic Self-Sufficiency Grant

Applicants.

(a) Social Support Needs (such as

Self-Sufficiency and Youth Initiatives)

including:

(i) Feasibility studies to determine

training and social services needs;

(ii) Training in management-related

trade skills, computer skills, and similar

skills;

(iii) Management-related employment

training and counseling including job

search assistance, job development

assistance, job placement assistance and

follow up assistance;

(iv) Coordination of support services

including: child care services;

educational services remedial

education, literacy training, assistance

in attaining a GED; vocational training

including computer training; health care

outreach and referral services; meal

services for the elderly or persons with

disabilities; personal assistance to

maintain hygiene/appearance for the

elderly or persons with disabilities;

housekeeping assistance for the elderly

or persons with disabilities;

transportation services; congregate

services for the elderly or persons with

disabilities: and case management;

(v) Training for programs such as

child care, early childhood

development, parent involvement,

volunteer services, parenting skills,

before and after school programs;

(vi) Training programs on health,

nutrition, safety and substance abuse;

(vii) Workshops for youth services

including: child abuse and neglect

prevention, tutorial services, youth

leadership skills, youth mentoring, peer

pressure reversal, life skills, and goal

planning. The workshops could be held

in partnership with community-based

organizations such as local Boys and

Girls Clubs, YMCA/YWCA, Boy/Girl

Scouts, Campfire and Big Brother/Big

Sisters, etc.

(viii) Training in the development of

strategies to successfully implement a

youth program. For example, assessing

the needs and problems of the youth,

improving youth initiatives that are

currently active, and training youth,

housing authority staff, resident

management corporations and resident

councils on youth initiatives and

program activities; and

(b) Resident Management Business

Development including:

(i) Training related to resident-owned

business development and technical

assistance for job training and

placement in RMC developments;

(ii) Technical assistance and training

in resident managed business

development through: Feasibility and

market studies; Development of

business plans; Outreach activities; and

Innovative financing methods including

revolving loan funds and the

development of credit unions; and Legal

advice in establishing a resident

managed business entity.

(iii) Training residents, as potential

employees of an RMC, in skills directly

related to the operation, management,

maintenance and financial systems of a

project;

(iv) Training residents with respect to

fair housing requirements; and

(v) Gaining assistance in negotiating

management contracts, and designing a

long-range planning system.

(2) ESS/Organizational Development

Applicants.

(a) Training Board members in

community organizing, Board

development, and leadership training;

(b) Determining the feasibility of and

training existing resident groups for

resident management or for a specific

resident management project or projects;

and

(c) Assisting in the creation of an

RMC, such as consulting and legal

assistance to incorporate, preparing bylaws and drafting a corporate charter.

(d) Develop the management

capabilities of existing resident

organizations.

(e) Homeownership Opportunity

(Determining feasibility for

homeownership by residents, including

assessing the feasibility of other housing

(including HUD owned or held single or

multi-family) affordable for purchase by

residents).

(f) Resident Capacity Building.

(3) Mediation Applicants.

(a) Training programs on mediation

and communication skills;

(b) Training programs on dispute

resolution and reconciliation, including

training addressing racial, ethnic and

other forms of diversity;

(c) Workshops for youth services

including: child abuse and neglect

prevention, tutorial services, youth

leadership skills, youth mentoring, peer

pressure reversal, life skills, and goal

planning. The workshops could be held

in partnership with community-based

organizations such as local Boys and

Girls Clubs, YMCA/YWCA, Boy/Girl

Scouts, Campfire and Big Brother/Big

Sisters, etc.

(d) Training in the development of

strategies to successfully implement a

youth program. For example, assessing

the needs and problems of the youth,

improving youth initiatives that are

currently active, and training youth,

housing authority staff, resident

management corporations and resident

councils on youth initiatives and

program activities; and

(4) General (All TOP Applicants).

(a) Training on HUD regulations and

policies governing the operation of lowincome public housing including

contracting/procurement regulations,

financial management, capacity

building to develop the necessary skills

to assume management responsibilities

at the project and property management;

and training in accessing other funding

sources;

(b) Hiring trainers or other experts. By

law, resident grantees must ensure that

all training is provided by a qualified

public or management specialist

(Consultant/Trainer), HUD Headquarters

or Field staff or the local HA. To ensure

the successful implementation of the

TOP Work Plan activities, the RAs are

required to determine the need to

contract for outside consulting/training

services. The RA and the HA must

jointly select and approve the

consultant/trainer. Each RA should

make maximum use of its HA,

nonprofits, or other Federal, State or

local government resources for technical

assistance and training needs. The

amount allowed for hiring an individual

consultant for this purpose shall not
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23911

exceed 30% of the total grant award or

$30,000, whichever is less. The amount

available for all individual consultants

(not including training firms) and

contracts shall not exceed 50% of the

grant or $50,000 whichever is less. HUD

Field Offices will monitor this process

to ensure compliance with program and

OMB requirements, and particularly the

requirement for competitive bidding.

(c) Stipends, as follows: Trainees and

TOP program participants of a RA may

only receive stipends for participating

in or receiving training under the TOP

to cover the reasonable costs related to

participation in training and other

activities in the TOP program, subject to

the availability of funds. The stipends

should be used for additional costs

incurred during the training programs,

such as child care and transportation

costs. The cost of stipends may not

exceed $200 per month per trainee

without written HUD authorization.

(d) Reimbursement of reasonable

expenses incurred by Officers and Board

members in the performance of their

fiduciary duties and/or training related

to the performance of their official

duties.

(e) Travel directly related to the

successful completion of the required

TOP Work Plan. All grantees must

adhere to the travel policy established

by HUD. The policy sets travel costs at

a maximum amount of $5,000 per RA

(not applicable to intermediaries)

without special HUD approval.

(f) Child care expenses for individual

staff, board members, or residents in

cases where those who need child care

are involved in training-related

activities associated with grant

activities. No more than two percent of

the grant amount may pay for child care

expenses.

(g) Costs directly related to

establishing an RA as a nonprofit

corporation or 501(c) tax exempt status.

(5) Administrative Costs. These costs

are necessary for the implementation of

grant activities. Administrative costs are

not to exceed 25% of the grant unless

the grantee is unable to obtain the

services of a Contract Administrator

without cost in which case

administrative costs are not to exceed

30% of the grant. Appropriate

administrative costs include, but are not

limited to, the following items or

activities:

(a) Purchase or lease of telephone,

computer, printing, copying, and sundry

non-dwelling equipment (such as office

supplies, software, and furniture). A

grantee must justify the need for this

equipment in relationship to

implementing its approved grant

activities. Every effort must be made to

acquire discounted or donated

hardware.

(b) Grant contract and financial

management audit. If a grantee is unable

to obtain the services of a Contract

Administrator or accountant without

charge, the cost for a Contract

Administrator and or accountant is

eligible. The grantee is required to

maintain documentation on file

showing what efforts it made to obtain

the services of a Contract Administrator

cost-free. The cost for an independent

audit should be budgeted separately

from this item.

(c) Technical assistance regarding any

other service and/or resource, including

case management that are proposed by

applicants and approved by HUD.

(d) Rental or lease of a car, van, or bus

by resident grantees to attend training;

(I) TOP Ineligible Activities

Ineligible activities include, but are

not limited to, the following:

(1) Entertainment, including

associated costs such as food and

beverages, except normal per diem for

meals related to travel performed in

connection with implementing the TOP

Work Plan. (See TOP Travel Notice for

more specific guidance.)

(2) Purchase or rental of land or

buildings (including the community

facility) or any improvements to land or

buildings.

(3) Activities not directly related to

the welfare-to-work initiatives (e.g.,

lead-based paint testing and abatement

and operating capital for economic

development activities).

(4) Purchase of any vehicle (car, van,

bus, etc.) or any other property, other

than as described under Section

VII(e)(1) (Eligible Activities) of this

program section of the SuperNOFA,

unless approved by HUD Headquarters

or the local HUD Field Office.

(5) Architectural and engineering fees.

(6) Payment of salaries for routine

project operations, such as security and

maintenance, or for RA staff, except that

a reasonable amount of grant funds may

be used to hire a person to coordinate

the TOP grant activities or coordinate

on-site social services.

(7) Payment of fees for lobbying

services.

(8) Any expenditures that are

fraudulent, wasteful or otherwise

incurred contrary to HUD or OMB

directives.

(9) Any cost otherwise eligible under

this program section of the SuperNOFA

for which funds are being provided from

any other source.

(10) Entertainment equipment such as

televisions, radios, stereos, and VCRs. A

waiver of this item may be granted by

the HUD Field Office or if funding is

being utilized specifically and explicitly

for the purposes of establishing a

business directly related to radio,

television or film or some other form or

technical communication, and

equipment is being utilized for training

of residents or RAs. All such waivers

must be authorized in writing by the

HUD Field Office before purchases may

be made.

(11) For Intermediaries Only. In

addition to the other ineligible activities

listed in this EDSS/TOP section of the

SuperNOFA, intermediaries cannot

provide training and technical

assistance to RAs that have received

TOP funds of $100,000 or that would

result in exceeding the statutory ceiling

by providing more than $100,000 of

training or technical assistance to a

given project site.

(J) Grant Term

For both TOP and EDSS, the grantee

must complete its grant activities within

two years of the execution of the grant

agreement.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Compliance With Civil Rights

Requirements

In addition to compliance with the

civil rights requirements at 24 CFR

5.105, each successful applicant must

comply with the nondiscrimination in

employment requirements of Title VII of

the Civil Rights Act of 1964, 42 U.S.C.

2000e et seq.; the Equal Pay Act, 29

U.S.C. 206(d); the Age Discrimination in

Employment Act of 1967, 29 U.S.C. 621

et seq., and Titles I and V of the

Americans with Disabilities Act, 42

U.S.C. 12101 et seq.

(B) Adhere to the Grant Agreement

After an application has been

approved, HUD and the applicant shall

enter into a grant agreement (Form 1044

and attachments) incorporating the

entire application except as modified by

HUD and setting forth the amount of the

grant and its applicable terms,

conditions, financial controls, payment

mechanism (which except under

extraordinary conditions will operate

under HUD’s Line of Credit Control

System (LOCCS)) and special

conditions, including requiring

adherence to the appropriate OMB

circulars and other government wide

requirements and specifying sanctions

for violation of the agreement. The grant
23912 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

agreement will include additional

information regarding Insurance/

Indemnification, Freedom of

Information Act, grant staff personnel,

exclusion period, earning and benefits,

reports, closeouts, and treatment of

income.

(C) Prior to the initial draw down, all

TOP and EDSS grantees shall have

secured online access to the internet as

a means to communicate with HUD on

grant matters, and EDSS grantees shall

have provided 75% of the required

MTCS data to HUD.

(D) Within three months of HUD grant

approval, successful TOP applicants

who are site-based RAs must have

applied for 501(c) status with the United

States Internal Revenue Service.

(E) Risk Management

Grantees and subgrantees are required

to implement, administer and monitor

programs so as to minimize the risk of

fraud, waste, abuse, and liability for

losses from adversarial legal action.

III. Application Selection Process

Three types of reviews will be

conducted: a screening to determine if

the application submission is complete

and on time (see General Section of the

SuperNOFA and Section IV of this TOP/

EDSS section of the SuperNOFA); a

threshold review to determine applicant

eligibility; and a technical review to rate

the application based on the rating

factors in this Section III.

(A) Additional Threshold Criteria for

Funding Consideration

Under the threshold review, the

applicant will be rejected from the

competition if the applicant is not in

compliance with the threshold

requirements of the General Section of

the SuperNOFA and if the following

additional standards are not met:

EDSS

(1) Focus on Residents Affected by

Welfare Reform. The family EDSS

application must demonstrate evidence

from the HA that at least 51% or more

of the public or Indian housing

residents to be included in the proposed

program are affected by the welfare

reform legislation, including Temporary

Assistance for Needy Families (TANF)

recipients, legal immigrants, and

disabled SSI recipients.

(2) Accessible Community Facility.

The application must provide evidence

(e.g. through an executed use agreement

if the facility is to be provided by an

entity other than the PHA/Tribe/TDHE)

that a majority of the proposed activities

will be administered at community

facilities within easy transportation

access (i.e., walking or by direct (no

transfers required), convenient,

inexpensive and reliable transport), of

the property represented by the HA. The

community facilities must also meet the

structural accessibility requirements of

Section 504 of the Rehabilitation Act

and the Americans With Disabilities

Act.

(3) Leveraging Other Resources. The

budget, the work plan, and

commitments from resources and

services other than the grant for which

the applicant is applying to support the

grant (including Comprehensive Grant,

other governmental units/agencies of

any type and/or private sources,

whether for-profit or not-for-profit) must

clearly evidence that these resources are

firmly committed, will support the

proposed grant activities and will, in

combined amount (including in-kind

contributions of personnel, space and/or

equipment, and monetary contributions)

equal the ED/SS grant amount proposed

in this application. Firmly committed

means there must be a written

agreement to provide the resources. The

written agreement may be contingent

upon an applicant receiving a grant

award. At least 25% of the match

amount must consist of monetary

contribution of funds and the remaining

75% in in-kind or other types of

contributions. Salaries paid for with ED/

SS funds do not qualify as funds from

sources outside HUD. The following are

guidelines for valuing certain types of

contributions:

(i) The value of volunteer time and

services shall be computed at a rate of

six dollars per hour except that the

value of volunteer time and service

involving professional and other special

skills shall be computed on the basis of

the usual and customary hourly rate

paid for the service in the community

where the EDSS activity is located.

(ii) The value of any donated material,

equipment, building, or lease shall be

computed based on the fair market

value at time of donation. Such value

shall be documented by bills of sales,

advertised prices, appraisals, or other

information for comparable property

similarly situated not more than oneyear old taken from the community

where the item or ED/SS activity is

located, as appropriate.

(4) Compliance with Current

Programs. The applicant must provide

certification in the format provided in

the application kit that it is not in

default at the time of application

submission with respect to grants for the

following programs: The Family

Investment Center Program; the Youth

Development Initiative under the

Family Investment Center Program; The

Youth Apprenticeship Program; The

Apprenticeship Demonstration in the

Construction Trades Program; The

Urban Youth Corps Program; The HOPE

1 Program; The Public Housing Service

Coordinator Program; The Public

Housing Drug Elimination Program; and

The Youth Sports Program.

(5) In the case of an HA that is

designated as ‘‘troubled’’ as a result of

its PHMAP score the HA must provide

documentation that a Contract

Administrator (or equivalent

organization that is qualified to

administer federal grants; contracts; or

cooperative agreements as evidence by

information submitted in this

document) will be deployed in the

administration of this proposed grant.

(6) PHMAP Score. An applicant

cannot have a PHMAP score less than a

C for either Indicator #6, Financial

Management or Indicator #8, Resident

Initiatives on its most recent PHMAP.

TOP

(1) Economic Self-Sufficiency Grant

(a) Focus on Residents Affected by

Welfare Reform. The application must

contain written evidence provided by

the HA to the RA that at least 51% or

more of the public housing residents to

be included in the proposed program

are affected by the welfare reform

legislation, including TANF recipients

and, if affected, legal immigrants and

SSI recipients. Elderly or disabled

residents not otherwise affected by

welfare reform may be included towards

meeting the fifty one percent

requirement if, under the grant, they

will provide services such as child care

or mentoring to persons affected by

welfare reform.

(b) Partnership between the Resident

Association and the Housing Authority.

(i) The application must contain a

signed MOU between the RA and the

HA which describes the specific roles,

responsibilities and activities to be

undertaken between the two entities.

(ii) The MOU, at a minimum must

identify the principal parties (i.e. the

name of the HA and RA), the terms of

the agreement (expectations or terms for

each party), and an indication that the

agreement pertains to the support of the

RA TOP grant application. This

document is the basis for foundation of

the relationship between the RA and

HA. It must be precise and outline the

specific duties and objectives to be

accomplished under the grant. All

MOUs must be finalized, dated and

signed by duly authorized officials of

both the RA and HA upon submission

of the application. A sample MOU will

be provided in the application kit.
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23913

This threshold requirement is not

applicable to Intermediary Resident

Organization applicants.

(c) Accessible Community Facility—

The applicant must provide evidence

(e.g. through an executed use agreement

and/or in the MOU with the HA) that a

majority of the proposed activities will

be administered at community facilities

within easy access (i.e., walking or by

direct (no transfers required),

convenient, inexpensive and reliable

transport), of the property represented

by the RA. The community facility must

also meet the structural accessibility

requirements of section 504 of the

Rehabilitation Act and the Americans

with Disabilities Act.

(d) Contract Administrator. Unless

HUD or an Independent Public

Accountant have determined that the

applicant’s financial management

system and procurement procedures

fully comply with 24 CFR part 84, the

application must contain evidence that

the RA will use the services of a

Contract Administrator in administering

the grant. Troubled HAs are not eligible

to be Contract Administrators. In cases

where the Contract Administrator is the

HA, the contract administration

responsibilities can be incorporated into

the MOU discussed in paragraph (g)(3)

above. This requirement does not apply

to Intermediary Resident Organization

applicants.

(e) Applicant Non-Profit Status

(i) RCs/RMCs—Applicant must

submit evidence that the applicant is

registered with the State as a nonprofit

corporation.

(ii) Intermediary Resident

Organizations must submit evidence of

being registered with the State as a

nonprofit corporation; and having

applied for 501(c) status with the United

States Internal Revenue Services.

(f) Certification of Elections—

Applicant must submit certification of

the RA board election as required by

HUD, signed by the local HA and/or an

independent third-party monitor and

notarized. (Not applicable to IROs)

(g) Compliance with Current

Programs. The applicant must provide a

valid certification on the format

provided in the application kit that it is

not the subject of unresolved HUD

Office of Inspector General findings and

that it and the contract administrator are

not in default at the time of application

submission with respect to any previous

HUD funded grant programs the

applicant or another party has received.

(h) Applicants which are Intermediary

Resident Organizations must list in the

application the name of the RAs that

will receive training, technical

assistance and/or coordinated

supportive services and must provide

letters of support from each entity

identified in the application. The

intermediary can not list RAs that have

been previously awarded Resident

Management and/or TOP funds at the

maximum limit of $100,000.

(2) Organizational Development

Grant.

(a) Certification of Elections—

Applicant must submit certification of

the RA board election as required by

HUD, signed by the local HA and/or an

independent third-party monitor and

notarized. (Not applicable to IROs)

(b) Contract Administrator Unless

HUD or an Independent Public

Accountant have determined that the

applicant’s financial management

system and procurement procedures

comply with 24 CFR part 84, the

application must contain evidence that

the RA will use the services of a

Contract Administrator in administering

the grant. Troubled HAs are not eligible

to be Contract Administrators. In cases

where the Contract Administrator is the

HA, the contract administration

responsibilities can be incorporated into

the MOU discussed in paragraph (g)(3)

above. This requirement does not apply

to Intermediary Resident Organization

applicants.

(c) Compliance with Current

Programs. The applicant must provide

certification on the format provided in

the application kit that it and the

contract administrator are not in default

at the time of application submission

with respect to any previous HUD

funded grant programs the applicant or

any other party has received and that

there are no unresolved Office of

Inspector General findings against the

applicant or contract administrator.

(d) Applicants which are Intermediary

Resident Organizations must list in the

application the name of the RAs that

will receive training, technical

assistance and/or coordinated

supportive services and must provide

letters of support from each entity

identified in the application. The

intermediary can not list RAs that have

been previously awarded Resident

Management and/or TOP funds at the

maximum limit of $100,000.

(3) Mediation Grant. For mediation

grants, the applicant must meet the

following requirements:

(a) Written Agreement with Mediator.

Have a written agreement with

professional mediator or mediation

organization (mediator/partner) with

roles and responsibilities of each party,

as well as any compensation to the

mediator/partner (which must be

reasonable and based on the work to be

performed) defined. The written

agreement must specify, consistent with

the work plan, that the mediator/partner

will train IRO staff and/or volunteers

such that the IRO will be capable of

providing mediation assistance

independently by the end of the grant

term;

(b) Mediation Experience/Referral

Agreement. Provide evidence that its

mediator/partner have at least three

years of experience in providing

mediation services and at least two

years of experience in mediation

training; and include one referral

agreement with a judicial, law

enforcement or social service agency

such as the court system or Welfare

Department for mediation referral of

public housing residents.

(c) Applicant Non-Profit Status.

Intermediary Resident Organizations

must be registered with the State as a

nonprofit corporation; and have applied

for 501(c) status with the United States

Internal Revenue Services.

(d) Compliance with Current

Programs. The applicant must provide

certification on the format provided in

the application kit that it and the

mediation partner are not in default at

the time of application submission with

respect to any previous HUD funded

grant programs the applicant has

received and that there are no

unresolved Office of Inspector General

findings against the applicant or

mediation partner.

(B) Factors for Award Used to Evaluate

and Rate EDSS and TOP Applications

The following information does not

apply to TOP organizational

development applicants which will be

selected by lottery.

The factors for rating and ranking

applicants and maximum points for

each factor are provided below. The

points awarded for the factors total 100.

Applicants are eligible two EZ/EC bonus

points, as described in the General

Section of the SuperNOFA. An EDSS

application must receive a total of 75

points out of 100 and a TOP application

must receive a total of 65 points out of

100 in order to be eligible for funding.

EDSS Selection Factors

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. In rating

this factor HUD will consider the extent

to which the proposal demonstrates:

(1) Proposed Program Staffing (7

Points)
23914 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

(a) Experience. (4 Points): The

knowledge and experience of the overall

proposed project director and staff,

including the day-to-day program

manager, sub-recipients and partners in

planning and managing programs for

which funding is being requested.

Experience will be judged in terms of

recent, relevant and successful

experience of the applicant’s staff to

undertake eligible program activities.

(b) Sufficiency. (3 Points): The

applicant, its sub-recipients, and

partners have sufficient personnel or

will be able to quickly access qualified

experts or professionals, to deliver the

proposed activities in each proposed

service area in a timely and effective

fashion, including the readiness and

ability of the applicant to immediately

begin the proposed work program. To

demonstrate that the applicant must

submit the proposed number of staff

years by the employees and experts to

be allocated to the project, the titles and

relevant professional background and

experience of each employee and expert

proposed to be assigned to the project

and the roles to be performed by each

identified employee and expert.

(2) Program Administration and

Fiscal Management (7 Points)

(a) Program Administration. (4

Points): The soundness of the proposed

management of the proposed ED/SS

program. In order to receive a high score

an applicant must provide a

comprehensive description of the

project management structure, including

the use of a contract administrator, if

applicable. The narrative must provide

a description of how any co-applicants,

subgrantees and other partner agencies

relate to the program administrator as

well as the lines of authority and

accountability among all components of

the proposed program.

(b) Fiscal Management. (3 Points):

The soundness of the applicant’s

proposed fiscal management. In order to

receive a high score an applicant must

provide comprehensive description of

the fiscal management structure,

including but not limited to budgeting,

fiscal controls and accounting. The

application must identify the staff

responsible for fiscal management, and

the processes and timetable for

implementation during the proposed

grant period.

(3) Applicant/Administrator Track

Record (6 Points): Based on the

applicant’s or if a Contract

Administrator is proposed, the

Administrator’s prior performance in

successfully carrying out grant programs

designed to assist residents in

increasing their self-sufficiency, security

or independence. In order to receive a

high score the applicant must

demonstrate its (or the proposed

Administrator’s) program compliance

and successful implementation of any of

resident self-sufficiency, security or

independence oriented grants

(including those listed below) awarded

to the applicant or overseen by the

Administrator. Applicants or

Administrators with no prior experience

in operating programs that foster

resident self-sufficiency, security or

independence will receive a score of 0

on this factor. The applicant’s past

experience may include but is not

limited to administering the following

grants: The Family Investment Center

Program; The Youth Development

Initiative under the Family Investment

Center Program; The Youth

Apprenticeship Program; The

Apprenticeship Demonstration in the

Construction Trades Program; The

Urban Youth Corps Program; The HOPE

1 Program; The Public Housing Service

Coordinator Program; The Public

Housing Drug Elimination Program; and

The Youth Sports Program.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

Family EDSS applicants will be rated

on (1) (a)(i)—(a)(vi). Elderly/Disabled

applicants will be rated on (2)(a)-(c).

This factor addresses the extent to

which there is a need for funding the

proposed program activities to address a

documented problem in the target area.

Applicants will be evaluated on the

extent to which they document a critical

level of need in the development or the

proposed activities in the area where

activities will be carried out. In

responding to this factor, applicants will

be evaluated on:

(1) A Needs Assessment Document

(18 Points): HUD will award up to 18

points based on the quality and

comprehensiveness of the needs

assessment document. In order to obtain

maximum points for Family Economic

Development and Supportive Services

Category applications, this document

must contain statistical data which

provides:

(a) A thorough socioeconomic profile

of the eligible residents in relationship

to HA-wide and national public and

Indian housing data on residents:

(i) Who are on TANF, SSI benefits, or

other fixed income arrangements;

(ii) In job training, entrepreneurship,

or community service programs; and

(iii) Who are employed.

(iv) Specific information should be

provided on training, contracting and

employment through the HA.

(v) An assessment of the current

service delivery system as it relates to

the needs of the target population,

including the number and type of

services, the location of services, and

community facilities currently in use,

(vi) A description of the goals,

objectives, and program strategies that

will result in successful transition of

residents from welfare-to-work.

(2) In order to obtain maximum points

for Elderly and Disabled Supportive

Services Category applications, this

document should contain statistical data

which provides:

(a) The numbers of residents

indicating need for assistance for

activities of daily living.

(b) An assessment of the current

service delivery system as it relates to

the needs of the target population,

including the number and type of

services, the location of services, and

community facilities currently in use.

(c) A description of the goals,

objectives, and program strategies that

will result in increased independence

for proposed program participants.

(2) Level of Priority in Consolidated

Plan. (2 Points): Documentation of the

level of priority the locality’s, or in the

case of small cities, the State’s

Consolidated Plan has placed on

addressing the needs. Applicants may

also address needs in terms of fulfilling

the requirements of court actions or

other legal decisions or which expand

upon the Analysis of Impediments to

Fair Housing choice (AI) to further fair

housing. Applicants that address needs

that are in the community’s

Consolidated Plan, AI, or a court

decision, or identify and substantiate

needs in addition to those in the AI, will

receive a greater number points than

applicants which do not relate their

proposed program to the approved

Consolidated Plan or Analysis of

Impediments to Fair Housing Choice or

court action. There must be a clear

relationship between the proposed

activities, community needs and the

purpose of the program funding for an

applicant to receive points for this

factor. For Tribes/TDHEs, the Indian

Housing Plan would be the document to

review for this information.

Rating Factor 3: Soundness of Approach

(40 Points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed work plan. In rating this factor

HUD will consider: the viability and

comprehensiveness of strategies to

address the needs of residents; budget

appropriateness/efficient use of grant;

the speed at which the applicant can

realistically accomplish the goals of the

proposed EDSS program; the soundness

of the applicant’s plan to evaluate the
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23915

success of its proposed EDSS program at

completion and during program

implementation; and resident and other

partnerships; and policy priorities.

(1) Viability and comprehensiveness

of the strategies to address the needs of

residents (19 Points): The score in this

factor will be based on the viability and

comprehensiveness of strategies to

address the needs of residents. HUD

will award up to 19 points based on the

following:

(a) Services (13 Points for Family

EDSS applicants and 19 Points for

Elderly/Disabled applicants; more

points are awarded in the Elderly/

Disabled application in order to balance

other sections of the rating criteria

where points are not applicable to an

Elderly/Disabled applicant): The score

in this factor will be based on the

following:

(i) For Family Economic Development

and Supportive Services Category

applications, applicant provides a

comprehensive description of how the

applicant’s plan provides services that

specifically address the successful

transition from welfare to work of nonelderly families. To receive a high score,

the applicant should include case

management/counseling, job training/

development/placement (and/or

business training/development/startup),

child care and transportation. Also, in

order to receive maximum points, goals,

and objectives of the proposed plan, the

plan must represent significant

achievements related to welfare-to-work

and other self-sufficiency/independence

goals. Specifically for those residents

affected by welfare reform, the number

of residents employed or resident

businesses started are preferable to the

number of residents receiving training.

(ii) For Elderly and Disabled

Supportive Services Category

applications, applicant could include

case management, health care,

congregate services and transportation.

To obtain maximum points the services

must be located in a community facility

and be available on a 12 hour basis or

as needed by the eligible residents.

(b) Resident Contracting and

Employment (3 Points): The score in

this factor will be based on the extent

to which residents will achieve selfsufficiency through the applicant

contracting with resident owned

businesses and through resident

employment. A high score will be

awarded where there is documentation

(letter or resolution) describing the HA’s

commitment to hire at least 15% of

residents or contract at least 15% of

residents and a narrative describing the

reasonable number of jobs or contracts,

as well as the training processes related

to the comprehensive plan. Elderly and

Disabled Supportive Services Category

applications will not be scored on this

criterion.

(c) Rent Reform and Occupancy

Incentives (3 Points): The score in this

factor will be based on the degree to

which the applicant has implemented,

proposes to implement or collaborates

with a public welfare department to

implement incentives designed to

promote resident self-sufficiency

including but not limited to: ceiling

rents, rent exclusions, rent escrows,

occupancy preferences for applicants

who work or who are in a selfsufficiency program, stipends, or

income disregards. A high score is

received if the applicant can show how

the incentives complement the purposes

of the program activities for which the

applicant is seeking funding. Elderly

and Disabled Supportive Services

Category applications will not be scored

on this criterion.

(2) Budget appropriateness/efficient

use of grant (5 Points): Up to 5 points

based on the extent to which the

proposed ED/SS program will result in

a lower total ED/SS program cost per

dwelling unit to be served in the

program in comparison to other

applications under ED/SS. For the

purposes of this selection factor,

applicants may only count dwelling

units currently under an annual

contributions contract at the time of

application submission.

Tribes/TDHEs should use the number

of units counted as Formula Current

Assisted Stock for Fiscal Year 1998 as

defined in 24 CFR 1000.316. Tribes who

have not previously received funds from

the Department under the 1937 Act

should count housing units under

management that are owned and

operated by the tribe and are identified

in their housing inventory as of

September 30, 1997. The procedure for

determining the score is outlined below.

(a) HUD will combine all of the perunit amounts, rounded to the nearest

whole dollar, into a single nationwide

list in order from the lowest cost per

unit to the highest cost per unit. HUD

will take the total number of grant

applications that have met the

prerequisites to be scored and divide

them by the score for this factor (i.e. 5)

to establish a scoring increment.

(b) HUD will start at the lowest perunit amount and count one scoring

increment into the list (i.e. 1/5th of the

way into the list). The per-unit amount

at that location will constitute a

breakpoint. HUD will count the next

scoring increment into the list and

establish another breakpoint. The

process will be repeated to establish 5

segments of per-unit costs. In the event

that multiple applications share the

same per-unit cost at a breakpoint, the

breakpoint will be adjusted by $1 higher

or lower than that of the initial

breakpoint to achieve as close as

possible a 1/5th segment.

(c) Once all of the breakpoints have

been established as outlined, HUD will

enter the score. All applications with a

cost per unit below that of the first

breakpoint will receive a score of 5;

those with a cost per unit lower than the

second breakpoint will receive a score

of 4; etc.

(3) Reasonableness of the timetable (2

Points for Family EDSS applicants and

4 Points for Elderly/Disabled

applicants); (more points are awarded in

the Elderly/Disabled application in

order to balance other sections of the

rating criteria where points are not

applicable to Elderly/Disabled

applicant):

The score in this factor will be based

on the speed at which the applicant can

realistically accomplish the goals of the

proposed ED/SS program. To receive a

high score, the applicant must

demonstrate that it will make

substantial progress within the first six

months after grant execution including

putting staff in place, finalizing

partnership arrangements, completing

the development of requests for

proposals and achieving other

milestones that are prerequisites for

implementation of the program. In

addition the applicant must

demonstrate that the proposed timetable

for all components of the proposed

program is reasonable considering the

size of the grant and its activities and

that it can accomplish its objectives

within the 24 month time limit.

(4) Program Assessment. (3 Points):

The score in this factor will be based on

the soundness of the applicant’s plan to

evaluate the success of its proposed

EDSS program both at the completion of

the program and during program

implementation. At a minimum, the

applicant must track the goals and

objectives of the proposed work plan

program. HUD will rate more favorably

applicants which can track specific

measurable achievements for the use of

program funds, such as number of

residents employed, salary scales of jobs

obtained, persons removed from welfare

roles 12 months or longer, and number

of persons receiving certificates for

successful completion of training in

careers such as computer technology.

(5) Resident and Other Partnerships

(11 Points for Family EDSS applicants

and 9 Points for Elderly/Disabled

applicants)
23916 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

(a) Resident Involvement in ED/SS

Activities (3 Points for Family EDSS

applicants and 4 Points for Elderly/

Disabled applicants); more points are

awarded in the Elderly/Disabled

application in order to balance other

sections of the rating criteria where

points are not applicable to Elderly/

Disabled applicants): The score in this

factor will be based on the extent of

resident involvement in developing the

proposed EDSS program as well as the

extent of proposed resident involvement

in implementing the proposed EDSS

program. In order to receive a high score

on this factor the applicant must

provide documentation that describes

the involvement of residents in the

planning phase for this program, and a

commitment to provide continued

involvement in grant implementation.

In order to receive maximum points a

memorandum of understanding or other

written agreement between the

applicant and the appropriate Resident

Associations must be included.

(b) Other Partnerships (3 Points): The

score in this factor will be based on the

successful integration of partners into

implementation of the proposed EDSS

program. In order to receive a high score

an applicant must provide a signed

Memorandum of Understanding (MOU)

(or other equivalent signed

documentation provided that it

delineates the roles, responsibilities of

each of the parties and the benefits they

will receive) that delineates specific

partnerships related to the components

in the comprehensive plan. In assessing

this factor HUD will examine a number

of aspects of the proposed partnership

including:

(i) The division of responsibilities/

management structure of the proposed

partnership relative to the expertise and

resources of the partners;

(ii) The extent to which the

partnership as a whole addresses a

broader level of unmet resident needs:

the extent to which the addition of the

partners provides the ability to meet

needs that the applicant could not

otherwise meet without the partner(s).

(c) Overall Relationship/TOP

Coordination (3 Points): For Family

EDSS applicants, the score in this factor

will be based on the extent of

coordination between the applicant’s

proposed EDSS program and any/all

existing or proposed TOP programs

sponsored by RAs within the applicant’s

jurisdiction. In order to receive a high

score the application must contain an

MOU that describes collaboration

between HA staff and residents on all of

the specific components related to the

work plan of both the proposed or

current TOP and EDSS programs. If

there are no existing and no proposed

TOP grants within the jurisdiction of the

applicant, the score for this factor will

be 0. Elderly/Disabled applications will

not be scored on this criterion. In

addition, if all of the resident groups

eligible to apply for TOP within the

applicant’s jurisdiction have already

received TOP grants and will have

completed the activities, the applicant

will not be scored on this criterion.

(6) Policy Priorities (2 Points):

Documentation of the extent to which

policy priorities of the Department are

furthered by the proposed activities.

Such Department policy priorities are:

(1) Affirmatively furthering fair housing

by promoting greater opportunities for

housing choice for minorities and the

disabled; (2) Promoting healthy homes;

(3) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(4) Providing enhanced economic, social

and/or living environments in

Empowerment Zones or Enterprise

communities; and (5) Providing

educational and job training

opportunities through such initiatives as

Neighborhood Networks, Campus of

Learners and linking programs to

AmeriCorps activities. To obtain the full

two points in this category, at least three

of these five policy priorities must be

addressed.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the ability of the

applicant to secure community

resources (note: financing is a

community resource) which can be

combined with HUD’s program

resources to achieve program purposes.

In evaluating this factor HUD will

consider:

The extent to which the applicant has

partnered with other entities to secure

additional resources to increase the

effectiveness of the proposed program

activities. Resources may include

funding or in-kind contributions, such

as services or equipment, allocated to

the purpose(s) of the award the

applicant is seeking. Resources may be

provided by governmental entities,

public or private nonprofit

organizations, for-profit private

organizations, or other entities willing

to partner with the applicant.

Applicants may also partner with other

program funding recipients to

coordinate the use of resources in the

target area.

For programs which have a matching

requirement, rating points for this factor

will be allocated based upon the extent

to which an applicant has exceeded the

program’s minimum match requirement.

If the applicant meets the match

requirement they will receive up to an

additional 5 points; depending on the

extent to which the match requirement

is exceeded.

Applicants must provide evidence of

leveraging/partnerships by including in

the application letters of firm

commitments, memoranda of

understanding, or agreements to

participate from those entities identified

as partners in the application. To be

firmly committed there must be a

written agreement to provide the

resources. The written agreement may

be contingent upon an applicant

receiving a grant award. Each letter of

commitment, memorandum of

understanding, or agreement to

participate should include the

organization’s name, proposed level of

commitment and responsibilities as they

relate to the proposed program. The

commitment must also be signed by an

official of the organization legally able

to make commitments on behalf of the

organization.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

This factor addresses the extent to

which the applicant’s program reflects a

coordinated, community-based process

of identifying needs and building a

system to address the needs by using

available HUD funding resources and

other resources available to the

community.

In evaluating this factor HUD will

consider:

(1) Coordination with the

Consolidated Plan (2 Points for Family

EDSS applicants and 6 points for

Elderly/Disabled applicants; more

points are awarded in the Elderly/

Disabled application in order to balance

other sections of the rating criteria

where points are not applicable to an

Elderly/Disabled application.)

The extent to which the application

demonstrates the applicant has

reviewed the community’s Consolidated

Plan and/or Analysis of Impediments to

Fair Housing Choice, and has proposed

activities that address the priorities,

needs, goals or objectives in those

documents; or substantially further fair

housing choice in the community. For

tribes/TDHEs the Indian Housing Plan

would be the document to review for

information.

(2) For Family EDSS Applications,

Coordination with the State or Tribal

Welfare Plan (4 Points): Provide

evidence that the proposed EDSS

program has been coordinated with and

supports the housing authority’s efforts

to increase resident self-sufficiency and
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23917

is coordinated and consistent with the

State or Tribal Welfare Plan.

(3) Coordination with Other Activities

(4 Points): The extent to which the

application demonstrates that the

applicant in carrying out program

activities will develop linkages with:

other HUD funded program activities

proposed or on-going in the community;

or other State, Federal or locally funded

activities proposed or on-going in the

community which, taken as a whole,

support and sustain a comprehensive

system to address the needs.

TOP Selection Factors for Economic

Self-Sufficiency Grants

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 points)

This factor addresses the extent to

which the applicant has assembled the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. Since TOP

grantees are generally prohibited from

hiring staff with TOP funds, Site-Based

Resident Association applicants will be

rated based largely on the capacity of

the Contract Administrator and partners

contributing additional resources. In

rating this factor HUD will consider the

applicant’s:

(1) Staffing. (7 Points)

(a) Experience. (4 Points): The

knowledge and experience of the overall

proposed applicant’s, Contract

Administrator’s and/or partners’ project

director and staff, including the day-today program manager, in planning and

managing programs for which funding is

being requested. Experience will be

judged in terms of recent, relevant and

successful experience of the applicant’s

staff to undertake eligible program

activities.

(b) Sufficiency. (3 Points): The

applicant, Contract Administrator (if

any) and partners have sufficient

personnel or will be able to access

quickly qualified experts or

professionals, to deliver the proposed

activities in each proposed service area

in a timely and effective fashion,

including the readiness and ability of

the applicant to immediately begin the

proposed work program. To

demonstrate that, the applicant must

submit the proposed number of staff

years by the employees and experts to

be allocated to the project, the titles and

relevant professional background and

experience of each employee and expert

proposed to be assigned to the project

and the roles to be performed by each

identified employee and expert.

(2) Program Administration and

Fiscal Management (7 points)

(a) Program Administration (4 Points):

The soundness of the proposed

management of the proposed TOP

program. In order to receive a high score

an applicant must provide a

comprehensive description of the

project management structure, including

the use of a contract administrator, if

applicable. The narrative must provide

a description of how any co-applicants,

subgrantees and other partner agencies

relate to the program administrator as

well as the lines of authority and

accountability among all components of

the proposed program.

(b) Fiscal Management (3 Points): The

soundness of the applicant’s proposed

fiscal management. In order to receive a

high score an applicant must provide

comprehensive description of the fiscal

management structure, including but

not limited to budgeting, fiscal controls

and accounting. The application must

explain the staff responsible for fiscal

management, and the processes and

timetable for implementation during the

proposed grant period.

(3) Applicant/Administrator Track

Record/Capability (6 Points): In

assessing this factor, HUD will consider

the soundness of the prior experience of

the Applicant and the Contract

Administrator (if applicable) in

successfully carrying out resident

services programs designed to assist

residents in increasing their selfsufficiency, security or independence. A

high score is received if the Applicant

or Administrator can demonstrate

compliance and successful

implementation (i.e., completion of

grant implementation plan tasks) of

prior resident services programs.

Applicants and Contract Administrators

with no prior experience in operating

programs that foster resident selfsufficiency, security or independence

will receive a score of 0 on this factor.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

This factor addresses the extent to

which there is a need for funding the

proposed program activities to address a

documented problem in the target area.

Applicants will be evaluated on the

extent to which they document a well

specified and critical need in the

development of the proposed activities

in the area where activities will be

carried out. In responding to this factor,

applicants will be evaluated on:

(1) Needs Assessment Document (18

Points): HUD will award up to 18 points

based on the quality and

comprehensiveness of the needs

assessment document. In order to obtain

maximum points this document must

contain statistical data which provides:

(a) A thorough socioeconomic profile

of the eligible residents in relationship

to HA-wide and national public housing

data on residents. The profile should

include residents: on TANF, SSI

benefits, or other fixed income

arrangements; in job training,

entrepreneurship, or community service

programs; and employed;

(b) Specific information should be

provided on training, contracting and

employment through the HA;

(c) An assessment of the current

service delivery system as it relates to

the needs of the target population,

including the number and type of

services, the location of services, and

community facilities currently in use.

(2) Level of Priority in Consolidated

Plan (2 Points): Documentation of the

level of priority the locality’s, or in the

case of small cities, the State’s

Consolidated Plan has placed on

addressing the needs. Applicants may

also address needs in terms of fulfilling

the requirements of court actions or

other legal decisions or which expand

upon the Analysis of Impediments to

Fair Housing choice (AI) to further fair

housing. Applicants that address needs

that are in the community’s

Consolidated Plan, AI, or a court

decision, or identify and substantiate

needs in addition to those in the AI, will

receive a greater number points than

applicants which do not relate their

proposed program to the approved

Consolidated Plan or Analysis of

impediments to Fair Housing Choice or

court action. There must be a clear

relationship between the proposed

activities, community needs and the

purpose of the program funding for an

applicant to receive points for this

factor.

Rating Factor 3: Soundness of Approach

(40 Points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed work plan. In rating this factor

HUD will consider: the viability and

comprehensiveness of strategies to

address the needs of residents; budget

appropriateness/efficient use of grant;

the speed at which the applicant can

realistically accomplish the goals of the

proposed TOP program; the soundness

of the applicant’s plan to evaluate the

success of its proposed TOP program at

completion and during program

implementation; and resident and other

partnerships. Tribes/TDHEs should use

the number of units counted as Formula

Current Assisted Stock for Fiscal Year

1998 as defined in 24 CFR 1000.316.

Tribes that have not previously received

funds from the Department under the

1937 Act should count housing units
23918 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

under management that are owned and

operated by the tribe and are identified

in their housing inventory as of

September 30, 1997.

(1) Viability and comprehensiveness

of the strategies to address the needs of

residents (11 Points): The score in this

factor will be based on the extent and

comprehensiveness of the training and

related services that will be provided as

well as the extent that the proposed

training and related services will

contribute to providing for unmet

resident needs identified in the required

Needs Assessment Report.

To receive a high score applicants

must provide a comprehensive

description of how the proposed plan

provides training and related services

that specifically address the successful

transition from welfare to work and/or

maintaining independence of elderly

families and persons with disabilities by

avoiding institutionalization. To obtain

maximum points the training and

related services must be located in the

community facility and be available as

needed by the eligible residents. Also,

in order to receive maximum points,

goals and objectives of the proposed

plan must represent significant

achievements related to welfare-to-work

and other self-sufficiency/independence

goals. Specifically, for residents affected

by welfare reform, the number of

residents employed or resident

businesses started are preferable to the

number of residents receiving training.

Intermediary Resident Organizations

will receive points under this Viability

and Comprehensiveness factor (as

outlined above) based on the training

and related services for each of the

project sites the Intermediary Resident

Organization proposes to assist.

(2) Budget Appropriateness/Efficient

Use of Grant Funds (6 Points): The score

in this factor will be based on the

following:

(a) Detailed Budget Break-Out: The

extent to which the application includes

a detailed budget break-out for each

budget category in the SF–424A.

(b) Reasonable administrative costs.

The extent to which the application

includes reasonable administrative costs

within the 25%–30% administrative

cost ceiling.

(c) Budget Efficiency. The extent to

which the application requests funds

commensurate with the level of effort

necessary to accomplish the goals and

objectives and the estimated costs to the

government are reasonable in

relationship to the anticipated results.

(3) Reasonableness of the timetable (1

Point): The score in this factor will be

based on the speed at which the

applicant can realistically accomplish

the goals of the proposed TOP program.

To receive a high score, the applicant

must demonstrate that the proposed

timetable for all components of the

proposed program is reasonable (i.e., a

given task is allotted the amount of time

it would normally take to accomplish

such a task) and that the applicant can

accomplish the proposed

implementation plan objectives within

the 24 month time limit. The applicant

must also demonstrate that it will make

substantial progress within the first six

months after grant execution.

(4) Policy Priorities (2 Points):

Documentation of the extent to which

policy priorities of the Department are

furthered by the proposed activities.

Such Department policy priorities are:

(1) Affirmatively furthering fair housing

by promoting greater opportunities for

housing choice for minorities and the

disabled; (2) Promoting healthy homes;

(3) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(4) Providing enhanced economic, social

and/or living environments in

Empowerment Zones or Enterprise

communities; and (5) Providing

educational and job training

opportunities through such initiatives as

Neighborhood Networks, Campus of

Learners and linking programs to

AmeriCorps activities. To obtain the full

two points in this category, at least three

of these five policy priorities must be

addressed.

(5) Housing Authority-Resident

Association Partnership (8 Points)

(a) The score in this factor will be

based on the extent of coordination

between the applicant’s proposed TOP

program and any/all existing or

proposed HA resident services programs

that assist residents in increasing their

self-sufficiency, security or maintaining

their independence by avoiding

institutionalization. In order to receive a

high score the application must contain

an MOU (between the HA and the RA)

which describes collaboration between

HA staff and residents on all of the

specific components related to the

implementation plans of both the

proposed TOP program and the resident

services programs of the housing

authority.

(b) Intermediary Resident

Organizations will receive points under

this Housing Authority-Resident

Association Program Partnership factor

based on the extent to which the

Intermediary Resident Organization can

demonstrate that the housing authorities

for each of the project sites the

Intermediary Resident Organization

proposes to assist have agreed to

support and coordinate their efforts

with those of the Intermediary Resident

Organization in assisting the project

sites.

(6) Other Partnerships (4 Points): The

score in this factor will be based on the

successful integration of partners into

implementation of the proposed TOP

program. In order to receive a high score

an applicant must provide an MOU or

other equivalent documentation that

delineates specific partnerships related

to the components in the

comprehensive plan. In assessing this

factor HUD will examine a number of

aspects of the proposed partnership

including:

(a) The soundness of the division of

responsibilities/management structure

of the proposed partnership relative to

the expertise and resources of the

partners;

(b) The extent to which the

partnership as a whole addresses a

broader range of resident needs: the

extent to which the addition of the

partners provides the ability to meet

needs more cost effectively or efficiently

than the applicant or its partners could

achieve individually without forming

the partnership.

(7) Resident Involvement (4 Points)

(a) The score in this factor will be

based on the extent of resident

involvement in developing the proposed

TOP program as well as the extent of

proposed resident involvement in

implementing the proposed TOP

program. In order to receive a high score

on this factor the applicant must

provide verifiable documentation which

describes the involvement of affected

residents in the planning phase for this

program, and a commitment by the

Resident Association to provide

continued involvement in grant

implementation. In order to receive

maximum points the application must

contain a resolution from the

appropriate RA(s) which includes

signatures from the resident community.

(b) Intermediary Resident

Organizations will receive points under

this Resident Involvement factor based

on the demonstrated level of

coordination of efforts between the RA

for each of the project sites the

Intermediary Resident Organization

proposes to assist and the Intermediary

Resident Organization. Higher points

will be awarded to the extent that RAs

proposed to be assisted have taken the

preliminary steps to take advantage of

the assistance proposed for their site by

the Intermediary Resident Organization.

For example, the RA for the proposed

site has organized itself and selected its

leadership and obtained basic training

from the HA or other community

organizations.
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23919

(8) Program Assessment. (4 Points):

The score in this factor will be based on

the soundness of the applicant’s plan to

evaluate the success of its proposed

EDSS program both at the completion of

the program and during program

implementation. At a minimum, the

applicant must track the goals and

objectives of the proposed work plan

program. HUD will rate more favorably

applicants which can track specific

measurable achievements for the use of

program funds, such as number of

residents employed, salary scales of jobs

obtained, persons removed from welfare

roles 12 months or longer, and number

of persons receiving certificates for

successful completion of training in

careers such as computer technology.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the ability of the

applicant to secure community

resources. In evaluating this factor HUD

will consider: The extent to which the

commitment letters or the equivalent

can demonstrate that resources outside

the TOP Program (including existing

Federal, state, local, non-profit, and/or

private resources) are to be utilized in

the applicant’s proposed program. The

resources will be measured based on a

ratio of applicant’s value of in-kind

contributions and funds committed for

the proposed effort.

Applicants must provide evidence of

leveraging/partnerships by including in

the application letters of firm

commitments, memorandum of

understanding, or agreements to

participate from those entities identified

as partners in the application. To be

firmly committed, there must be a

written agreement to provide the

resources. The written agreement may

be contingent upon an applicant

receiving a grant agreement. Each letter

of commitment, memorandum of

understanding, or agreement to

participate should include the

organization’s name, proposed level of

commitment and responsibilities as they

relate to the proposed program. The

commitment must also be signed by an

official of the organization legally able

to make commitments on behalf of the

organization.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

This factor addresses the extent to

which the applicant’s program reflects a

coordinated, community-based process

of identifying needs and building a

system to address the needs by using

available HUD funding resources and

other resources available to the

community.

In evaluating this factor HUD will

consider:

(1) Coordination with the

Consolidated Plan (2 Points): The extent

to which the application demonstrates

the applicant has reviewed the

community’s Consolidated Plan and/or

Analysis of Impediments to Fair

Housing Choice, and has proposed

activities that address the priorities,

needs, goals or objectives in those

documents; or substantially further fair

housing choice in the community.

(2) Coordination with the State

Welfare Plan (4 points): Provide

evidence that the proposed TOP has

been coordinated with and supports the

housing authority’s efforts to increase

resident self-sufficiency and is

coordinated and consistent with the

State Welfare Plan.

(3) Coordination with Other Activities

(4 Points): The extent to which the

application demonstrates that the

applicant, in carrying out program

activities, will develop linkages with:

other HUD funded program activities

proposed or on-going in the community;

or other State, Federal or locally funded

activities proposed or on-going in the

community which taken as a whole

support and sustain a comprehensive

system to address the needs.

Selection Factors for TOP

Organizational Development Grant

Applicants are not required to address

selection factors for the Organizational

Development Grant category. HUD will

use a lottery system to select applicants

for this category.

Selection Factors for TOP Mediation

Grant

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which the applicant and mediation

partner have the organizational

resources necessary to successfully

implement the proposed activities in a

timely manner. In rating this factor HUD

will consider the applicant’s:

(1) Staffing (7 points)

(a) Experience. (4 Points): The

knowledge and experience of the overall

proposed project director and staff,

including the day-to-day program

manager(s), for both the applicant and

mediation partner in planning and

managing programs for which funding is

being requested. Experience will be

judged in terms of recent, relevant and

successful experience of the staff to

undertake eligible program activities.

(b) Sufficiency. (3 Points): The

applicant and mediation partner have

sufficient personnel or will be able to

quickly access qualified experts or

professionals, to deliver the proposed

activities in each geographical territory

in a timely and effective fashion,

including the readiness and ability of

the applicant to immediately begin the

proposed work program. To

demonstrate that the applicant must

submit the proposed number of staff

years by the employees and experts to

be allocated to the project, the titles and

relevant professional background and

experience of each employee and expert

proposed to be assigned to the project

and the roles to be performed by each

identified employee and expert.

(2) Program Administration and

Fiscal Management (13 points)

(a) Program Administration. (4

Points): The soundness of the proposed

management of the proposed TOP

program. In order to receive a high score

an applicant must provide a

comprehensive description of the

project management structure. The

narrative must provide a description of

how the mediation partner relates to the

applicant as well as the lines of

authority and accountability among all

components of the proposed program.

(b) Fiscal Management (3 Points): The

soundness of the applicant’s proposed

fiscal management. In order to receive a

high score an applicant must provide

comprehensive description of the fiscal

management structure including but not

limited to budgeting, fiscal controls and

accounting. The application must

explain the staff responsible for fiscal

management, and the processes and

timetable for implementation during the

proposed grant period.

(c) Applicant/Administrator Track

Record/Capability (6 Points): In

assessing this factor, HUD will consider

the soundness of the prior experience of

the applicant and the mediation partner

in successfully carrying out programs

with similar purposes and/or

constituency. A high score is received if

the applicant and/or partner can

demonstrate compliance and successful

implementation (i.e. completion of grant

implementation plan tasks) of prior

such programs. Applicants and

mediation partners with no prior

experience in operating such programs

will receive a score of 0 on this factor.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

This factor addresses the extent to

which there is a need for funding the

proposed program activities to address a

documented problem in the target area.

Applicants will be evaluated on the

extent to which they document a well

specified and critical level of need in
23920 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

the development or the proposed

activities in the geographical territory

where activities will be carried out. In

responding to this factor, applicants will

be evaluated on:

(1) A Needs Assessment Document

(18 Points): HUD will award up to 18

points based on the quality and

comprehensiveness of the needs

assessment document. In order to obtain

maximum points, this document must

contain statistical and other data which

provides:

(a) A thorough description of the

current public housing community as it

relates to the need for mediation, for

example, describe human relations

problems related to illegal gang activity

in the community and other crimes;

relations among various racial, ethnic

and socio-economic groups; and

relations between residents, resident

leaders and community institutions

such as the police, schools and welfare

department.

(b) Specific information should be

provided on the relationship between

the HA and the resident groups; and

(c) An assessment of any current

services related to the mediation needs

of the target population in the

geographical territory defined by the

applicant, including the number and

type of services, the location of services,

and community facilities currently in

use.

(2) Level of Priority in Consolidated

Plan (2 Points): Documentation of the

level of priority the locality’s, or in the

case of small cities, the State’s

Consolidated Plan has placed on

addressing the needs. Applicants may

also address needs in terms of fulfilling

the requirements of court actions or

other legal decisions or which expand

upon the Analysis of Impediments to

Fair Housing choice (AI) to further fair

housing. Applicants that address needs

that are in the community’s

Consolidated Plan, AI, or a court

decision, or identify and substantiate

needs in addition to those in the AI, will

receive a greater of number of points

than applicants which do not relate

their proposed program to the approved

Consolidated Plan or Analysis of

Impediments to Fair Housing Choice or

court action. There must be a clear

relationship between the proposed

activities, community needs and the

purpose of the program funding for an

applicant to receive points for this

factor.

Rating Factor 3: Soundness of Approach

(40 points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed work plan. In rating this factor

HUD will consider: the viability and

comprehensiveness of strategies to

address the mediation needs of

residents; budget appropriateness/

efficient use of grants; the speed at

which the applicant can realistically

accomplish the goals of the proposed

TOP program; the soundness of the

applicant’s plan to evaluate the success

of its proposed TOP program at

completion and during program

implementation; and resident and other

partnerships.

(1) Viability and comprehensiveness

of the strategies to address the

mediation needs of residents (19

Points): The score in this factor will be

based on the extent and

comprehensiveness of the mediation

and related services that will be

provided as well as the extent that the

proposed mediation and related services

will contribute to providing for unmet

needs identified in the required Needs

Assessment Report.

To receive a high score, applicants

must provide a comprehensive

description of how the proposed plan

provides training and related services

that specifically address the mediation

needs and will improve the

environment of public housing

developments in the geographic

territory designated by the applicant.

(2) Budget Appropriateness/Efficient

Use of Grant Funds (6 Points): The score

in this factor will be based on the

following:

(a) Detailed Budget Break-Out. The

extent to which the application includes

a detailed budget break-out for each

budget category in the SF–424A.

(b) Reasonable Administrative Costs.

The extent to which the application

includes reasonable administrative costs

within the 15% administrative cost

ceiling.

(c) Budget Efficiency. The extent to

which the application requests funds

commensurate with the level of effort

necessary to accomplish the goals and

objectives and the estimated costs to the

government are reasonable in

relationship to the work performed and

the anticipated results.

(3) Reasonableness of the Timetable

(2 Points): The score in this factor will

be based on the speed at which the

applicant can realistically accomplish

the goals of the proposed TOP program.

To receive a high score, the applicant

must demonstrate that the proposed

timetable for all components of the

proposed program is reasonable (i.e. a

given task is allotted the amount of time

it would normally take to accomplish

such a task) and that the applicant can

accomplish the proposed

implementation plan objectives within

the 24 month time limit. The applicant

must also demonstrate that it will make

substantial progress within the first six

months after grant execution.

(4) Policy Priorities (2 Points):

Documentation of the extent to which

policy priorities of the Department are

furthered by the proposed activities.

Such Department policy priorities are:

(1) Affirmatively furthering fair housing

by promoting greater opportunities for

housing choice for minorities and the

disabled; (2) Promoting healthy homes;

(3) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(4) Providing enhanced economic, social

and/or living environments in

Empowerment Zones or Enterprise

communities; and (5) Providing

educational and job training

opportunities through such initiatives as

Neighborhood Networks, Campus of

Learners and linking programs to

AmeriCorps activities. To obtain the full

two points in this category, at least three

of these five policy priorities must be

addressed.

(5) Other Partnerships (5 Points): The

score in this factor will be based on the

successful integration of partners into

implementation of the proposed TOP

program. In order to receive a high score

an applicant must provide an MOU or

other equivalent documentation that

delineates specific partnerships related

to the components in the

comprehensive plan. In assessing this

factor HUD will examine a number of

aspects of the proposed partnership

including:

(a) The appropriateness of the level of

expertise of the partners related to

activities proposed in the application;

(b) The soundness of the division of

responsibilities/management structure

of the proposed partnership relative to

the expertise and resources of the

partners;

(6) Program Assessment. (6 Points):

The score in this factor will be based on

the soundness of the applicant’s plan to

evaluate the success of its proposed

EDSS program both at the completion of

the program and during program

implementation. At a minimum, the

applicant must track the goals and

objectives of the proposed work plan

program. HUD will rate more favorably

applicants which can track specific

measurable achievements for the use of

program funds, such as number of

residents employed, salary scales of jobs

obtained, persons removed from welfare

roles 12 months or longer, and number

of persons receiving certificates for

successful completion of training in

careers such as computer technology.
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23921

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the ability of the

applicant to secure community

resources which can be combined with

HUD’s program resources to achieve

program purposes. In evaluating this

factor HUD will consider:

The extent to which the commitment

letters or the equivalent can

demonstrate that resources outside the

TOP Program (including existing

Federal, state, local, non-profit, and/or

private resources) are to be utilized in

the applicant’s proposed program. The

resources will be measured based on the

ratio of the applicant’s value of in-kind

contributions and funds committed for

the proposed effort.

Applicants must provide evidence of

leveraging/partnerships by including in

the application letters of firm

commitments, memorandum of

understanding, or agreements to

participate from those entities identified

as partners in the application. Firmly

committed means there must be a

written agreement to provide the

resources. The written agreement may

be contingent upon an applicant

receiving an award. Each letter of

commitment, memorandum of

understanding, or agreement to

participate should include the

organization’s name, proposed level of

commitment and responsibilities as they

relate to the proposed program. The

commitment must also be signed by an

official of the organization legally able

to make commitments on behalf of the

organization.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

This factor addresses the extent to

which the applicant’s program reflects a

coordinated, community-based process

of identifying mediation needs and

building a system to address the needs

by using available HUD funding

resources and other resources available

to the community.

In evaluating this factor HUD will

consider:

(1) Coordination with the

Consolidated Plan (2 Points): The extent

to which the application demonstrates

the applicant has reviewed the

community’s Consolidated Plan and/or

Analysis of Impediments to Fair

Housing Choice, and has proposed

activities that address the priorities,

needs, goals or objectives in those

documents; or substantially further fair

housing choice in the community.

(2) Coordination with the State

Welfare Plan (1 Point): Provide evidence

that the proposed TOP must have been

coordinated with and supports the

housing authority’s efforts to increase

resident self-sufficiency and is

coordinated and consistent with the

State Welfare Plan.

(3) Coordination with Other Activities

(7 Points): The extent to which the

application demonstrates that the

applicant in carrying out program

activities will develop linkages with:

other HUD funded program activities

proposed or on-going in the community;

or other State, Federal or locally funded

activities proposed or on-going in the

community which taken as a whole

support and sustain a comprehensive

system to address the mediation needs.

(C) Selections. In order to be

considered for funding under the EDSS

program, an applicant must receive a

minimum score of 75. In order to be

funding under the TOP program, an

applicant must receive a minimum

score of 65.

If two or more applications have the

same number of points, the application

with the most points for Factor 3,

Soundness of Approach shall be

selected. If there is still a tie, the

application with the most points for

Factor 4, Leveraging Resources shall be

selected.

IV. Application Submission

Requirements

Please refer to the General Section of

this SuperNOFA. In addition, the

applicant must submit the following,

which are further described in the

application kit.

(A) Needs Assessment Report which

includes statistical or survey

information on the needs of the

recipient population; please use the

appropriate format provided in the

application kit. (Note: This does not

apply to TOP Organizational

Development grant applicants.)

(B) A two-year work plan for

implementing EDSS/TOP activities

which includes goals, budget, timetable

and strategies. In addition to a narrative,

please use the formats provided in the

application kits to chart the following:

(1) Activity plan summary;

(2) Activity breakout;

(3) Budget breakout;

(4) Summary budget;

(5) Program resources; and

(6) Program staffing;

(C) Information on the Applicant and/

or administrator track record. Please

provide the chart and/or certification

format provided in the application kit;

(D) Certifications and assurances

referenced in this program section of the

SuperNOFA. TOP applicants who are

IROs must also submit a list of SiteBased Resident Associations they intend

to assist and Site-Based Resident

Associations must certify as to the

amount of RM/TOP funding received to

date by their development.

(E) Memorandum of Understanding/

Agreement; commitment letters; and

other required documentation of

partnerships.

V. Correction to Deficient Applications

The General Section of this NOFA

provides the procedures for corrections

to deficient applications.

VI. Environmental Requirements

In accordance with 24 CFR 50.19(b)

(3), (9), (12) and (14) of the HUD

regulations, activities assisted under the

EDSS/TOP programs are categorically

excluded from the requirements of the

National Environmental Policy Act and

are not subject to environmental review

under related laws and authorities.

Appendix A To EDSS/TOP Section of

SuperNOFA

Common Definitions

Community Facility means a non-dwelling

structure that provides space for multiple

supportive services for the benefit of public

and Indian housing residents (as well as

others eligible for the services provided) that

may include but are not limited to:

(1) Child care;

(2) After-school activities for youth;

(3) Job training;

(4) Campus of Learner activities; and

(7) English as a Second Language (ESL)

classes.

Contract Administrator means an overall

administrator and/or a financial management

agent that oversees the financial aspects of a

grant and assists in the entire

implementation of the grant. Examples of

qualified organizations that can serve as a

Contract Administrator are:

(1) Local housing authorities; and

(2) Community based organizations such as

Community Development Corporations

(CDCs), community churches, and State/

Regional Associations/Organizations.

Development has the same meaning as the

term ‘‘Project’’ below.

Firmly Committed means there must be a

written agreement to provide the resources.

This written agreement may be contingent

upon an applicant receiving an award.

Elderly person means a person who is at

least 62 years of age.

Jurisdiction-Wide Resident Organization

means an incorporated nonprofit

organization or association that meets the

following requirements:

(1) Most of its activities are conducted

within the jurisdiction of a single housing

authority;

(2) There are no incorporated Resident

Councils or Resident Management

Corporations within the jurisdiction of the

single housing authority;

(3) It has experience in providing start-up

and capacity-building training to residents

and resident organizations; and
23922 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

(4) Public housing residents representing

unincorporated Resident Councils within the

jurisdiction of the single housing authority

must comprise the majority of the board of

directors.

Intermediary Resident Organizations

means Jurisdiction-Wide Resident

Organizations, State-wide Resident

Organizations, Regional Resident

Organizations and National Resident

Organizations.

National Resident Organization (NRO)

means an incorporated nonprofit

organization or association for public

housing that meets each of the following

requirements:

(1) It is national (i.e., conducts activities or

provides services in at least two HUD Areas

or two States);

(2) It has experience in providing start-up

and capacity-building training to residents

and resident organizations; and

(3) Public housing residents representing

different geographical locations in the

country must comprise the majority of the

board of directors.

Person with disabilities means an adult

person who:

(1) Has a condition defined as a disability

in section 223 of the Social Security Act;

(2) Has a developmental disability as

defined in section 102 of the Developmental

Disabilities Assistance Bill of Rights Act.

Such a term shall not exclude persons who

have the disease of acquired

immunodeficiency syndrome (AIDS) or any

conditions arising from the etiologic agent for

acquired immunodeficiency syndrome; or

(3) Is determined, pursuant to regulations

issued by the Secretary, to have a physical,

mental, or emotional impairment which:

(i) Is expected to be of long-continued and

indefinite duration;

(ii) Substantially impedes his or her ability

to live independently; and

(iii) Is of such a nature that such ability

could be improved by more suitable housing

conditions.

(4) 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.

Project is the same as ‘‘low-income housing

project’’ as defined in section 3(b)(1) of the

United States Housing Act of 1937 (42 U.S.C.

1437 et. seq.) (1937 Act).

Resident Association (RA) means any or all

of the forms of resident organizations as they

are defined elsewhere in this Definitions

section and includes Resident Councils (RC),

Resident Management Corporations (RMC),

Regional Resident Organizations (RRO),

Statewide Resident Organizations (SRO),

Jurisdiction-Wide Resident Organizations

and National Resident Organizations (NRO).

Resident Council (RC) means (as provided

in 24 CFR 964.115) an incorporated or

unincorporated nonprofit organization or

association that shall consist of persons

residing in public housing and must meet

each of the following requirements in order

to receive official recognition from the HA/

HUD, and be eligible to receive funds for RC

activities and stipends for officers for their

related costs for volunteer work in public

housing. (Although 24 CFR part 964 defines

an RC as an incorporated or unincorporated

nonprofit organization, HUD requires RC

applicants for TOP Economic SelfSufficiency Grants to be registered with the

State at the time of application submission):

(1) It must adopt written procedures such

as by-laws, or a constitution which provides

for the election of residents to the governing

board by the voting membership of the public

housing residents. The elections must be

held on a regular basis, but at least once

every 3 years. The written procedures must

provide for the recall of the resident board by

the voting membership. These provisions

shall allow for a petition or other expression

of the voting membership’s desire for a recall

election, and set the percentage of voting

membership (‘‘threshold’’) which must be in

agreement in order to hold a recall election.

This threshold shall not be less than 10

percent of the voting membership.

(2) It must have a democratically elected

governing board that is elected by the voting

membership. At a minimum, the governing

board should consist of five elected board

members. The voting membership must

consist of heads of households (any age) and

other residents at least 18 years of age or

older and whose name appear on a lease for

the unit in the public housing that the

resident council represents.

(3) It may represent residents residing in:

(i) Scattered site buildings in areas of

contiguous row houses;

(ii) One or more contiguous buildings;

(iii) A development; or

(iv) A combination of the buildings or

developments described above.

Regional Resident Organization (RRO)

means an incorporated nonprofit

organization or association for public

housing that meets each of the following

requirements:

(1) It is regional (i.e., not limited by HUD

Areas);

(2) It has experience in providing start-up

and capacity-building training to residents

and resident organizations; and

(3) Public housing residents representing

different geographical locations in the region

must comprise the majority of the board of

directors.

Resident Management Corporation (RMC)

(See 24 CFR 964.7, 964.120) means an entity

that consists of residents residing in public

housing and must have each of the following

characteristics in order to receive official

recognition by the HA and HUD:

(1) It shall be a nonprofit organization that

is validly incorporated under the laws of the

State in which it is located;

(2) It may be established by more than one

RC, so long as each such council:

(i) Approves the establishment of the

corporation; and

(ii) Has representation on the Board of

Directors of the corporation.

(3) It shall have an elected Board of

Directors, and elections must be held at least

once every 3 years;

(4) Its by-laws shall require the Board of

Directors to include resident representatives

of each RC involved in establishing the

corporation; include qualifications to run for

office, frequency of elections, procedures for

recall, and term limits if desired;

(5) Its voting members shall be heads of

households (any age) and other residents at

least 18 years of age and whose name appear

on the lease of a unit in public housing

represented by the RMC;

(6) Where an RC already exists for the

development, or a portion of the

development, the RMC shall be approved by

the RC board and a majority of the residents.

If there is no RC, a majority of the residents

of the public housing development it will

represent must approve the establishment of

such a corporation for the purposes of

managing the project; and

(7) It may serve as both the RMC and the

RC, so long as the corporation meets the

requirements of this part for an RC.

Secretary means the Secretary of Housing

and Urban Development.

Site-Based Resident Associations means

Resident Councils and Resident Management

Corporations.

Statewide Resident Organization (SRO)

means a Site-Based incorporated nonprofit

organization or association for public

housing that meets the following

requirements:

(1) It is Statewide;

(2) It has experience in providing start-up

and capacity-building training to residents

and resident organizations; and

(3) Public housing residents representing

different geographical locations in the State

must comprise the majority of the board of

directors.

BILLING CODE 4210–32–P
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BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23925

Funding Availability for Youthbuild

Program

Program Description: Approximately

$33,000,000 is available for the

Youthbuild Program. The Youthbuild

Program provides disadvantaged young

adults with education, employment, and

leadership skills.

Application Due Dates: Completed

applications (one original and one copy)

no later than 12:00 midnight, Eastern

time, on July 14, 1998 at the address

shown below. See the General Section

of this SuperNOFA for specific

procedures governing the form of

application submission (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Addresses for Submitting

Applications: To HUD Headquarters.

The completed application (one original

and one copy) must be submitted, by

hand or mail delivery, to: Processing

and Control Branch, Office of

Community Planning and Development,

Department of Housing and Urban

Development, 451 Seventh Street, SW,

Room 7255, Washington, D.C. 20410,

Attention: Youthbuild Grant.

To the Appropriate CPD Field Office.

An additional copy should be submitted

to the Community Planning and

Development Division of the

appropriate HUD Field Office for the

applicant’s jurisdiction.

When submitting your application,

please refer to Youthbuild, and include

your name, mailing address (including

zip code) and telephone number

(include area code).

For Application Kits, Further

Information and Technical Assistance:

For Application Kits. For an application

kit and any supplemental information

please call the SuperNOFA Information

Center at 1–800–HUD–8929. Persons

with hearing or speech impairments

may call the Center’s TTY number at 1–

800–483–2209. An application kit also

will be available on the Internet through

the HUD web site at http://

www.hud.gov. When requesting an

application kit, please refer to

Youthbuild and provide your name,

address (including zip code), and

telephone number (including area code).

For Further Information and

Technical Assistance. Phyllis Williams,

Office of Economic Development in the

Office of Community Planning and

Development, Department of Housing

and Urban Development, 451 Seventh

Street, SW, Room 7140, Washington, DC

20410, telephone (202) 708–2035.

Persons with speech or hearing

impairments may call HUD’s TTY

number (202) 708–0770, or 1–800–877–

8399 (the Federal Information Relay

Service TTY). Other than the ‘‘800’’

number, these numbers are not toll-free.

Additional Information

I. Authority; Purpose; Amount

Allocated; and Eligibility

(A) Authority

This program is authorized under

subtitle D of title IV of the CranstonGonzalez National Affordable Housing

Act (the Act), as added by section 164

of the Housing and Community

Development Act of 1992 (Pub. L. 102–

550, 106 Stat. 3723, 42 U.S.C. 12899).

The Youthbuild Program regulations are

found in 24 CFR part 585.

(B) Purpose

The purposes of the Youthbuild

program are:

(1) To provide economicallydisadvantaged young adults with

opportunities to obtain education,

employment skills, and meaningful onsite construction work experience as a

service to their communities and a

means to achieve self-sufficiency;

(2) To foster the development of

leadership skills and commitment to

community; and

(3) To expand the supply of

permanent affordable housing for

homeless and low–and very low-income

persons by providing implementation

grants for carrying out a Youthbuild

program.

(4) Provide disadvantaged young

adults with meaningful on-site training

experiences in housing construction and

rehabilitation to enable them to provide

a service to their communities by

helping to meet the housing needs of

homeless and low-income families;

(5) Give, to the greatest extent

feasible, and consistent with existing

Federal, State and local laws and

regulation, job training, employment,

contracting and other economic

opportunities to low-income persons

and business concerns.

(C) Amount Allocated

Approximately $33,000,000 is

available for the Youthbuild Program.

The net available program funds will be

divided between two categories of

grants (as further specified in Section

III(C)):

1. $ 8,312,500—Grants for new

applicants for up to $350,000; and

2. $24,937,500—Grants for up to

$700,000.

(D) Eligible Applicants

Eligible applicants are public or

private nonprofit agencies, State or local

housing agencies or authorities, State or

local units of general local government,

or any entity eligible to provide

education and employment training

under other Federal employment

training programs, as further defined in

24 CFR 585.4.

(E) Eligible Activities

Eligible activities are as follows:

(1) Work and activities associated

with the acquisition, rehabilitation or

construction of the housing and related

facilities to be used in the program;

(2) Relocation payments and other

assistance required to comply with 24

CFR 585.308;

(3) Costs of ongoing training and

technical assistance needs related to

carrying out a Youthbuild program;

(4) Education, job training,

counseling, employment leadership

development services and activities;

(5) Wages, benefits, and need-based

stipends for participants; and

(6) Administrative costs—Youthbuild

funds for these costs should not exceed

15 percent of the total amount of

Youthbuild assistance, unless a higher

amount is justified to support capacity

development by a private nonprofit

organization.

Please refer to 24 CFR 585.305 for

further details on eligible activities.

(F) Eligible Participants

Participants in a Youthbuild program

must be very low-income high school

dropouts between the ages of 16 and 24,

inclusive, at the time of enrollment. Up

to 25 percent of participants may be

above very low-income or high school

graduates (or equivalent), but must have

educational needs that justify their

participation in the program.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, applicants

are subject to the following

requirements:

(A) Resources From Other Federal,

State, Local or Private Entities

Applicants are strongly encouraged to

use existing housing and homeless

assistance programs administered by

HUD or other Federal, State, local, or

private housing programs as part of their

Youthbuild program. Use of other nonYouthbuild funds available for

vocational, adult, and bilingual

education programs or for job training

under the Job Training Partnership Act

(JTPA) and the Personal Responsibility

and Work Opportunity Reconciliation

Act of 1996 is also strongly encouraged.

The selection process described in this

Youthbuild Program section of the

SuperNOFA provides for applicants to
23926 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

receive points where grant applications

contain firm commitments from Federal,

State, local, or private sources to

provide resources to carry out

Youthbuild activities.

(B) Grant Period

Funds awarded should be expended

within 30 months of the effective date

of the grant agreement, or such other

period specified.

(C) Locational Limitations

Each application for a grant may only

propose activities to carry out one

Youthbuild program, i.e., to start a new

Youthbuild program or to fund new

classes of Youthbuild participants for an

existing program. The same applicant

organization may submit more than one

application in the current competition if

the proposed program’s participant

recruitment and housing areas are in

different jurisdictions.

(D) Youthbuild Program Components

Youthbuild programs receiving

assistance under this Youthbuild

Program section of the SuperNOFA

must contain the three components

described in paragraphs (1), (2), and (4)

below. Other activities described in

paragraph (3) are optional.

(1) Educational and job training

services.

(2) Leadership training, counseling,

and other support activities.

(3) Special activities such as

entrepreneurial training, drivers’

education, internships, programs for

those with learning disabilities, and inhouse staff training. (Optional)

(4) On-site training through actual

housing rehabilitation and/or

construction work, including the

provision of alternative training

experiences for students with physical

disabilities. Each program must be

structured so that 50 percent of each

participant’s time is spent in on-site

training.

(E) Desirable Elements of a Youthbuild

Program

Documentation of the extent to which

HUD’s policy priorities are furthered by

the proposed activities. Such policy

priority areas are:

(1) Affirmatively furthering fair

housing by promoting greater

opportunities for housing choice for

minorities and the disabled;

(2) Promoting healthy homes;

(3) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(4) Providing educational and job

training opportunities and linking

programs to Americorps activities;

(5) Promoting welfare reform. Refer to

24 CFR 585.3 for a detailed description

of program components.

III. Application Selection Process

HUD will review each application and

assign points in accordance with the

selection criteria described in this

section. The maximum number of

points to be awarded is 102 (except for

an application submitted by the City of

Dallas, Texas, which would be eligible

for a maximum of 104 points, in

accordance with Rating Factor 3,

paragraph (3), below). This includes two

EZ/EC bonus points as described in the

General Section of the SuperNOFA.

In order to afford applicants every

opportunity to submit a ratable

application, while at the same time

ensuring the fairness, integrity and

timeliness of the selection process, HUD

is adopting the following application

submission and selection procedures:

(A) Rating and Ranking

Each eligible application will be rated

based upon the rating factors described

in Section III of this Youthbuild

Program section of the SuperNOFA.

Using the scores assigned, the

application will be placed in rank order

within each category. Applications will

be selected for funding in accordance

with their rank order. An application

must receive a combined score of at

least 50 points for Rating Factor 1,

Rating Factor 2, and Rating Factor 3,

paragraph (1), under this Section III in

order to be eligible for EZ/EC bonus

points and for the Housing Program

Priority points in Rating Factor 3,

paragraph (2) of this Section III.

If two or more applications are rated

fundable, and have the same score, but

there are insufficient funds to fund all

of them, the application(s) with the

highest score for Rating Factor 3(1)

under Soundness of Approach shall be

selected.

(B) Initial Screening

During the period immediately

following the application deadline,

HUD will screen each application to

determine eligibility. Applications will

be rejected if they:

(1) Are submitted by ineligible

applicants, or

(2) Propose a program for which

significant activities are ineligible.

(C) Categories of Grants

HUD will award Youthbuild

implementation grants only to eligible

applicants for the purpose of carrying

out Youthbuild programs in accordance

with subtitle D of title IV of the Act.

Applications will be selected in a

competition in accordance with the

grant selection process described in

Section V of this Youthbuild Program

section of the SuperNOFA.

Two categories of grants will be made:

(1) Grants for new applicants that

have not previously received

Youthbuild Implementation Grants and

that have elected not to apply under

category (2), below. These grants will be

limited to $350,000, for a period of 18

months, with a maximum of 20

students.

(2) Grants for up to $700,000 to

implement a full range of Youthbuild

activities for up to a 30-month period.

Half of the funding in this category will

be awarded to applicants that propose

grants of $450,000 or less for up to 24

months. A previously unfunded

applicant can apply in either category.

A previous implementation grantee can

apply only in category (2). Applicants in

category (1) will receive one-quarter of

the funds available. Applicants in

category (2) will receive the remainder

of the funds available, which in turn

will be split evenly between grants for

up to and including $450,000, and

grants over $450,000.

(D) Maximum Awards

Under the competition established by

this Youthbuild Program section of the

SuperNOFA, the maximum award for a

Youthbuild grant is $700,000. HUD

reserves the right to determine the

maximum or minimum of any

Youthbuild award per application,

project, program or budget line item. No

amendments will be made to awards

under this competition that will

increase previously approved grant

amounts. In order to ensure reasonable

geographic diversity, a CDBG

entitlement jurisdiction may not receive

more than $2.1 million in Youthbuild

grants.

(E) Potential Environmental

Disqualification

HUD reserves the right to disqualify

an application where one or more

environmental thresholds are exceeded

if it is determined that the

environmental review cannot be

conducted and satisfactorily completed

by HUD within the HUD review period.

(See 24 CFR 585.307.)

(F) Notification of Approval or

Disapproval

HUD will notify the selected

applicants and the applicants that have

not been selected. HUD’s notification to

a selected applicant of the amount of the

grant award based on the approved

application will constitute a preliminary

approval by HUD, subject to HUD and
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23927

recipient execution of the grant

agreement to initiate program activities.

(G) Economic Opportunities for Low and

Very Low-Income Persons (Section 3)

Section 3 of the Housing and Urban

Development Act of 1968 (12 U.S.C.

1701u) is applicable to Youthbuild

implementation grant recipients. Please

see Section II(E) of the General Section

of the SuperNOFA.

(I) Factors for Award Used To Evaluate

and Rate Applications

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (30 Points)

This factor addresses the qualification

and experience of the applicant and

participating parties, to implement a

successful young adult education and

training program within a reasonable

time period. HUD will review and

evaluate the information provided

documenting capability. In assigning

points for this criterion, evidence in the

application that demonstrates the

following will be considered:

(1) Experience in implementing a

comprehensive, integrated,

multidisciplinary program with the

following components:

(a) Young adult education and

training programs, including programs

for low-income persons from

economically distressed neighborhoods.

(b) Young adult leadership

development training and related

activities for young adults.

(c) Young adult on-site training in

housing construction or rehabilitation

for the production of sound and

affordable housing for the homeless and

low-income families.

(2) The extent to which the applicant

or participating parties have been

successful in past education, training,

and employment programs and

activities, including Federally-funded

Youthbuild programs. Previous

Youthbuild grant recipients must

submit a performance narrative as

outlined in the application package, and

copies of its last two progress reports.

The performance (including meeting

target dates and schedules) of the

applicant as reported will be taken into

consideration in applying the rating

criteria.

(3) The extent to which the applicant,

including program director, principal

staff, or participating parties have

demonstrated past ability to leverage

other resources to cover administrative,

educational, and training costs.

(4) Staff capacity should address the

extent to which the applicant

demonstrates that the proposed Staff

and Program Manager possess the

background, experience, and capacity to

conduct the proposed project, as

evidenced by recent work experience in

managing projects of the same or similar

size, dollar amount, and types of

activities as those proposed in the

application.

Rating Factor 2: Need/Extent of the

Problem (15 Points)

This factor addresses the extent to

which there is a need for funding the

proposed program activities and an

indication of the urgency of meeting the

need in the target area. Documentation

of need should address the extent to

which the applicant documents a

critical level of need for the proposed

activities in the area where activities

will be implemented. The

documentation must apply to the

targeted area rather than the entire

locality. If the target area is an entire

locality or State, then documenting need

at this level is appropriate.

Documentation of need should

demonstrate the extent and urgency of

the problem being addressed by the

proposed activities. To the extent that

the applicant’s community’s

Consolidated Plan or Analysis of

Impediments to Fair Housing Choice

(AI) identifies the level of the problem

and the urgency in meeting the need,

references to these documents should be

included in the response. HUD will

review more favorably those applicants

that use these documents to identify

need, when applicable. Examples of

data that might be used to demonstrate

need include, but are not limited to,

economic and demographic data

relevant to the target area, including

poverty and unemployment rates; levels

of homelessness; extent of drug usage

and crime statistics; lead poisoning

rates; housing market data available

from HUD or other data sources

including the Public Housing

Authorities Five Year Comprehensive

Plan, State or local Welfare

Department’s Welfare Reform Plan

(including, where applicable, the

Welfare to Work Plan Addendum); and/

or lack of other Federal, State, or local

funding that could be or are used to

address the problem HUD program

funds are designed to address. If the

proposed activity is not covered under

the scope of the Consolidated Plan and

Analysis of Impediments to Fair

Housing Choice (AI), applicants should

indicate such, and use other sound data

sources to identify the level of need and

the urgency in meeting the need. Types

of other sources include, but are not

limited to, Census reports, Continuum

of Care gaps analysis, law enforcement

agency crime reports, Public Housing

Authorities’ Five Year Comprehensive

Plan, etc.

Rating Factor 3: Soundness of Approach

(40 Points)

(1) (30 points) HUD will consider the

overall quality and feasibility of the

proposed program as measured by the

principles and goals of the proposed

program, whether proposed program

activities meet the overall objectives of

the Youthbuild program, whether the

proposed program activities will be

accomplished within the projected time

frame, whether the proposed program

activities are comprehensive and

integrated, and the potential for success

of the proposed program. Areas to be

considered in the evaluation of the

overall quality of the proposed program

are:

(a) Outreach, recruitment and

selection activities including:

(i) Specific steps to be taken to attract

potential eligible participants who are

unlikely to be aware of this program

(because of race, ethnicity, sex or

disability) and selection strategies;

(ii) Special outreach efforts to recruit

eligible young women, young women

with dependent children, and persons

receiving public assistance; and

(iii) Recruitment arrangements made

with public agencies, courts, homeless

shelters, local school systems, local

workforce development systems,

community-based organizations, etc.;

(b) Educational and job training

services and activities including:

(i) The types of instructional services

to be provided;

(ii) The number and qualification of

program instructors and ratio of

instructors to participants;

(iii) Realistic scheduling plan for

classroom and on-the-job training; and

(iv) Reasonable payments of

participants’ wages, stipends, and

incentives.

(c) Leadership development,

including the leadership development

training to be offered to participants,

and including the strategies, activities,

and plans to build group cohesion and

peer support.

(d) Support services, including

documentation of counseling and

referral services to be offered to

participants, including the type of

counseling, social services, and/or needbased stipends to be provided

(supported by letters of commitments

from providers).

(e) On-site training, including:

(i) The housing construction or

rehabilitation activities to be undertaken

by participants at the site(s) to be used
23928 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

for the on-site training component of the

program;

(ii) The qualification and number of

on-site supervisors;

(iii) The ratio of trainers to students;

(iv) The number of students per site;

and

(v) The amounts, reasonable wages,

and/or stipends to be paid to

participants during on-site work.

(f) Job placement assistance, including

the applicant’s commitments, strategies,

and procedures for:

(i) Participant placement in

meaningful employment, enrollment in

postsecondary education programs, job

development, starting business

enterprises, or other opportunities

leading to economic independence; and

(ii) Follow-up assistance and support

activities to program graduates.

(g) Americorps support or

participation as evidenced by approval

of Americorps or appropriate State

agency.

(2) (10 points) Housing Program

Priority Points will be assigned to all

applications that contain evidence that

housing resources from other Federal,

State, local, or private sources that are

available to cover the cost, in full, for

the following housing activities for the

proposed Youthbuild program:

acquisition, architectural and

engineering fees, construction, and

rehabilitation. It is also imperative that

the applicants’ proposed housing sites

provide quality training. The number of

units an applicant proposes to

rehabilitate or construct is secondary in

rating this factor. Applications that do

not include proper documentation of

commitment of non-Youthbuild

resources or propose to use Youthbuild

grant funds, in whole or in part, for any

one of the housing activities listed

above will not be entitled to the full

priority points. Housing resources will

not be used in evaluation of the

Leveraging Resources factor.

It must be stressed that in proposing

housing sites for Youthbuild training,

the quality of the training to be provided

is more important than the number of

units per se.

(3) Up to two (2) additional points

will be awarded to any application

submitted by the City of Dallas, Texas,

to the extent this subfactor is addressed.

Due to an order of the U.S. District

Court for the Northern District of Texas,

Dallas Division, with respect to any

application submitted by the City of

Dallas, Texas, HUD will consider the

extent to which the application’s

proposed activities will eradicate the

vestiges of racial segregation in the

Dallas Housing Authority’s programs

consistent with the Court’s order.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the extent to

which firm commitment of resources are

obtained from other Federal, State,

local, and private sources. In assigning

points for this criterion, HUD will

consider the level of nonhousing

resources obtained for cash or in-kind

contribution to cover the following

kinds of areas:

(1) Social services (i.e., counseling

and training);

(2) Use of existing vocational, adult,

and bilingual educational courses;

(3) Donation of labor, resource

personnel, supplies, materials,

classroom, and/or meeting space;

(4) Other commitments.

In rating this element, HUD will

consider only those contributions for

which current firm commitments have

been provided. The level of nonhousing

resources proposed will be evaluated

based on their importance to the total

program. HUD will also take into

consideration the size of the community

and the resource base from which funds

can be leveraged.

Rating Factor 5: Comprehensiveness and

Coordination (5 Points)

This factor addresses the extent to

which the applicant’s program reflects a

coordinated, community-based process

of identifying needs and building a

system to address the needs by using

available HUD funding resources and

other resources available to the

community.

In evaluating this factor, HUD will

consider the extent to which the

applicant demonstrates it has:

(1) Coordinated its proposed activities

with those of other groups or

organizations in order to best

complement, support, and coordinate

all known activities, and the specific

steps it will take to share information on

solutions and outcomes with others.

Any written agreements, memoranda of

understanding in place, or those that

will be in place after award should be

described.

(2) Taken or will take specific steps to

become active in the community’s

Consolidated Planning process

(including the Analysis of Impediments

to Fair Housing Choice) established to

identify and address a need/problem

that is related to the activities the

applicant proposes.

(3) Taken or will take specific steps to

develop linkages to coordinate

comprehensive solutions through

meetings, information networks,

planning processes, or other

mechanisms with:

(a) Other HUD funded projects/

activities outside the scope of those

covered by the Consolidated Plan; and

(b) Other activities funded by HUD,

Federal, State, or local sources,

including those proposed or on-going in

the community(s) served.

IV. Application Submission

Requirements

Applicants must complete and submit

applications for Youthbuild grants in

accordance with instructions contained

in the FY 1998 Youthbuild application

kit. The application package will

request information in sufficient detail

for HUD to determine whether the

proposed activities are feasible and meet

all the requirements of applicable

statutes and regulations. The

application package requires a

description of the applicant’s and

participating parties’ experiences in

young adult and housing programs; a

description of the proposed Youthbuild

program; a description and

documentation of other public and

private resources to be used for the

program, including other housing

resources; a schedule for the program;

budgets; identification of housing sites;

and demonstration of site access. The

application package also contains

necessary certifications regarding

Federal requirements. Applicants must

also certify that the proposed activities

are consistent with the HUD-approved

Consolidated Plan in accordance with

24 CFR part 91. Applicants should refer

to the Youthbuild application package

for further instructions and take into

account the uniform guidebook

available to all applicants.

V. Corrections to Deficient Applications

The General Section of the

SuperNOFA provides the procedures for

corrections to deficient applications.

VI. Environmental Requirements

Environmental procedures apply to

HUD approval of grants when the

applicant proposes to use Youthbuild

funds to cover any costs for the lease,

acquisition, rehabilitation, or new

construction of real property proposed

for housing project development.

Environmental procedures do not apply

to HUD approval of applications when

applicants propose to use their

Youthbuild funds solely to cover any

costs for classroom and/or on-the-job

construction training and support

services.

For those applicants that propose to

use their Youthbuild funds to cover any

costs of the lease, acquisition,

rehabilitation, or new construction of

real property, the applicant shall submit
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23929

all relevant environmental information

in its application to support HUD

decisionmaking in accordance with the

environmental procedures and

standards set forth in 24 CFR 585.307.

BILLING CODE 4210–32–P

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23931

BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23933

Funding Availability for Intermediaries

to Administer Technical Assistance

Grants (ITAG) for the Mark-to-Market

(M2M) Program.

Program Description: Approximately

$9.0 million is being competed in

Intermediary Technical Assistance

Grant (ITAG) funds for Intermediaries to

administer the ITAG Mark-to-Market

technical assistance grant program ($1.0

million is available in FY 1998; it is

anticipated that $8.0 million may be

available in FY 1999, subject to

appropriations). The purpose of the

M2M program is to reduce the cost of

above market Section 8 assistance,

preserve affordable housing stock, and

streamline the administration of federal

housing subsidies. The Intermediary

will award technical assistance grants to

sub-recipients consisting of resident

groups, tenant affiliated communitybased nonprofit organizations or public

entities. These grants will be in the form

of either Resident Capacity or

Predevelopment Grants to groups

affiliated with projects that are eligible

under the M2M program, or Public

Entity Grants available to public entities

who will carry out M2M related

activities for M2M projects throughout

its jurisdiction.

Application Due Date: Completed

applications must be received no later

than 12:00 midnight, Eastern time on

July 21, 1998 to HUD Headquarters.

Please the General Section of this

SuperNOFA for specific procedures

governing the form of application

submission (e.g., mailed applications,

express mail, overnight delivery, or

hand carried).

Address for Submitting Applications:

Completed applications (one original

and two copies) must be submitted to:

the Office of Portfolio Reengineering,

Room 6130, HUD Headquarters, 451

Seventh Street, SW, Washington, DC

20410. When submitting your

application, please refer to ITAG, and

include your name, mailing address

(including zip code) and telephone

number (including area code).

For Application Kits, Further

Information and Technical Assistance:

For Application Kits. For an application

kit and any supplemental information

please call the SuperNOFA Information

Center at 1–800-HUD–8929. Persons

with hearing or speech impairments

may call the Center’s TTY number at 1–

800-HUD–2209. The application kit also

will be available on the Internet through

the HUD web site at http://

www.hud.gov. When requesting an

application kit, please refer to ITAG and

provide your name, address (including

zip code), and telephone number

(including area code).

For Further Information. Arthur

Goldstein at (202) 708–2300, extension

2657. Persons with speech or hearing

impairments may call HUD’s TTY

number (202) 708–0770, or 1–800–877–

8399 (the Federal Information Relay

Service TTY). Other than the ‘‘800’’

number, these numbers are not toll-free.

Mr. Goldstein can also be reached via

the Internet at arthur—d.—

goldstein@HUD.gov.

For Technical Assistance. An

information broadcast via satellite will

be held for potential applicants to learn

more about the program and preparation

of an application. For more information

about the date and time of the broadcast,

please consult the HUD web site at the

web address listed above.

Additional Information

I. Authority; Purpose; Amount

Allocated; and Eligibility

Applicants should take care in

reviewing this section to ensure they are

eligible to apply for funds and that they

meet the program requirements

described.

(A) Authority

Section 514(f)(3) of the Multifamily

Assisted Housing Reform and

Affordability Act of 1997 (Pub.L. 105–

65, 111 Stat. 1394, October 27, 1997)

authorizes not more than $10,000,000

annually for technical assistance under

the M2M program from amounts made

available under appropriations Acts for

the M2M program or previously made

available for technical assistance under

the Preservation program. This ITAG

program is one element of the M2M

technical assistance.

(B) Purpose

The ITAG program provides technical

assistance grants through Intermediaries

to sub-recipients consisting of: (1)

resident groups or tenant affiliated

community-based nonprofit

organizations in properties that are

eligible under the M2M program to help

tenants participate meaningfully in the

M2M process, and have input into and

set priorities for project repairs; or (2)

public entities to carry out M2M related

activities for M2M-eligible projects

throughout its jurisdiction.

(C) Amount Allocated

The competition in this program is to

select intermediaries to administer

grants to eligible subrecipients. During

FY 1998, $1.0 will be available for

grants. Subject to the availability of

appropriations, $8.0 million may be

made available in FY 1999.

(D) Grant Amount, Terms

HUD will accept applications from

Intermediaries that propose a term of

two years. The term begins on the date

of the execution of the grant agreement.

The amount of funding that an

Intermediary can receive depends on

the funding level associated with the

state-grouping for which an applicant

has applied. A specific amount of funds

have been allocated to each stategrouping (See Appendix B). Activities

must be completed in a timely manner

and may not, in any case exceed a twoyear time period. HUD reserves the right

to reallocate funds allocated to the

Interimediary under the grant agreement

if there is insufficient need.

Three forms of technical assistance

grants will be made available through

Intermediaries:

(1) Resident Capacity Grants (RCG),

with a maximum dollar amount of

$20,000;

(2) Predevelopment Grants (PDG),

with a maximum of $70,000; and

(3) Public Entity Grants (PEG), with a

maximum of $20,000.

(E) Eligible Applicants

Eligible applicants to serve as

Intermediaries are: (1) A national

nonprofit. Applicant must have been in

existence for at least five years and be

classified as an exempt organization

under section 501(c)(3) of the Internal

Revenue Code of 1986;

(2) A regional, State or local

nonprofit. Applicant must have been in

existence for at for at least three years

and either be classified as an exempt

organization under section 501(c)(3) of

the Internal Revenue Code of 1986 or be

recognized otherwise as a tax-exempt

entity; or

(3) A State or local agency.

An eligible intermediary applicant

must have as a central purpose of its

organization the preservation of lowincome housing and the prevention of

displacement of low- and moderate

income residents. Applicants must not

receive direct Federal appropriations for

operating support. In addition, all

intermediaries should have a record of

at least one year of service to lowincome individuals or community-based

nonprofit housing developers in

multiple communities and must have at

least one year of experience with the

allocation and administration of grant or

loan funds.

(F) Intermediary Fees

Each selected intermediary will

receive processing fees. The fees will

include a start-up fee of $40,000 and an

additional fee of five percent of each
23934 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

technical assistance grant voucher that

the intermediary submits, which will be

disbursed conterminous with the

voucher draw-downs of the RCGs, PDGs

and PEGs. These fees are based on the

intermediary performing the specific

tasks listed in the Program

Requirements section.

All intermediaries will receive the

start-up fee when the intermediary

contract is executed. If an intermediary

reviews and rejects a technical

assistance application, it will receive an

administrative fee of $600. If the

intermediary receives no technical

assistance grant applications, it will

receive only its start-up fee. On

occasion, the M2M staff will review

grant activity to determine if

reallocation of funds between

geographic regions is necessary.

(G) Ineligible Activities

Neither intermediaries, nor their

employees, officers or affiliated entities,

may receive payment, directly or

indirectly from the proceeds of grants

they have approved. In addition,

intermediaries may not provide other

services to grant recipients with respect

to the specific properties for which the

grant has been awarded.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA,

intermediaries must meet the following

program requirements:

(A) General Requirements

Intermediaries are responsible for the

award and administration of grants to

sub-recipients. In order to effectively

perform these responsibilities, the

intermediary must, at a minimum,

perform the following:

(1) Advertise fund availability for the

geographic jurisdiction overseen;

(2) Seek out eligible applicants, using

at least the following methods: (a)

contact all of the Outreach and Training

Organizations that have been selected in

areas within the Intermediary’s stategrouping. This list can be obtained from

the M2M person in the Office of

Multifamily Housing Mortgage and

Housing Assistance Restructuring

(OMAR), (b) contact the National

Alliance of HUD Tenants who may be

able to provide a list of active client

groups in the state-grouping, (c) Contact

the Corporation for Public Service who

can provide a list of AMERICORPS Vista

volunteers in properties within the

state-grouping, (d) utilize the property

address list of eligible M2M properties

and mail ITAG grant information sheets

to tenant groups in those properties.

(3) Produce and distribute grant

application kits (applicant must provide

a sample grant application kit with its

application);

(4) Review, approve or reject grant

applications;

(5) Execute grant agreements;

(6) Vouchering and disbursing grant

funds;

(7) Monitor activities under the grant,

including compliance under the grant

agreement, throughout the term of the

grant;

(8) Create an information network

(e.g. newsletter, website, monthly or bimonthly update, etc.) which

information can be disbursed to

subrecipients and subrecipients can ask

program questions and receive

responses and all recipients have access;

(9) Report to M2M staff at least

quarterly on the status of grant awards,

grantee activities and funds expended;

and

(10) Maintain documentation for HUD

monitoring and audits in accordance

with 24 CFR Part 84.

(B) Reporting Requirements

(1) Intermediaries must comply with

all requirements of 24 CFR Part 84.

(2) Intermediaries must submit a

quarterly performance report to the

Director of the Office of Mortgage and

Housing Assistance Restructuring

(OMAR).

(3) These reports are to list the

properties and number of tenants

assisted by the activities being

performed that quarter, including a

narrative indicating issues that need to

be resolved and tangible benefits

resulting from the assistance. Please

provide a sample report with your

application.

(4) Administrative fees may be frozen

until receipt of an acceptable

performance report.

(C) Records Retention and Access

Requirements

All accounting and other records

associated with Grant Administration

must be retained and made available to

HUD or its designee in accordance with

24 CFR § 84.53.

(D) Auditing Requirements

Intermediaries must comply with the

audit requirements set forth in 24 CFR

Part 45.

(E) Conflict of Interest (CI) Requirements

Funds received under this

SuperNOFA shall not be used to

supplant or duplicate other resources

for the proposed activities. In carrying

out its duties, any intermediary must

avoid even the appearance of a conflict

of interest. All executives, board

members, key management personnel,

or any other person or entity with direct

or indirect control, is required to

execute a CI Certification at the time of

execution of a grant agreement and on

each anniversary date of execution.

III. Application Selection Process

Two types of reviews will be

conducted: a threshold review to

determine applicant eligibility; and a

technical review to rate the application

based on the rating factors in this

Section III.

(A) Additional Threshold Criteria For

Funding Consideration

Under the threshold review, the

applicant will be rejected from the

competition if the applicant is not in

compliance with the requirements of the

General Section of the SuperNOFA and

if the applicant does not qualify as an

Eligible Applicant as defined in Section

I(E) of this ITAG Section of the

SuperNOFA.

(B) Factors for Award Used To Evaluate

and Rate Applications

The factors for rating and ranking

applicants, and maximum points for

each factor, are provided below. The

maximum number of points for this

program is 100. This ITAG section of the

SuperNOFA does not include EZ/EC

bonus points.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (40 Points)

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. The rating

of the ‘‘applicant’’ or the ‘‘applicant’s

organization and staff’’ for technical

merit or threshold compliance, unless

otherwise specified, will include any

faculty, subcontractors, consultants, and

members of consortia which are firmly

committed to the project.

Experience and Capability to

administer a Intermediary Technical

Assistance Grant (ITAG) program over

the state-grouping area for which the

applicant is applying is a threshold

requirement for award. If an applicant is

found to lack sufficient experience and

capability, their application will be

eliminated from further consideration.

This is particularly important if the

applicant is applying for more than one

state-grouping. This criterion can be

demonstrated through past performance,

as evidenced by previous experience

and success in administering a Federal
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23935

housing grant program, such as the

Preservation ITAG program.

In rating organizational capacity and

staffing to carry out activities of the kind

proposed in the application, HUD will

consider the extent to which the

proposal demonstrates:

(a) The knowledge and direct

experience of the proposed project

director and staff, including the day-today program manager, consultants and

contractors, in awarding and

administering grant programs. The

applicant will be judged in terms of

recent, relevant and successful

experience in undertaking activities

similar to those required of an

intermediary.

The applicant has sufficient

personnel, or access to qualified experts

or professionals, enabling delivery of

the proposed activities in each proposed

service area in a timely and effective

fashion. Capacity also includes the

readiness and ability of the applicant to

immediately begin the proposed work

program, and a communication system

that allows subrecipients consistent,

reliable and expeditious access to the

intermediary grant administrator.

(b) The applicant’s experience in

managing programs similar in scope or

nature directly relevant to the work

activities proposed and carrying out

grant management responsibilities. If

the applicant has managed large,

complex, interdisciplinary programs,

the applicant should include the

information supporting this claim in

their response.

(c) If the applicant received funding

in previous years, the applicant’s past

experience will be evaluated in terms of

their ability to attain demonstrated

measurable progress in the

implementation of their most recent

grant awards, as measured by

expenditures and measurable progress

in achieving the purpose for which

funds were provided. However, an

applicant must also demonstrate how

the applicant will successfully

undertake additional activities

effectively under this ITAG section of

the SuperNOFA.

(d) The applicant’s ability and

comprehensive plan to market the ITAG

grant programs to those eligible

subrecipients in the geographic area(s)

for which it has responsibility. The

marketing plan must specify the

applicant’s proposed efforts for outreach

to all states within their state grouping.

(e) The applicant’s fiscal capability in

meeting the reporting and audit

requirements of 24 CFR part 84. The

ability of the applicant’s key staff to

handle, manage, and adequately account

for financial resources, and to use

acceptable financial control procedures,

demonstrated through past performance

of the applicant entity or key staff with

Federal, State or local funds, or an

explanation of how such capability can

be obtained.

Rating Factor 2: Soundness of Approach

(30 Points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed activities. There must be a

clear relationship between the proposed

activities, state-grouping needs and the

purpose of the program funding for an

applicant to receive points for this

factor. The factor will be evaluated

based on the extent to which the

proposed activities will:

(a) Identify all areas within the stategrouping with M2M eligible properties

and effectively promote the existence of

funds to all eligible properties. HUD’s

goal is to disburse technical assistance

funds to the widest possible geographic

area. This should include rural, as well

as urban areas.

(b) Achieve the purposes of the

program for which funding is requested

and result in measurable

accomplishments that are consistent

with the purposes of the program and

will result in a goal being met/product

produced within a timeframe

appropriate and reasonable for the

program.

(c) Be undertaken using technically

competent methodologies for

conducting the work to be performed

and uses a cost effective plan for

designing, organizing and carrying out

the proposed activities. The proposed

cost estimates should be reasonable for

the work to be performed and consistent

with rates established for the level of

expertise required to perform the work

in the proposed geographic area.

(d) Yield innovative strategies or ‘‘best

practices’’ that can be replicated and

disseminated to other organizations,

including nonprofit organizations, State

and local governments. HUD will assess

the transferability of results in terms of

model programs or lessons learned from

the work performed under the award.

Applicants will be required to prepare

an analysis of best practices as part of

their reports to HUD that may be used

by HUD to inform others who may be

interested in learning from the

experiences gained from the work

performed under awards funded

through this ITAG section of the

SuperNOFA.

Rating Factor 3: Leveraging Resources

(10 points)

This factor addresses the ability of the

applicant to secure community assets,

resources and/or financing to achieve

program purposes. In evaluating this

factor HUD will consider:

(a) The extent to which the applicant

has leveraged resources, such as funding

and/or in-kind services from

governmental entities, private

organizations, resident management

organizations, educational institutions,

or other entities in order to achieve the

purposes of the award the applicant is

requesting.

(b) The extent to which the applicant

has partnered with other entities to

make more effective use of available

public or private resources. Partnership

arrangements may include, but are not

limited to, funding or in-kind services

from local governments or government

agencies, non-profit or for-profit

entities, private organizations,

educational institutional or other entity

that is willing to partner with the

applicant on proposed activities in

order to leverage resources, or

partnering with other program funding

recipients to make more effective use of

resources within the geographic area

covered by the award either within the

community or within the field office

jurisdiction in which activities are

occurring. Applicants may partner

directly or through a consortium of

applicants to more effectively address

needs of underserved populations, rural

areas, minority groups or other client

groups that need attention either in the

target area or the area covered by the

field office jurisdiction in which the

activities are to take place.

Evidence of commitment should

include organization names, their

proposed level of effort, resources, and

responsibilities of these participants.

Applicants must provide indications of

participation by including in the

application letters of firm commitments,

memoranda of understanding or

agreements, or letters indicating

participation and levels of effort and

responsibility to receive rating points

for this factor. Letters of commitment,

memoranda of understanding, or

agreements to participate must be

signed by an official of the organization

legally able to make commitments for

the organization.

Rating Factor 4: Comprehensiveness &

Coordination (20 points)

This factor addresses the extent to

which the applicant coordinates its

activities with other known

organizations, participates or promotes

participation in a community’s

Consolidated Planning process, and is

working towards addressing a need in a

holistic and comprehensive manner
23936 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

through linkages with other activities in

the community.

In evaluating this factor, HUD will

consider the extent to which the

applicant demonstrates it has:

(1) Coordinated its proposed activities

with those of other groups or

organizations prior to submission in

order to best complement, support and

coordinate all known activities and if

funded, the specific steps it will take to

share information on solutions and

outcomes with others. Any written

agreements, memoranda of

understanding in place, or that will be

in place after award should be

described.

(2) Taken or will take specific steps to

become active in the community’s

Consolidated Planning process

(including the Analysis of Impediments

to Fair Housing Choice) established to

identify and address a need/problem

that is related to the activities the

applicant proposes. In the case of

technical assistance providers, the

applicant should describe the specific

steps it will take to work with recipients

of technical assistance services to

inform them of, and get them involved

in, the community’s Consolidated

Planning process. HUD will review

more favorably those applicants who

can demonstrate they are active, will

become active, or in the case of

technical assistance providers work

with recipients of technical assistance to

get them involved in the local

Consolidated Planning (CP) process.

(3) Taken or will take specific steps to

develop linkages to coordinate

comprehensive solutions through

meetings, information networks,

planning processes or other mechanisms

with:

(a) Other HUD-funded projects/

activities outside the scope of those

covered by the Consolidated Plan; and

(b) Other Federal, State or locally

funded activities, including those

proposed or on-going in the community.

(C) Selections. HUD will review each

Intermediary application and assign up

to 100 points, in accordance with the

criteria described in this Section. In

order to be considered for selection, an

applicant must receive a minimum

score of 60. After rating, the M2M staff

will rank the applications for each

separate state-grouping according to

score and will select the highest rated

applicant in each state-grouping. If an

applicant is the highest rated for two or

more state-groupings, HUD will perform

a second review to assure that the

applicant has the capacity to effectively

perform in that number of groupings. If

it is determined, using the information

from Rating Factor 1, that the applicant

does not have sufficient capacity to

adequately perform in all stategroupings for which it is the highest

rated applicant, HUD will notify the

applicant of the number of stategroupings for which it has been found

to have capacity and will allow that

applicant to choose in which stategrouping(s) it will perform. HUD will

then select the second highest rated

applicant for each state-grouping not

selected by the highest rated applicant.

If a second highest rated applicant is

selected for two or more state-groupings,

HUD will perform a second review of

that applicant to assure that the

applicant has the capacity to effectively

perform in that number of groupings.

HUD will perform the same review until

an intermediary has been selected to

perform in all five state-groupings.

If there is a state-grouping for which

HUD receives no qualified applicants,

HUD may request the highest ranking

applicant found to have adequate

capacity to perform in that stategrouping.

After all applications have been rated

and ranked and selections have been

made, HUD may require that all winners

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

conclude negotiations, or a selected

applicant fails to provide HUD with

requested information, awards will not

be made. In such instances, HUD may

elect to offer an award to the next

highest ranking applicant, and proceed

with negotiations with the next highest

ranking applicant.

IV. Application Submission

Requirements

(A) Submission Requirements

An applicant must provide a

completed application, including the

following, as applicable:

(1) OMB Standard Forms 424;

(2) Identification of proposed stategrouping(s) in which the applicant will

perform intermediary activities;

(3) Information about how the

applicant meets the Factors for Award

listed in Section III(C)., ‘‘Selection

Criteria’’, Rating Factors 1–4.

(4) Information about the applicant,

including its history, its staff and

qualifications, and its experience.

(5) Summary of plan to advertise grant

availability, distribution of applications,

review applications, disburse funds, set

up information network, and monitor

activities under the grant;

(6) Evidence of tax-exempt status, if

applicable;

(7) Required Certifications relating to

this grant;

(8) Other disclosures and assurances

as required under this SuperNOFA;

(9) Other information/materials

described in application kit.

(B) Application Selection Timeframe

HUD will publish in the Federal

Register the list of selected

intermediaries within 30 days of the

date that HUD’s intermediary selection

process is completed. That publication

will include information for potential

subrecipients on how to obtain

application kits and will list contact

names at the intermediary organizations

selected to administer the grants.

Once intermediaries are selected and

agreements are executed, intermediaries

will have 30 days to put the necessary

mechanisms in place prior to accepting

grant applications.

V. Responsibilities of Intermediary

(A) General

Intermediaries will be responsible for

performing the tasks listed in Section II

‘‘Program Requirements’’ of this ITAG

section of the SuperNOFA.

(B) Timeframes

Once funding availability is

advertised by the intermediary for its

‘‘state-grouping’’, potential subrecipients can submit technical

assistance applications to the

intermediary on an ongoing basis. If the

applications are acceptable, grants must

be awarded no later than 30 calendar

days after a complete application is

received by the intermediary (first come,

first served). If the application is found

to be substantially complete (i.e., there

are no missing exhibits), but technically

deficient (i.e., an exhibit does not

adequately meet the application

requirements), the intermediary will

send the applicant a deficiency letter

and allow 14 days for resubmission on

the deficient exhibits. The intermediary

will have an additional 30 days to

review and approve an application,

following receipt of application

revisions. If the application is not

substantially complete, it will be

rejected.

(C) Technical Assistance Grants

(1) Resident Capacity Grants (RCG).

An RCG can be approved for a

maximum of $20,000. Resident Capacity

applicants will receive an application

kit, which will be produced and

distributed by the intermediary. A

sample application kit will be provided

by HUD to the intermediaries.

Applications will be accepted on an

ongoing basis, and all acceptable

applications will be approved unless

there are no funds available for Resident
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23937

Capacity grants. Intermediaries must

review and approve or reject

applications for Resident Capacity

grants based on the following threshold

criteria:

(a) The applicant meets the eligible

applicant criteria listed in paragraph A

of Appendix A of this ITAG section of

the SuperNOFA.

(b) The applicant is applying for

funds for eligible activities listed in

paragraph D(1) of Appendix A to this

ITAG section of the SuperNOFA.

(c) The applicant has notified the

residents of its application in

accordance with paragraph B of

Appendix A of this ITAG section of the

SuperNOFA.

(d) The plan for promoting the ability

of residents to participate meaningfully

in the M2M process is reasonable and

feasible.

(e) The budget submitted with the

application reflects reasonable costs

directly associated with the grant

activities.

(f) The estimate of time necessary to

achieve completion of activities and

delivery of products is reasonable and

realistic and within the time frames set

forth in the applicable program

regulation.

(2) Predevelopment Grants (PDG). A

PDG can be approved for a maximum of

$70,000. All PDG applicants will receive

an application kit that will have been

produced and distributed by the

intermediary. A sample application kit

will be provided by HUD to the

intermediaries. Applications will be

accepted on an ongoing basis, and all

acceptable applications will be

approved unless there are no funds

available for Predevelopment grants.

Intermediaries must review and approve

or reject applications for

Predevelopment grants based on the

following threshold criteria:

(a) The applicant meets the eligible

applicant criteria listed in paragraph A

of Appendix A to this ITAG section of

the SuperNOFA;

(b) The applicant is applying for

eligible activities listed in paragraph

D(2) of Appendix A to this ITAG section

of the SuperNOFA;

(c) The applicant has notified the

residents of its application in

accordance with paragraph B of

Appendix A to this ITAG section of the

SuperNOFA;

(d) The plan for promoting and

achieving a resident supported purchase

of the property must be reasonable and

feasible and in conformance with the

appropriate program regulations and

guidelines. This will include an

evaluation of the experience and

capacity of the applicant’s development

team;

(e) A plan for promoting and

achieving the sale of the property to an

eligible nonprofit organization.

(f) The budget submitted with the

application reflects reasonable costs

directly associated with the grant

activities that would result in the

development of a feasible purchase; and

(g) The estimate of time necessary to

achieve completion of activities and

delivery of products is reasonable and

realistic and within the time frames set

forth in the applicable program

regulation.

(3) Public Entity Grant (PEG). A PEG

can be approved for a maximum of

$20,000. Public entities eligible to apply

for such a grant include: community

action, legal services and fair housing

counseling agencies; State, county or

local government agencies;

intermediaries and others deemed

appropriate by the ITAG administrator.

The intent of the PEG program is for

a public agency or organization with

expertise in multifamily rental housing,

tenant affairs or other preservation of

affordable housing issues, to initiate

activities that can further the M2M

program. An example: A city or county

office of landlord tenant affairs can

proactively seek out those tenant groups

or organizations of properties that are

eligible to participate in the M2M

program and initiate a conference,

training sessions, direct on site training,

brochures, etc., to facilitate the persons

in the property understanding the

procedures in dealing with and the

landlord of the property and general

property management. A second

example is: An office of building

permits and code enforcement could

give training or technical assistance to

tenant groups in eligible M2M

properties who are dealing with

property repairs.

(4) Competing Grant Applications. If a

second technical assistance application

is received within 30 days of receipt of

the first application for any property,

and if that application is for the same

grant category, the intermediary shall

have an additional 20 days to review

both applications. The total review time

for any grant cannot exceed 50 days

after receipt of a complete application.

If the competing applications are for

Resident Capacity grants, resident

groups and Resident Councils shall have

priority over other applicants. If the

competing applications are for

Predevelopment grants, and both are

found technically acceptable, the

Intermediary will return the

applications with instructions that the

applicants meet together and with the

residents to reach a resolution for a final

application. If no compromise is

reached, the intermediary will approve

the applicant that the intermediary finds

most capable of performing grant and

nonprofit sponsor activities. In addition,

in the case of any application, if there

is an indication that a majority of the

residents oppose the applicant’s

selection, that application shall be

denied.

(5) Decision Not To Fund. In any

denial of award letter, the intermediary

shall be required to explain the reasons

for its determination. In addition, if the

intermediary makes a determination

that results in a reduction of proposed

grant funds, that determination shall

also be explained in writing.

(6) Appeals. If an application for

either an RCG, PDG or PEG is denied,

the applicant will have the right to

appeal that denial to HUD. The appeal

must be made within 45 days of

application rejection to: M2M Staff,

Office of OMAR, Department of Housing

and Urban Development, 451 Seventh

Street, NW., Room 6284, Washington,

DC 20410. HUD will make a binding

determination within 45 days of the

appeal.

(7) Award Notification. If an applicant

is awarded and accepts an RCG or PDG,

the applicant must inform the residents

of the property about the award, by

posting a notice or through a resident

meeting or both, within three weeks of

the applicant’s acceptance of the award.

VI. Corrections of Deficient

Applications

The General Section of the

SuperNOFA provides procedures for

corrections to deficient applications.

VII. Environmental Requirements

In accordance with 24 CFR 50.19(b)(8)

and (9), the assistance provided under

this program relates only to the

provision of engineering costs and

technical assistance and therefore is

categorically excluded from the

requirements of the National

Environmental Policy Act and is not

subject to environmental review under

the related laws and authorities. This

determination is based on the

ineligibility of real property acquisition,

construction, rehabilitation, conversion,

leasing, or repair for HUD assistance

under this program.

ITAG Program Appendix A: Technical

Assistance Applications

A. Eligible Applicants

(1) General Definition. An eligible

applicant must notify residents of all

occupied units that it is applying for a grant.

That notification shall meet the
23938 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

specifications of paragraph B below. An

eligible applicant is one of the entities

described in the following paragraphs (a)

through (d) that complies with the applicable

criteria:

(a) Resident Group. Resident Groups are

eligible for Resident Capacity grants only. For

an applicant to be considered a resident

group, the following must be submitted:

(i) Evidence that the greater of 5% of the

occupied units or 10 units of the subject

property have heads of households that are

members;

(ii) A copy of a notice announcing an

organizational meeting to discuss resident

participation in decisions affecting the

project;

(iii) A copy of the agenda of the

organizational meeting referred to in item (ii)

of this paragraph; and

(iv) A list of attendees of the organizational

meeting referred to in item (ii) of this

paragraph.

(b) Resident Council (RC). For an applicant

to be considered an RC, it must meet the

definition of ‘‘resident council’’ as set out in

24 CFR 248.101. Specifically, a RC is any

incorporated nonprofit organization or

association in which membership is available

to all the tenants, and only the tenants, of a

particular project and:

(i) Is representative of the residents of the

project;

(ii) Adopts written procedures providing

for the election of officers on a regular basis;

and

(iii) Has a democratically elected governing

board, elected by the residents of the project.

(c) Community-Based Nonprofit Housing

Developer (CBD). For an applicant to be

considered a CBD it must submit evidence

that it:

(i) Is classified as tax exempt under section

501(c)(3) of the IRS Code of 1986;

(ii) Has been in existence for at least two

years, and has at least two years of housing

and community development experience,

prior to date of application;

(iii) Has a record of service to low-and

moderate-income people in the community

in which the project is located;

(iv) Is organized at the neighborhood, city,

county or a multi-county level;

(v) In the case of an organization seeking

to acquire eligible housing, it agrees to form

a purchasing entity that conforms to the

definition of a community-based nonprofit

organization (CBO) in 24 CFR 248.101;

(vi) Agrees to use its best efforts to secure

majority tenant consent to the acquisition of

the project for which grant assistance is

requested. Evidence of ‘‘best efforts’’ shall

include a plan in the application which

details method for securing such support. In

addition, continued evidence of ‘‘best

efforts,’’ such as additional resident meetings

and notices, is required as a grantee moves

towards a purchase.

(d) Public Entity. For an applicant to be

considered a public entity, it must be an

organization affiliated with State, county or

local government, or a community action

agency, legal services or fair housing

counseling agency, intermediary, or others

deemed appropriate by the ITAG

administrator.

(2) Resident Capacity Grant Applicants.

Applicants for Resident Capacity grants must

meet the eligibility criteria listed in

paragraph A(1) of this Appendix. In addition,

these grants may be made only with respect

to eligible M2M housing.

(3) Predevelopment Grant Applicants.

Predevelopment grant applicants must be

RCs or CBDs meeting the criteria listed in

paragraph A(1) of this Appendix. These

grants may be made only to organizations

seeking to purchase the property, with the

support of a majority of the residents. The

owner of the property must have entered into

a binding agreement to sell the housing to the

applicant organization. This binding

agreement shall not necessarily be a formal

sales contract; rather, it may state that the

owner will neither work with nor accept a

purchase offer from any other entity during

the term of the grant, as long as the grantee

is progressing towards a purchase offer and

acquisition in a reasonable period of time.

(4) Conflict of Interest. Each applicant must

certify that its organization is not a ‘‘Related

Party’’, as set forth in 24 CFR part 84, and

that no individual that has, or has had within

the last five years, a personal or professional

relationship with the owner entity will

receive financial benefit from the grant funds.

This certification shall prohibit using mutual

consultants, attorneys, etc. It shall not

explicitly prohibit using architects or

engineers that have worked with the owner

or in the property in the past, as long as there

is no ongoing professional relationship with

the owner that could be perceived as a

conflict of interest. A nonprofit general

partner of an eligible property that is

attempting to buy out its limited distribution

partners is exempt from this part of the

conflict of interest requirement. The

certification shall also require disclosure, to

the intermediary and the tenants, of any

relationship with ownership, management, or

any other parties to a sale, and will state that

the applicant will not seek any financial

benefit from project ownership or operations

other than those disclosed.

B. Resident Notification.

Each applicant will be required to notify

residents of the property of its application

prior to submitting the application package to

the intermediary. That notification shall be in

writing, be distributed to each resident of the

property, and include a summary of the

applicant’s plan for the property. The

notification shall also include a statement

that residents can themselves become eligible

applicants under the M2M Technical

Assistance grant program. In addition, the

applicant must meet with the residents of the

property at least two weeks prior to

application submission, and give the

residents at least two weeks notification of

such meeting. In that meeting, the applicant

must provide the following information to

the residents:

• A summary of the grant proposal;

• A list of members of the board of

directors, if known;

• A list of the proposed development team

and management company, if known;

• A list of all proposed consultants and

attorneys;

• Disclosure of any relationship with

ownership, management, or any other parties

related to the owner or, if applicable, related

to the sale; and

• Information on how the residents may

comment to the intermediary on the

applicant’s proposal and that residents shall

have 14 days to submit comments to the

applicant and to the intermediary on the

proposal. This information shall include a

name and contact number for the

intermediary and a name and phone number

for a contact person in the applicant

organization. If the applicant is unable to

make this notification due to lack of access

to the property or lack of resident addresses,

the applicant may contact the intermediary

for assistance. The intermediary may contact

the owner to request access or resident

addresses for the applicant. If the owner is

uncooperative, the intermediary may contact

the HUD field office for assistance. If

residents make substantive comments to the

intermediary, the applicant will be required

to address these comments prior to any grant

award from the intermediary.

C. Ineligible Technical Assistance

Applicants.

(1) Entities that have applications pending

for funds under the HOPE 2 program are not

eligible to apply for funding under this ITAG

section of the SuperNOFA.

(2) Entities that have been awarded grants

under the Preservation Technical Assistance

Grants NOFA (entitled ‘‘Technical Assistance

Planning Grants for Resident Groups,

Community Groups, and Community-Based

Nonprofit Organizations and Resident

Councils’’) issued April 6, 1994, may not

receive funds under this ITAG section of the

SuperNOFA for any properties for which

those grants were funded either until all

funds awarded to the grantee under the 1994

NOFA have been expended, or until the grant

under the April 6, 1994, NOFA has been

terminated as a result of a new grant approval

under this ITAG section of the SuperNOFA.

The total funds received from the April 6,

1994, NOFA plus the total grant award for

this ITAG section of the SuperNOFA may not

exceed the funding limits established in this

ITAG section of the SuperNOFA. A grantee

under the April 6, 1994 NOFA is eligible for

funds under this ITAG section of the

SuperNOFA only if it also meets the

eligibility criteria of this ITAG section of the

SuperNOFA and meets the notification

requirements of paragraph B (‘‘Resident

Notification’’) above.

D. Eligible Technical Assistance Grant

Activities.

(1) Resident Capacity Grants. Resident

Capacity grants may be used to cover

expenses for the following activities:

• Resident outreach and coordination;

• Legal services to incorporate the resident

organization or RC, establish a board of

directors, write by-laws, or establish

nonprofit status;

• Accounting services for budgeting,

planning, and creation of accounting systems

that are in compliance with OMB Circular A–

110 or A–122;

• Conducting resident meetings and

democratic elections;
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23939

• Training residents and developing

resident leadership;

• Hiring an architect or engineer to advise

the residents during the M2M need

assessment; and

• Other technical assistance related to

developing the capacity of the residents of

the organization to meaningfully participate

in decisions related to the project.

(2) Predevelopment Grants.

Predevelopment grants may be used to cover

consultant costs, and grantee staff and

overhead costs related to the following

activities:

• Legal services to organize a purchasing

entity;

• Accounting services for budgeting,

planning, and creation of accounting systems

that are in compliance with OMB Circular A–

110 or A–122;

• Preparing bona fide offers including

contracts and other documents to purchase

the property;

• Training residents, resident council staff

and board members on the M2M process and

in skills related to the operation and

management of the project;

• Developing and negotiating management

contracts, related contract monitoring, and

management procedures;

• Engineering studies, such as site, water,

and soil analysis, mechanical inspections;

and estimations of the cost of rehabilitation

and of meeting local building and zoning

codes, in anticipation of purchasing a

property;

• Securing financing and preparation of

mortgage documents, transfer documents,

and other documentation incident to closing

a purchase offer;

• Preparing feasibility analyses, market

studies and management plans;

• If applicable, creating a CommunityBased Nonprofit Organization that conforms

to the definition of such organization under

24 CFR Sec. 248.101;

• Other activities related to promoting the

ability of eligible applicants to acquire,

rehabilitate and competently own and

manage eligible housing.

(3) Public Entity Grants may be used to

cover the following activities:

• All activities listed under resident

capacity and predevelopment and,

• Training tenants or organizations

affiliated with a M2M eligible property in

that area of expertise in which the public

entity has been associated.

E. Ineligible Grant Activities

Examples of activities that are not eligible

to be funded for technical assistance grantees

include:

• Earnest money deposits as part of a

purchase offer;

• Purchase of land or buildings or any

improvements to land or buildings;

• Activities not directly related to eligible

activities listed in paragraph D of this

Appendix A;

• Payments of fees for lobbying services;

• Activities funded from other sources;

• Activities completed prior to time

applicant becomes eligible for a grant; and

• Activities performed by the

administering intermediary.

ITAG Program Appendix B: Activity Level

and State Allocation

HUD determined the allocation of funds by

State-Grouping by estimating the total

number of M2M projects based on FY 1997,

1998, and 1999 data, dividing this number

into total funds expected to be available, and

multiplying the result by the number of

projects in a State-Grouping. HUD reserves

the right to periodically assess activity levels

and, if necessary, reallocate funds among

intermediaries. The following table contains

the estimated State-Grouping allocations

based on FY 1998 funding and subject to FY

1999 appropriations, if any:

State grouping FY 1998 dollars FY dollars

(if appropriated) Total

Northwest:

Alaska

Colorado

Hawaii

Idaho

Illinois

Iowa

Kansas

Minnesota

Missouri

Montana

Nebraska

North Dakota

Oregon

South Dakota

Utah

Washington

Wyoming

$200,000 $1,600,000 $1,800,000

Southwest:

Arizona

Arkansas

California

Louisiana

Nevada

New Mexico

Oklahoma

Texas

$200,000 $1,600,000 $1,800,000

Midwest:

Indiana

Michigan

Ohio

Wisconsin

$200,000 $1,600,000 $1,800,000

Northeast:

Connecticut

Delaware

Maine
23940 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

State grouping FY 1998 dollars FY dollars

(if appropriated) Total

Maryland

Massachusetts

New Hampshire

New Jersey

New York

Pennsylvania

Rhode Island

Vermont

Washington, DC

West Virginia

$200,000 $1,600,000 $1,800,000

Southwest:

Alabama

Caribbean

Florida

Georgia

Kentucky

Mississippi

North Carolina

South Carolina

Tennessee

Virginia

$200,000 $1,600,000 $1,800,000

Total ............................................................................................................. $1,000,000 $8,000,000 $9,000,000

BILLING CODE 4210–32–P
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23941

BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23943

Funding Availability for Outreach and

Training Grants (OTAG) To Provide

Technical Assistance To Tenant Groups

in Projects Eligible Under the Mark-ToMarket (M2M) Program

Program Description: Approximately

$6.0 million in Outreach and Training

Grant (OTAG) funds is available for

resident-controlled non-profit

organizations, community-based

organizations and public entities to

apply for funds to conduct outreach and

training development for HUD tenants

in properties eligible to participate in

the M2M program, so that the tenants

can (1) participate meaningfully in the

M2M program, and (2) affect decisions

about the future of their housing. The

purpose of the M2M program is to

reduce the cost of above market Section

8 assistance, preserve affordable

housing stock, and streamline the

administration of Federal housing

subsidies. These funds are available to

grantees providing the program on a

community-, county-, city-, or statewide level.

Application Due Date: Completed

applications must be received no later

than 12:00 midnight, Eastern time on

June 30, 1998 at HUD Headquarters. See

the General Section of this SuperNOFA

for specific procedures governing the

form of application submission (e.g.,

mailed applications, express mail,

overnight delivery, or hand carried).

Address for Submitting Applications:

Completed applications (one original

and two copies) must be submitted to:

the Office of Portfolio Reengineering,

Room 6130, HUD Headquarters, 451

Seventh Street, SW, Washington, DC

20410. When submitting your

application, please refer to OTAG, and

include your name, mailing address

(including zip code) and telephone

number (including area code).

For Application Kits, Further

Information and Technical Assistance:

For Application Kits. For an application

kit and any supplemental information

please call the SuperNOFA Information

Center at 1–800–HUD–8929. Persons

with hearing or speech impairments

may call the Center’s TTY number at 1–

800–HUD–2209. The application kit

also will be available on the Internet

through the HUD web site at http://

www.hud.gov. When requesting an

application kit, please refer to OTAG

and provide your name, address

(including zip code), and telephone

number (including area code).

For Further Information. Arthur

Goldstein at (202) 708–2300, extension

2657. Persons with speech or hearing

impairments may call HUD’s TTY

number (202) 708–0770, or 1–800–877–

8399 (the Federal Information Relay

Service TTY). Other than the ‘‘800’’

number, these numbers are not toll-free.

Mr. Goldstein can also be reached via

the Internet at

arthurld.lgoldstein@HUD.gov.

For Technical Assistance. An

information broadcast via satellite will

be held for potential applicants to learn

more about the program and preparation

of an application. For more information

about the date and time of the broadcast,

please consult the HUD web site at the

web address listed above.

Additional Information

I. Authority; Purpose; Amount

Allocated; and Eligibility

Applicants should take care in

reviewing this section to ensure they are

eligible to apply for funds and that they

meet the program requirements

described.

(A) Authority

The FY 1998 HUD Appropriations Act

authorizes funding for the Outreach and

Training Grant program. This

authorization is under the legislation

‘‘Multifamily Assisted Housing Reform

and Affordability Act of 1997’’

(MAHRA), (Title V–HUD Multifamily

Housing Reform, subtitle A, section 514,

Mortgage Restructuring and Rental

Assistance Sufficiency Plan).

(B) Purpose

The purpose of the OTAG program is

to provide technical assistance to

tenants of eligible M2M properties so

that the tenants can (1) participate

meaningfully in the M2M program, and

(2) affect decisions about the future of

their housing.

(C) Amount Allocated

The competition in this program is for

up to $6.0 million to fund residentcontrolled nonprofit organizations,

community-based organizations and

public entities in the pursuit of OTAG

activities. The $6.0 million will be

awarded in 1998 but will be utilized for

OTAG technical assistance activities

that are needed through October 1,

2001.

(D) Grant Amount and Terms

M2M will accept OTAG applications

that propose a term of from one to three

years. The term begins on the date of the

execution of the grant agreement. The

grant amount will be limited to

$400,000 for successful applications

that propose the three year maximum

for activities. The maximum annual

allocation for such grants will be

approximately $150,000, which must be

expended by the grantee prior to the

distribution of additional funds. For

example: If a grantee is unable to

successfully utilize their annual

allocation in the requisite year, then no

funds for the next year will be allocated

until the current year’s allocation has

been expended according to the

agreement. The grant may be terminated

if the grantee fails to complete the tasks

within a reasonable time period.

(E) Eligible Applicants

An organization applying for OTAG

funding must:

(1) Be a resident-controlled nonprofit

organization with a majority of the

board consisting of residents of HUD

assisted housing, with at least two years

of experience in resident organizing and

education;

(2) A community-based organization

(CBO), with at least two years of

experience in resident organizing and

education; or

(3) Public entities such as: community

action, legal service, and fair housing

counseling agencies; State and local

government agencies; and

intermediaries.

These grants will be awarded on a

community-, city-, county-, multicounty-, or state-wide basis. The

approved grantees will initiate an

outreach program that will identify,

deliver training to, and develop the

organizational process that will be used

in organizing the unorganized residents

of eligible low-income housing. Any

group that is applying for an OTAG

must have at least two years of

experience in organizing and training

tenants, or have an affiliation with an

organization that has such experience.

However, the organization providing the

experience must not have influence over

the grantee’s decision making. All funds

expended under this OTAG Program

section of the SuperNOFA must be used

for tenant activities as described later in

this program section of the SuperNOFA.

A CBO is a private nonprofit

organization that:

(1) Is organized under State or local

laws;

(2) Has no part of its earnings inuring

to the benefit of any member, founder,

contributor, or individual;

(3) Is neither controlled by, nor under

the direction of, individuals or entities

seeking to derive profit or gain from the

organization;

(4) Has applied for, or has a tax

exemption ruling from the Internal

Revenue Service under section 501(c) of

the Internal Revenue Code of 1986;

(5) Does not include a public body

(including the participating jurisdiction)

or an instrumentality of a public body.

An organization that is State or locally
23944 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

charted may qualify as a communitybased nonprofit organization; however,

the State or local government may not

have the right to appoint more than onethird of the membership of the

organization’s governing body and no

more than one-third of the board

members can be public officials;

(6) Has standard of financial

accountability that conforms to 24 CFR

part 84;

(7) Has among its purposes the

provision of decent housing that is

affordable to low-income and moderateincome persons, as evidenced in its

charter, articles of incorporation,

resolutions or by-laws;

(8) Maintains accountability to low

income community residents by:

(i) Maintaining at least one-third of its

governing board’s membership for low

income neighborhood residents, other

low-income community residents, or

elected representatives of low-income

neighborhood organizations. For urban

areas, ‘‘community’’ may be a

neighborhood or neighborhoods, town,

village, county, or multi-county area or

state; and

(ii) Providing a formal process for

low-income, program beneficiaries to

advise the organization on its decisions

regarding the acquisition, rehabilitation

and management of affordable housing.

Applicants that do not have taxexempt status under section 501(c) of

the Internal Revenue Code of 1986 on or

before the date of application may be

considered as long as the organization is

approved before the effective date of the

grant agreement. Also, newly formed

and otherwise eligible organizations

may submit joint applications with

eligible organizations that are tax

exempt.

(F) Eligible Activities

An applicant must identify its specific

jurisdiction and the activities it will

undertake to accomplish its objectives.

Activities for OTAGs can include:

(1) Identifying residents and resident

groups living in eligible M2M properties

as well as enforcement properties with

rents greater than market rents. Eligible

projects include any property with an

expiring Section 8 contract that is

eligible for the M2M program and these

properties deemed ineligible for

participation in the M2M program

under section 516 of the FY 1998

Appropriations Act;

(2) Providing outreach and training to

tenants to explain the M2M program,

the possible financial changes, the

possible project repairs, access and

community resources and effective

methods for communicating the

organization’s position;

(3) Organizing residents of eligible

low-income housing so the tenants can

effectively participate in the M2M

process;

(4) Performing outreach, training, and

counseling, which may include teaching

sound housing management,

maintenance, and financial

management, to residents and resident

groups living in eligible M2M

properties;

(5) Delivering project-based,

community-, city-, county-, or statewide training programs on M2M and/or

resident homeownership options;

(6) Establishing M2M clearinghouses

as a resource to resident organizations,

community groups and potential

purchasers;

(7) Creating informational materials

about the M2M process for local/statewide distribution;

(8) Providing support for HUD

approved activities proposed by the

grantee that would further the M2M

program and others considered eligible

at HUD’s discretion;

(9) Educating parties outside HUD

(including but not limited to appraisers,

financial institutions officials, State and

local government officials, community

groups, and owner entities) about the

M2M process.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, grantees

must meet the following program

requirements:

(A) Reporting Requirements

(1) OTAG Grantees must comply with

all requirements of 24 CFR Part 84.

(2) OTAG Grantees must submit a

quarterly performance report to the

Director of the Office of Mortgage and

Housing Assistance Restructuring

(OMAR).

(3) These reports are to list the

properties and number of tenants

assisted by the OTAG Activities being

performed that quarter. These reports

must include information conferences,

brochures, meetings held, training, etc.,

and a narrative describing what tangible

benefits resulted from the assistance.

(4) Payment requests may be frozen

until receipt of an acceptable

performance report.

(B) Records Retention and Access

Requirements

All accounting and other records

associated with OTAG administration

must be retained and made available to

HUD or its designee in accordance with

24 CFR § 84.53.

(C) Auditing Requirements

OTAG grantees must comply with the

audit requirements set forth in 24 CFR

part 45.

(D) Conflict of Interest (CI)

Requirements

Funds received under this OTAG

Program section of this SuperNOFA

shall not be used to supplant or

duplicate other resources for the

proposed activities. In carrying out its

duties under this program section of the

SuperNOFA, any grantee must avoid

even the appearance of a conflict of

interest. All executives, board members,

key management personnel, or any other

person or entity with direct or indirect

control, is required to execute a CI

Certification at the time of execution of

a grant agreement and on each

anniversary date of execution.

III. Application Selection Process

Two types of reviews will be

conducted: a threshold review to

determine applicant eligibility; and a

technical review to rate the application

based on the rating factors in this

Section III.

(A) Additional Threshold Criteria for

Funding Consideration

Under the threshold review, the

applicant will be rejected from the

competition if the applicant is not in

compliance with the requirements of the

General Section of the SuperNOFA and

if the applicant does not qualify as an

Eligible Applicant as defined in Section

I(E) of this OTAG Program section of the

SuperNOFA.

(B) Factors for Award Used To Evaluate

and Rate Applications

The factors for rating and ranking

applicants, and maximum points for

each factor, are provided below. The

maximum number of points for this

program is 100. This section of the

SuperNOFA does not include EZ/EC

bonus points.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (25 Points)

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. The rating

of the ‘‘applicant’’ or the ‘‘applicant’s

organization and staff’’ for technical

merit or threshold compliance, unless

otherwise specified, will include any

faculty, subcontractors, consultants,

sub-recipients, and members of

consortia which are firmly committed to

the project. In rating this factor, HUD
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23945

will consider the extent to which the

proposal demonstrates:

(1) (5 points) The knowledge and

direct experience of the proposed

project director and staff, including the

day-to-day program manager,

consultants and contractors, in planning

and managing the kind of programs for

which funding is being requested. The

applicant will be judged in terms of

recent, relevant and successful

experience in undertaking eligible

program activities.

The applicant has sufficient

personnel, or access to qualified experts

or professionals, enabling delivery of

the proposed activities in each proposed

service area in a timely and effective

fashion. Capacity also includes the

readiness and ability of the applicant to

immediately begin the proposed work

program.

(2) (5 points) The applicant’s

experience in managing programs

similar in scope or nature directly

relevant to the work activities proposed

and carrying out grant management

responsibilities. If the applicant has

managed large, complex,

interdisciplinary programs, the

applicant should include the

information supporting this claim in

their response.

(3) (5 points) If the applicant received

funding in previous years, the

applicant’s past experience will be

evaluated in terms of their ability to

attain demonstrated measurable

progress in the implementation of their

most recent grant awards, as measured

by expenditures and measurable

progress in achieving the purpose for

which funds were provided. However,

the applicant must demonstrate how it

will successfully undertake additional

activities effectively under this OTAG

Program section of the SuperNOFA.

Capability to conduct community-,

city, county-, multi-county, or statewide outreach and training program.

This program could be to identify and

organize residents and conduct

educational workshops for tenants of

eligible M2M residents, about the

residents involvement in the M2M

program. Training is to be conducted in

a reasonable time period, within budget,

and in an effective manner. This

criterion can be demonstrated through

past performance, as evidenced by

previous experience and success in

outreach, training recruitment,

counseling, and development of tenant

nonprofit organizations. References

should be included that indicate groups

of individuals, entities, projects that

received training, along with contact

information of same.

(4) (5 points) Ability to cover large

geographic areas. The larger the

geographic area proposed, the larger

number of points will be awarded.

(5) (5 points) Applicant’s fiscal

capability in meeting the reporting and

audit requirements of 24 CFR part 84.

The ability of the applicant’s key staff to

handle, manage, and adequately account

for financial resources, and to use

acceptable financial control procedures,

demonstrated through past performance

of the applicant entity or key staff with

Federal, State or local funds, or an

explanation of how such capability can

be obtained. Implicit to this criterion is

the capacity of the applicant to carry out

the program, subject to conflict of

interest and non-duplication of ‘‘other

resource’’ requirements. If the applicant

organization, or any staff person

associated with the organization intends

to seek other technical assistance

funding, as a consultant or any other

means, under the M2M program (i.e.

Intermediary Technical Assistance

Grant program), it must demonstrate

that it can maintain the financial

systems required to avoid even the

appearance of a conflict of interest or

non-duplication of funding. Evidence of

meeting this criteria can be shown by

the demonstrated performance of a

recent audit review of the organization

or a satisfactory, HUD Field Office

Management Review.

Rating Factor 2: Need/Extent of the

Problem (25 Points)

This factor addresses the extent to

which there is a need for funding the

proposed program activities and an

indication of the urgency of meeting the

need in the target area. HUD has

determined that need will be evaluated

based on the number of M2M-eligible

projects in the geographic area which an

applicant proposes to provide services.

Points will be awarded based on the

following:

Number of M2M projects Points

awarded

100 and over ................................. 25

60–69 ............................................ 20

40–59 ............................................ 15

30–39 ............................................ 10

20–29 ............................................ 5

Fewer than 19 ............................... 2

A list of M2M eligible properties by

property name, city and state can be

obtained from the Multifamily

Clearinghouse at 1–(800) 685–8470.

This list will be updated periodically.

Rating Factor 3: Soundness of Approach

(30 Points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed work plan. In developing a

work plan, the applicant should

consider all Eligible Activities listed in

Section I(F) of the OTAG Program

section of the SuperNOFA. The work

plan should address, at a minimum:

(1) The type of activities the applicant

intends to perform;

(2) The intended methodology for

initial contact with tenants and plan for

follow-up contact;

(3) The subjects to be covered in any

proposed training;

(4) The proposed methodology for

encouraging tenant leadership;

(5) The proposed methodology for

completion of all other activities

proposed under the work plan;

(6) The plan for creation and

distribution of any printed material;

(7) The intended audience for each

proposed activity; and

(8) For applicants covering a large

geographic area, the proposed method of

contact to residents outside the

applicant’s immediate area.

There must be a clear relationship

between the proposed activities,

community needs and the purpose of

the program funding for an applicant to

receive points for this factor. The factor

will be evaluated based on the extent to

which the proposed activities will:

(1) Help solve or address an urgent

need or problem as identified under

Rating Factor 2—Need/Extent of the

Problem. The impact of the activity will

be evaluated, including the tangible

benefits to be attained by the

community and by the target population

including affirmatively furthering fair

housing for classes protected under the

Fair Housing Act. As applicable to the

program for which funding is requested,

the activities should aid a broad

diversity of eligible client or beneficiary

groups, including those that have been

traditionally undeserved. Efforts to

increase community awareness in a

culturally sensitive manner through

education and outreach will also be

evaluated, if applicable.

HUD will consider, within the context

of the program for which funding is

requested, the extent to which the

applicant’s activities are providing for

geographic coverage for articulated

needs, and will assist or result in a

community taking appropriate action to

overcome the effects of any

impediments identified in the A.

In the case of technical assistance,

HUD will evaluate the extent to which

the proposed activities help solve or
23946 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

address an urgent need identified for the

specific technical assistance program for

which an applicant is applying and the

extent to which full geographic coverage

is provided, including urban and rural

areas as well as under-served

populations within the field office

jurisdiction(s) in which funding is

requested.

(2) Achieve the purposes of the

program for which funding is requested

and result in measurable

accomplishments that are consistent

with the purposes of the program and

will result in a goal being met/product

produced within a timeframe

appropriate and reasonable for the

program.

(3) Be undertaken using technically

competent methodologies for

conducting the work to be performed

and uses a cost effective plan for

designing, organizing and carrying out

the proposed activities. The proposed

cost estimates should be reasonable for

the work to be performed and consistent

with rates established for the level of

expertise required to perform the work

in the proposed geographic area.

(4) Yield innovative strategies or ‘‘best

practices’’ that can be replicated and

disseminated to other organizations,

including nonprofit organizations, State

and local governments. HUD will assess

the transferability of results in terms of

model programs or lessons learned from

the work performed under the award.

Applicants will be required to prepare

an analysis of best practices as part of

their reports to HUD that may be used

by HUD to inform others who may be

interested in learning from the

experiences gained from the work

performed under awards funded

through this OTAG Program section of

the SuperNOFA.

(5) Further and support the policy

priorities of HUD including:

(a) Promoting healthy homes;

(b) Providing opportunities for selfsufficiency, particularly for persons

enrolled in welfare to work programs;

(c) Enhancing on-going efforts to

eliminate drugs and crime from

neighborhoods through program policy

efforts such as ‘‘One Strike and You’re

Out’’ or the ‘‘Officer Next Door’’

initiative;

(d) Providing educational and job

training opportunities through such

initiatives as Neighborhood Networks,

Campus of Learners and linking to

AmeriCorps activities.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the ability of the

applicant to secure community assets,

resources and/or financing to achieve

program purposes. In evaluating this

factor HUD will consider:

(1) The extent to which the applicant

has leveraged resources, such as funding

and/or in-kind services from

governmental entities, private

organizations, resident management

organizations, educational institutions,

or other entities in order to achieve the

purposes of the award the applicant is

requesting.

(2) The extent to which the applicant

has partnered with other entities to

make more effective use of available

public or private resources. Partnership

arrangements may include, but are not

limited to, funding or in-kind services

from local governments or government

agencies, non-profit or for-profit

entities, private organizations,

educational institutional or other entity

that is willing to partner with the

applicant on proposed activities in

order to leverage resources, or

partnering with other program funding

recipients to make more effective use of

resources within the geographic area

covered by the award either within the

community or within the field office

jurisdiction in which activities are

occurring. Applicants may partner

directly or through a consortium of

applicants to more effectively address

needs of underserved populations, rural

areas, minority groups or other client

groups that need attention either in the

target area or the area covered by the

field office jurisdiction in which the

activities are to take place.

Evidence of commitment should

include organization names, their

proposed level of effort, resources, and

responsibilities of these participants.

Applicants must provide indications of

participation by including in the

application letters of firm commitments,

memoranda of understanding or

agreements, or letters indicating

participation and levels of effort and

responsibility to receive rating points

for this factor. Letters of commitment,

memoranda of understanding, or

agreements to participate must be

signed by an official of the organization

legally able to make commitments for

the organization.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points).

This factor addresses the extent to

which the applicant’s program reflects a

coordinated, community-based process

of identifying needs and building a

system to address the needs by using

available HUD funding resources and

other resources available to the

community.

In evaluating this factor, HUD will

consider the extent to which the

applicant demonstrates it has:

(1) Coordinated its proposed activities

with those of other groups or

organizations in order to best

complement, support and coordinate all

known activities and, the specific steps

it will take to share information on

solutions and outcomes with others.

Any written agreements, memoranda of

understanding in place, or that will be

in place after award should be

described.

(2) Taken or will take specific steps to

become active in the community’s

Consolidated Planning process

(including the Analysis of Impediments

to Fair Housing Choice) established to

identify and address a need/problem

that is related to the activities the

applicant proposes.

(3) Taken or will take specific steps to

develop linkages to coordinate

comprehensive solutions through

meetings, information networks,

planning processes or other mechanisms

with:

(a) Other HUD funded projects/

activities outside the scope of those

covered by the Consolidated Plan; and

(b) Other HUD, Federal, State or

locally funded activities, including

those proposed or on-going in the

community(s) served.

(C) Selections. HUD will review each

Outreach and Training Grant

application and assign up to 100 points,

in accordance with the criteria

described in this Section. After rating,

the M2M staff will rank the applications

according to score and will fund them

in rank order. Funds will be awarded

based upon the highest scores, which

represent the best overall assessment of

the potential of the proposed work

activities for achieving the principal

objectives of this competition.

If two or more applications have the

same number of points, a residentcontrolled (51 percent or more of Board

participation by HUD tenants) nonprofit

organization will receive priority rating

over a nonprofit organization that is not

resident-controlled. Public entity

applicants will only be considered for

geographic areas where there is no

acceptable application from a nonprofit

organization.

HUD reserves the right to make

selections out of rank order to provide

for geographic distribution of funded

OTAGs. The approach HUD will use, if

it decides to implement this option, will

be to award to the highest ranked

applicant in a geographic area, and to

fund the next highest ranked applicants

in other geographic areas before
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23947

duplicating funding for any one

geographic area.

After all applications have been rated

and ranked and selections have been

made, HUD may require that all winners

participate in negotiations to determine

the specific terms of the Statement of

Work and the grant budget. In cases

where HUD cannot successfully

conclude negotiations, or a selected

applicant fails to provide HUD with

requested information, awards will not

be made. In such instances, HUD may

elect to offer an award to the next

highest ranking applicant.

After award but before grant

execution, winners will be required to

provide a certification from an

Independent Public Accountant or the

cognizant government auditor, stating

that the financial management system

employed by the applicant meets

prescribed standards for fund control

and accountability required by OMB

Circular A–133, Uniform Administrative

Requirements for Grant Agreements

With Institutions of Higher Education,

Hospitals, and other Non-Profit

Organizations, Revised OMB Circular

A–110, or 24 CFR part 85 for States and

local governments, or the Federal

Acquisition Regulations (for all other

applicants). This information should

contain the name and telephone number

of the Independent Auditor, cognizant

Federal auditor, or other audit agency,

as applicable.

IV. Application Submission

Requirements

An applicant must provide a

completed application, including the

following, as applicable:

(1) OMB Standard Forms 424;

(2) Summary of proposed activities

and jurisdiction;

(3) Information about the applicant,

including its history, its staff and

qualifications, and its experience;

(4) Summary of plan to carry out

proposed activities;

(5) Evidence of tax-exempt status, if

applicable;

(6) Required Certifications relating to

this grant; and

(7) Other information/materials

described in application kit.

V. Corrections of Deficient Applications

The General Section of the

SuperNOFA provides procedures for

corrections to deficient applications.

VI. Environmental Requirements

In accordance with 24 CFR 50.19(b)

(2), (9) and (12), the assistance provided

under this program relates only to

information services, the provision of

technical assistance, and supportive

services and therefore is categorically

excluded from the requirements of the

National Environmental Policy Act and

is not subject to environmental review

under the related laws and authorities.

This determination is based on the

ineligibility of real property acquisition,

construction, rehabilitation, conversion,

leasing, or repair for HUD assistance

under this program.

BILLING CODE 4210–32–P

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23949

BILLING CODE 4210–32–C

Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23951

Funding Availability for the Local Lead

Hazard Awareness Campaign

Program Description: Approximately

$700,000 is available for the Local Lead

Hazard Awareness Campaign grant

funding. The purpose of this campaign

is to deliver public education and

outreach services to increase lead

awareness and promote lead poisoning

prevention to identified target audiences

in specific geographical areas. Grants

will be awarded on a competitive basis

to eligible organizations ranging

between $20,000 to $700,000.

Application Due Date: Completed

applications must be submitted no later

than 12:00 midnight, Eastern time on

June 26, 1998 at the address shown

below. HUD reserves the right to

republish this program section of the

SuperNOFA and announce additional

due dates, or to make no awards at all

if proposals are deficient. See the

General Section of this SuperNOFA for

specific procedures governing the form

of application submission (e.g., mailed

applications, express mail, overnight

delivery, or hand carried).

Address for Submitting Applications:

Completed applications (one original

and two copies) must be submitted to:

U.S. Department of Housing and Urban

Development, Office of Lead Hazard

Control, 451 Seventh Street, SW, B–133,

Washington, DC 20410. When

submitting your application, please refer

to Local Lead Hazard Awareness

Campaign grant, and include your

name, mailing address (including zip

code) and telephone number (including

area code).

For Application Kits, Further

Information, and Technical Assistance:

For Application Kits. For an application

kit and supplemental information please

call the HUD SuperNOFA Information

Clearinghouse at 1–800–HUD–8929.

Persons with hearing or speech

impairments may call the Center’s TTY

at 1–800–HUD–2209. The application

kit also will be available on the Internet

at: http://www.hud.gov. When

requesting an application kit, please

refer to Local Lead Hazard Awareness

Campaign grant, and provide your

name, address (including zip code), and

telephone number (including area code).

For Further Information and

Technical Assistance. Dolline Hatchett,

Community Outreach Officer, Office of

Lead Hazard Control, 202–755–1785

extension 114 (this is not a toll-free

number).

Additional Information

I. Authority; Purpose; Amount

Allocated; and Eligibility

(A) Authority

The Local Lead Hazard Awareness

Campaign is authorized under Title X,

The Residential Lead-Based Paint

Hazard Reduction Act of 1992 of the

Housing and Community Development

Act 1992, Pub. L. 102–550, section

1011(g)(1).

(B) Purpose

The Federal government has launched

a national public education and

outreach campaign to protect America’s

children from the health hazards of

lead-based paint. The Campaign for a

Lead-Safe America was announced by

Mrs. Tipper Gore, the U.S. Department

of Housing and Urban Development and

the U.S. Environmental Protection

Agency at a White House press

conference on November 17, 1997. The

Local Lead Hazard Awareness

Campaign grant under this SuperNOFA

is designed to conduct public education

and outreach at a local level to increase

lead-based paint hazard awareness and

promote lead poisoning prevention to

identified target audiences in specific

geographical locations; increases lead

hazard awareness through education

and outreach to high-risk communities

and other identified audiences such as,

parents, caretakers, pediatricians,

children, pregnant women, building

owners and renovation and

maintenance personnel; and to develop

coalitions to establish a workable

framework to sustain lead education

and outreach programs (beyond the life

of the grant). This program also

implements, in part, HUD’s

Departmental Strategy for achieving

Environmental Justice pursuant to

Executive Order 12898 (Federal Actions

to Address Environmental Justice in

Minority Populations and Low Income

Populations).

(C) Amount Allocated

Up to $700,000 will be made available

on a competitive basis to eligible

applicants with grant awards ranging

between $20,000—$700,000. The

funding selections will be based on the

factors for award described in this

program section of the SuperNOFA. The

amounts included in this program

section of the SuperNOFA are subject to

change based on funds availability.

(D) Eligible Applicants

The following organizations shown

below are eligible to receive funding

under this program section of the

SuperNOFA. Partnerships are

encouraged, although the application

must be made by a single entity.

(1) Non-profit (must submit proof of

non-profit status) and for-profit

organizations (for-profit firms are

eligible; however, they are not allowed

to include a fee in the cost proposal, i.e.,

no profit can be made from the project);

(2) Institutions of higher learning;

(3) State and local government;

(4) Federally recognized Indian

Tribes;

(5) Trade and Professional

Organizations; and

(6) Real Estate Organizations.

(E) Eligible Activities

Eligible activities to be funded under

this program section of the SuperNOFA

are those activities that deliver public

education and outreach services to

increase lead hazard awareness and

promote lead poisoning prevention to

identified target audiences in specific

geographical areas. Efforts must include

developing the infrastructure needed to

implement media strategies to

successfully market ‘‘The Campaign for

a Lead Safe America’’ with assistance

from the successful applicant(s) of the

National Lead Hazard Awareness

Campaign Grant. In addition, the

activity must develop and implement

various communication strategies to

educate their target audience about the

hazards of lead-based paint and what

communities can do to protect their

families from being poisoned by lead.

Each applicant must define its target

audience, which can include, for

example, the real estate community,

parents, teachers, health care workers,

daycare providers, the general public

and other entities. Grantees are

encouraged to conduct education and

outreach using their affiliate chapters, if

applicable, branch members or other

outreach arms, to involve a full

complement of local organizations/

representatives from the community

(such as local elected officials, and

faith-based community groups). It is

anticipated that this method of

networking would have a two-fold

approach to increase awareness about

lead poisoning, as well as establish an

infrastructure to sustain lead education

and outreach activities well after the life

of the grant. While the application must

be submitted by a single entity, the

applicant can propose a partnership of

multiple organizations in order to

accomplish the objectives of the project.

II. Program Requirements

In addition to the program

requirements listed in the General

Section of this SuperNOFA, grantees
23952 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

must meet the following program

requirements:

(A) Applicants Limited to a Single

Award

Applicants are limited to one FY 1998

award under this program. If more than

one eligible application is submitted by

an applicant and both have an adequate

score, the Department will select the

application which the applicant has

indicated as its preference for award.

(B) Independence of Applications

There are no limits on the number of

applications that can be submitted by a

single applicant. However, each

application must be independent and

capable of being implemented without

reliance on the selection of other

applications submitted by the applicant

or other applicants. This provision does

not preclude an applicant from

submitting a proposal which includes

other organizations as subcontractors to

the proposed project or activity.

(C) Project Starting Period

The period of performance will be up

to two years. The applicant must be able

to commence work immediately.

(D) Page Limitation

Applicants will be limited to 5 pages

of narrative responses for each of the

selection factors for a total of no more

than 25 pages (this does not include

forms or documents which are required

under each factor). Unrequested items

such as brochures, news articles and

similar items included in the

application will not be considered in

the evaluation process. Applicants that

exceed the 5-page limit for each factor

will only have the first 5 pages

evaluated for each factor. Failure to

provide narrative responses to all

selection criteria will result in an

application being ineligible.

(E) Payment Contingent on Completion

Payment to grantees will be

contingent on the satisfactory

completion of each project activity.

(F) Accessibility Requirements

All activities and materials funded by

the grant must be accessible to persons

with disabilities in accordance with

Section 504 of the Rehabilitation Act of

1973 and its implementing regulation at

24 CFR part 8.

(G) Type of Award

HUD reserves the right to award a

grant or cooperative agreement that is

either cost reimbursable or fixed price.

(H) Funding Requests

Applications that request funding in

excess of the stated maximum award

will be ineligible.

(I) Type of Project

Projects aimed primarily at research

or data gathering, including but not

limited to surveys and questionnaires,

will not be eligible under this program

section of the SuperNOFA.

(J) Activities/Final Products Description

All proposals must contain a

description of how the activities or the

final products relate to the program.

(K) In Order To Be Funded Applicants

Must Have a Score of 80 Points or Better

If applicants score less than 80 points,

they may apply again later under any

republication of this program section of

the SuperNOFA. Not all applicants with

scores above 80 will necessarily receive

awards.

(L) Definitions

The definitions that apply to this

program section of the SuperNOFA are

as follows:

Federally recognized Tribal

Government means the governing body

or a governmental agency of any Indian

tribe, band, nation or other organized

group or community (including any

Native village as defined in section 3 of

the Alaska Native Claims Settlement

Act, 85 Stat 688) certified by the

Secretary of the Interior as eligible for

the special programs and services

provided by him through the bureau of

Indian Affairs.

Grantee means the recipient to which

a grant is awarded and which is

accountable for the use of the funds

provided. The grantee is the entire legal

entity even if only a particular

component of the entity is designated in

the grant award amount.

High-Risk Communities refers to

predominantly low-income

communities which consist of housing

built before 1978.

Low-income is defined as families,

including single persons, whose annual

income does not exceed 80 percent of

the median income for the area as

determined by HUD with adjustments

for smaller and larger families.

However, HUD may establish income

ceilings higher or lower than 80 percent

of the median for the area on the basis

of HUD findings that such variations are

necessary because of prevailing levels of

construction costs or fair market rents,

or unusually high or low-income

families.

States means any of the several States

of the United States, the District of

Columbia, the Commonwealth of Puerto

Rico, any territory or possession of the

United States, the District of Columbia,

the Commonwealth of Puerto Rico, any

territory or possession of the United

States, or any agency or instrumentality

of a State exclusive of local

governments. The term does not include

any public and Indian housing agency

under United States Housing Act of

1937.

III. Application Selection Process

(A) Rating and Ranking

(1) General. The selection process is

structured to achieve the purpose set

forth in Section I.(B) of this program

section of the SuperNOFA.

Each application for funding will be

evaluated competitively, and the

applicant will be assigned a score based

on the Factors for Award used to

evaluate and rate applications identified

in sections III.(B) and (C) of this

program section of the SuperNOFA.

After eligible applications are evaluated

based upon the factors for award and

assigned a score, they will be organized

by rank order. Awards will be funded in

rank order.

(B) Factors for Award Used To Evaluate

and Rate the Local Lead Hazard

Awareness Campaign

The factors for rating and ranking

applicants, and maximum points for

each factor, are provided below. The

maximum number of points is 100.

Rating Factor 1: Capacity of the

Applicant and Relevant Organizational

Experience (20 Points)

This factor addresses the extent to

which the applicant has the

organizational resources necessary to

successfully implement the proposed

activities in a timely manner. The rating

of the ‘‘applicant’’ or the ‘‘applicant’s

organization and staff’’ for technical

merit or threshold compliance, unless

otherwise specified, will include any

sub-contractors, consultants, subrecipients, and members of consortia

which are firmly committed to the

project. In rating this factor HUD will

consider the extent to which the

proposal demonstrates:

(1) The knowledge and experience of

the overall proposed project director

and staff, including the day-to-day

program manager, consultants and

contractors in planning and managing

programs for which funding is being

requested. Experience will be judged in

terms of recent projects accomplished in

the last two years which are similar in

scope or nature directly relevant to the

work activities proposed. If the
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23953

applicant has managed large, complex,

interdisciplinary projects, the applicant

should include information on them in

its response.

(2) The applicant has sufficient

personnel, or will be able to quickly

access qualified experts or

professionals, to deliver the proposed

activities in each proposed service area

in a timely and effective fashion,

including the readiness and ability of

the applicant to immediately begin the

proposed work program.

Rating Factor 2: Need/Extent of the

Problem (20 Points)

This factor addresses the extent to

which there is a need for funding the

proposed program activities to address a

documented problem. In responding to

this factor, applicants will be evaluated

on:

(1) The extent to which they

document a critical level of need for the

proposed activities. The documentation

of need may include, but is not limited

to, HUD reports and analyses, relevant

economic and/or demographic data,

government or foundation reports and

studies, news articles, and other

information which relate to the

proposed project activities.

(2) To the extent possible, the

documented need is specific to the area

where the project activity will be carried

out. Specific attention must be paid to

documenting need as it applies to the

area where activities will be targeted,

rather than the entire locality or State.

If the target area is an entire locality or

State, then documenting need at this

level is appropriate. The applicant must

demonstrate how specific community or

neighborhood needs can be resolved

through the activities proposed. The

applicant should discuss how it took

into account existing and planned

efforts of government agencies,

community-based organizations, faithbased institutions, for-profit firms, and

other entities to address such needs in

the community(ies) to be served, how

the proposed program compliments or

supplements existing efforts and why

additional funds are being requested.

Rating Factor 3: Soundness of Approach

(40 Points)

This factor addresses the quality and

cost-effectiveness of the applicant’s

proposed statement of work. In

evaluating this factor, HUD will

consider the extent to which:

(1) Proposed activities will coordinate

with private and public sector

organizations to deliver products and

messages which will increase lead

poisoning prevention awareness.

Specifically, the applicant must

describe the proposed activities that

will reach and benefit members of the

public, especially in high-risk

communities and other identified

audiences in Section I.(B) of this

program section of the SuperNOFA.

(2) Projects may be replicated in other

communities. In responding to this

subfactor, the applicant should describe

the extent to which the proposed

activities will yield long-term results

and innovative strategies or ‘‘best

practices’’ that can be readily

disseminated to other organizations and

State and local governments.

(3) The proposed Statement of Work

should address the following:

(a) Clearly describes the specific tasks

and subtasks to be performed and how

feasibly they can be completed within

the grant period;

(b) Describes the immediate benefits

of the project and indicators by which

the benefits will be measured.

Applicants must describe the methods

they will use to determine the

effectiveness of their local marketing

strategies;

(c) Provides for proposed tasks and

sub-tasks that clearly provide

technically competent methods for

conducting the work;

(d) Describes the extent to which the

proposed design and size of the project

or activity is appropriate to the

achievement of the program funding

purposes articulated in this program

section of the SuperNOFA;

HUD also will measure the soundness

of the applicant’s approach by assessing

the following:

(4) The cost estimates provided are

reasonable and thorough and the

program is cost effective in achieving

the anticipated results of the proposed

activities as well as in achieving

significant impact; and

(5) The applicant demonstrates

capability in handling financial

resources with adequate financial

control procedures and accounting

procedures. In addition, considerations

will include findings identified in their

most recent audits, internal consistency

in the application of numeric quantities,

accuracy of mathematical calculations

and other available information on

financial management capability.

In the event of a tie between two

proposals, the applicant with the

highest score in Rating Factor 3 will be

the successful grantee.

Rating Factor 4: Leveraging Resources

(10 Points)

This factor addresses the ability of the

applicant to secure other resources

which can be combined with HUD’s

program resources to achieve program

purposes. In evaluating this factor HUD

will consider the extent to which the

applicant is partnering with other

organizations to secure additional

resources, including financial resources,

to increase the effectiveness of the

proposed program activities. (However,

a match-in-kind funding is not required

for this program.) If applicable,

resources may include funding or inkind contributions, such as services or

equipment, allocated to the purpose(s)

of the award the applicant is seeking.

Resources may be provided by public or

private nonprofit organizations, forprofit private organizations, or other

entities willing to partner with the

applicant. Applicants may also partner

with other program funding recipients

to coordinate the use of resources in the

identified target area.

Applicants shall provide evidence of

leveraging/partnerships by including in

the application letters of firm

commitments, memoranda of

understanding, or agreements to

participate from those entities identified

as partners in the application. Each

letter of commitment, memoranda of

understanding, or agreement to

participate should include the

organization’s name, proposed level of

commitment and responsibilities as they

relate to the proposed program. The

commitment must also be signed by an

official of the organization legally able

to make commitments on behalf of the

organization.

Rating Factor 5: Comprehensiveness and

Coordination (10 Points)

This factor addresses the extent to

which the applicant’s program reflects a

coordinated process of identifying needs

and building a system to address those

needs by using available HUD funding

resources and other available resources.

In evaluating this factor, HUD will

consider:

(1) The extent to which the

application demonstrates that project

activities will reach the targeted

audience. This includes discussion of

the applicant’s analysis of the most

appropriate forums, approaches and

other factors to ensure that activities

reach the broadest spectrum of intended

beneficiaries. Additionally, the

application should discuss procedures

to be used to promote awareness of the

services provided by the proposed

project.

(2) The extent to which the

application demonstrates that the

applicant will develop linkages with:

(a) Other HUD funded program

activities proposed or on-going; or

(b) Other proposed or on-going State,

Federal, local or privately funded
23954 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

activities which taken as a whole,

support and sustain a comprehensive

system to address the purposes of this

program.

(3) Documentation of the extent to

which policy priorities of the

Department are furthered by the

proposed activities. Examples of such

policy priority areas that may be

addressed are:

(a) Increasing awareness among real

estate agents about the importance of

disclosing known lead-based paint

hazards before they rent or sell property

and

(b) Increasing awareness to promote

healthy homes;

(C) Applicant Notification and Award

Procedures.

(1) Notification. No information will

be available to applicants during the

period of HUD evaluation of proposals,

approximately 90 days, except for HUD

notification in writing or by telephone

to those applicants that are determined

to be ineligible or that have technical

deficiencies in their applications that

may be corrected. Selectees will be

announced by HUD upon completion of

the evaluation process, subject to final

negotiations and award.

(2) Funding Instrument. HUD expects

to award a cost reimbursable or fixed

price grant or cooperative agreement to

each successful applicant. HUD reserves

the right, however, to use the form of

assistance agreement determined to be

most appropriate after negotiation with

the applicant.

(3) Performance Sanctions. A

recipient failing to comply with the

procedures set forth in its grant

agreement will be liable for such

sanctions as may be authorized by law,

including repayment of improperly used

funds, termination of further

participation in the Local Lead Hazard

Awareness Campaign, and denial of

further participation in programs of the

Department or of any Federal agency.

IV. Application Submission

Requirements

In addition to the forms, certifications

and assurances listed in Section II(G) of

the General Section of this SuperNOFA,

all applications must, at a minimum,

contain the following items:

(A) Transmittal Letter

Which identifies thus SuperNOFA,

the program under the SuperNOFA for

which funds are requested and the

dollar amount requested for each

program, and the applicant submitting

the application.

(B) Summary Budget

Identifying costs by cost category in

accordance with the following:

(1) Direct Labor by position or

individual, indicating the estimated

hours per position, the rate per hour,

estimated cost per staff position and the

total estimated direct labor costs;

(2) Fringe Benefits by staff position

identifying the rate, the salary base the

rate was computed on, estimated cost

per position, and the total estimated

fringe benefit cost;

(3) Material Costs indicating the item,

unit cost per item, the number of items

to be purchased, estimated cost per

item, and the total estimated material

costs;

(4) Transportation Costs, as

applicable. Where a local private

vehicle is proposed to be used, costs

should indicate the proposed number of

miles, rate per mile of travel identified

by item, and estimated total private

vehicle costs. Where air transportation

is proposed, costs should identify the

destination(s), number of trips per

destination, estimated air fare and total

estimated air transportation costs. If

other transportation costs are listed, the

applicant should identify the other

method of transportation selected, the

number of trips to be made and

destination(s), the estimated cost, and

the total estimated costs for other

transportation costs. In addition,

applicants should identify per diem or

subsistence costs per travel day and the

number of travel days included, the

estimated costs for per diem/subsistence

and the total estimated transportation

costs;

(5) Equipment Charges, if any.

Equipment charges should identify the

type of equipment, quantity, unit costs

and total estimated equipment costs;

(6) Consultant Costs, if applicable.

Indicate the type, estimated number of

consultant hours, rate per hour, total

estimated consultant costs per

consultant and total estimated costs for

all consultants;

(7) Subcontract Costs, if applicable.

Indicate each individual subcontract

and amount. For each proposed

subcontract that is in excess of 10% of

the grant amount, a separate budget

which identifies costs by cost categories

should be included;

(8) Other Direct Costs listed by item,

quantity, unit cost, total for each item

listed, and total direct costs for the

award;

(9) Indirect Costs should identify the

type, approved indirect cost rate, base to

which the rate applies and total indirect

costs. The submission should include

the rationale used to determine costs

and validation of fringe and indirect

cost rates, if the applicant is not using

an accepted, Federally negotiated

indirect cost rate.

(C) Financial Management and Audit

Information

Each applicant must submit a

certification from an Independent

Public Accountant or the cognizant

government auditor, stating that the

financial management system employed

by the applicant meets proscribed

standards for fund control and

accountability required by: OMB

Circular A–133, Audits of States, Local

Governments and Non-Profit

Organizations; OMB Circular A–110 (as

codified at 24 CFR Part 84), Grants and

Agreements With Institutions of Higher

Education, Hospitals, and other NonProfit Organizations; and/or OMB

Circular A–102 (as codified at 24 CFR

Part 85) Administrative Requirements

for Grants and Cooperative Agreements

to State, Local and Federally Recognized

Indian Tribal Governments. This

information should contain the name

and telephone number of the

Independent Auditor, cognizant Federal

auditor, or other audit agency, as

applicable. Copies of the OMB Circulars

may be obtained from EOP Publications,

Room 2200, New Executive Office

Building, Washington, DC 10503,

telephone (202) 395–7332 (this is not a

toll free number).

(D) Narrative Statement

Addressing the Factors for Award in

Section III.(B) of this program section of

the SuperNOFA. Your narrative

response should be numbered in

accordance with each factor for award

identified under Section III.(B), Items

III.(B)(1) through III.(B)(4).

V. Corrections to Deficient Applications

The General Section of this

SuperNOFA provides the procedures for

corrections to deficient applications.

VI. Environmental Requirements

In accordance with 24 CFR 50.19(b)

(2) and (4), the assistance provided

under this program relates only to the

provision of information services and

public services concerned with health

and therefore is categorically excluded

from the requirements of the National

Environmental Policy Act of 1969 and is

not subject to environmental review

under the related laws and authorities.

Appendix A to SuperNOFA—HUD Field

Office Contact Information

Not all Field Offices listed handle all of the

programs contained in the SuperNOFAs.

Applicants should look to the SuperNOFAs

for contact numbers for information on
Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices 23955

specific programs. Office Hour listings are

local time. Persons with hearing or speech

impediments may access any of these

numbers via TTY by calling the Federal

Relay Service at 1–800–877–8339.

New England

Connecticut State Office, One Corporate

Center, 19th Floor, Hartford, CT 06103–

3220, 860–240–4800, Office Hours: 8:00–

4:30 PM

Maine State Office, 99 Franklin Street, Third

Floor, Suite 302, Bangor, ME 04401–4925,

207–945–0467, Office Hours: 8:00 AM–

4:30 PM

Massachusetts State Office, Thomas P.

O’Neill, Jr. Federal Building, 10 Causeway

Street, Room 375, Boston, MA 02222–1092,

617–565–5234, Office Hours: 8:30 AM–

5:00 PM

New Hampshire State Office, Norris Cotton

Federal Building 275 Chestnut Street,

Manchester, NH 03101–2487, 603–666–

7681, Office Hours: 8:00 AM–4:30 PM

Rhode Island State Office, Sixth Floor, 10

Weybosset Street, 6th floor, Providence, RI

02903–2808, 401–528–5230, Office Hours:

8:00 AM–4:30 PM

Vermont State Office, U.S. Federal Building,

Room 237, 11 Elmwood Avenue, P.O. Box

879, Burlington, VT 05402–0879, 802–951–

6290, Office Hours: 8:00 AM–4:30 PM

New York/New England

Albany Area Office, 52 Corporate Circle,

Albany, NY 12203–5121, 518–464–4200,

Office Hours: 7:30 AM–4:00 PM

Buffalo Area Office, Lafayette Court, 465

Main Street, Fifth Floor, Buffalo, NY

14203–1780, 716–551–5755, Office Hours:

8:00 AM–4:30 PM

Camden Area Office, Hudson Building, 800

Hudson Square, Second Floor, Camden, NJ

08102–1156, 609–757–5081, Office Hours:

8:00 AM–4:30 PM

New Jersey State Office, One Newark Center,

13th Floor, Newark, NJ 07102–5260, 973–

622–7900, Office Hours: 8:00 AM–4:30 PM

New York State Office, 26 Federal Plaza, New

York, NY 10278–0068, 212–264–6500,

Office Hours: 8:30 AM–5:00 PM

Mid Atlantic

Delaware State Office, 824 Market Street,

Suite 850, Wilmington, DE 19801–3016,

302–573–6300, Office Hours: 8:00 AM–

4:30 PM

District of Columbia Office, 820 First Street,

N.E., Suite 450, Washington, DC 20002–

4205, 202–275–9200, Office Hours: 8:30

AM–4:30 PM

Maryland State Office, City Crescent

Building, 10 South Howard Street, Fifth

Floor, Baltimore, MD 21201–2505, 410–

962–2520, Office Hours: 8:30 AM–4:30 PM

Pennsylvania State Office, The Wanamaker

Building, 100 Penn Square East,

Philadelphia, PA 19107–3380, 215–656–

0600, Office Hours: 8:30 AM–4:30 PM

Pittsburgh Area Office, 339 Sixth Avenue,

Sixth Floor, Pittsburgh, PA 15222–2515,

412–644–6428, Office Hours: 8:30 AM–

4:30 PM

Virginia State Office, The 3600 Centre, 3600

West Broad Street, Richmond, VA 23230–

4920, 804–278–4539, Office Hours: 8:30

AM–4:30 PM

West Virginia State Office, 405 Capitol Street,

Suite 708, Charleston, WV 25301–1795,

304–347–7000, Office Hours: 8:00 AM–

4:30 PM

Southeast/Caribbean

Alabama State Office, Beacon Ridge Tower,

600 Beacon Parkway West, Suite 300,

Birmingham, AL 35209–3144, 205–290–

7617, Office Hours: 8:00 AM–4:30 PM

Caribbean Office, New San Juan Office

Building, 159 Carlos E. Chardon Avenue,

San Juan, PR 00918–1804, 787–766–5201,

Office Hours: 8:00 AM–4:30 PM

Florida State Office, Gables One Tower, 1320

South Dixie Highway, Coral Gables, FL

33146–2926, 305–662–4500, Office Hours:

8:30 AM–5 PM

Georgia State Office, Richard B. Russell

Federal Building, 75 Spring Street, S.W.,

Atlanta, GA 30303–3388, 404–331–5136,

Office Hours: 8:00 AM–4:30 PM

Jacksonville Area Office, Southern Bell

Tower, 301 West Bay Street, Suite 2200,

Jacksonville, FL 32202–5121, 904–232–

2627, Office Hours: 8:00 AM–4:30 PM

Kentucky State Office, 601 West Broadway,

P.O. Box 1044, Louisville, KY 40201–1044,

502–582–5251, Office Hours: 8:00 AM–

4:45 PM

Knoxville Area Office, John J. Duncan

Federal Building, 710 Locust Street, 3rd

Floor, Knoxville, TN 37902–2526, 423–

545–4384, Office Hours: 7:30 AM–4:15 PM

Memphis Area Office, One Memphis Place,

200 Jefferson Avenue, Suite 1200,

Memphis, TN 38103–2335, 901–544–3367,

Office Hours: 8:00 AM–4:30 PM

Mississippi State Office, Doctor A. H. McCoy

Federal Building, 100 West Capital Street,

Room 910, Jackson, MS 39269–1096, 601–

965–4738, Office Hours: 8:00 AM–4:45 PM

North Carolina State Office, Koger Building,

2306 West Meadowview Road, Greensboro,

NC 27407–3707, 910–547–4000, Office

Hours: 8:00 AM–4:45 PM

Orlando Area Office, Langley Building, 3751

Maguire Blvd, Suite 270, Orlando, FL

32803–3032, 407–648–6441, Office Hours:

8:00 AM–4:30 PM

South Carolina State Office, Strom

Thurmond Federal Building, 1835

Assembly Street, Columbia, SC 29201–

2480, 803–765–5592, Office Hours: 8:00

AM–4:45 PM

Tampa Area Office, Timberlake Federal

Building Annex, 501 East Polk Street, Suite

700, Tampa, FL 33602–3945, 813–228–

2501, Office Hours: 8:00 AM–4:30 PM

Tennessee State Office, 251 Cumberland

Bend Drive, Suite 200, Nashville, TN

37228–1803, 615–736–5213, Office Hours:

8:00 AM–4:30 PM

Midwest

Cincinnati Area Office, 525 Vine Street, 7th

Floor, Cincinnati, OH 45202–3188, 513–

684–3451, Office Hours: 8:00 AM–4:45 PM

Cleveland Area Office, Renaissance Building,

1350 Euclid Avenue, Suite 500, Cleveland,

OH 44115–1815, 216–522–4065, Office

Hours: 8:00 AM–4:40 PM

Flint Area Office, The Federal Building, 605

North Saginaw, Suite 200, Flint, MI 48502–

2043, 810–766–5108, Office Hours: 8:00

AM–4:30 PM

Grand Rapids Area Office, Trade Center

Building, 50 Louis Street, NW, 3rd Floor,

Grand Rapids, MI 49503–2648, 616–456–

2100, Office Hours: 8:00 AM–4:30 PM

Illinois State Office, Ralph H. Metcalfe

Federal Building, 77 West Jackson Blvd,

Chicago, IL 60604–3507, 312–353–5680,

Office Hours: 8:15 AM–4:45 PM

Indiana State Office, 151 North Delaware

Street, Indianapolis, IN 46204–2526, 317–

226–6303, Office Hours: 8:00 AM–4:45 PM

Michigan State Office, Patrick V. McNamara

Federal Building, 477 Michigan Avenue,

Detroit, MI 48226–2592, 313–226–7900,

Office Hours: 8:00 AM–4:30 PM

Minnesota State Office, 220 Second St.,

South, Minneapolis, MN 55401–2195, 612–

370–3000, Office Hours: 8:00 AM–4:30 PM

Ohio State Office, 200 North High Street,

Columbus, OH 43215–2499, 614–469–

5737, Office Hours: 8:00 AM–4:45 PM

Wisconsin State Office, Henry S. Reuss

Federal Plaza, 310 West Wisconsin

Avenue, Suite 1380, Milwaukee, WI

53203–2289, 414–297–3214, Office Hours:

8:00 AM–4:30 PM

Southwest

Arkansas State Office, TCBY Tower, 425

West Capitol Avenue, Suite 900, Little

Rock, AR 72201–3488, 501–324–5931,

Office Hours: 8:00 AM–4:30 PM

Dallas Area Office, Maceo Smith Federal

Building, 525 Griffin Street, Room 860,

Dallas, TX 75202–5007, 214–767–8359,

Office Hours: 8:00 AM–4:30 PM

Houston Area Office, Norfolk Tower, 2211

Norfolk, Suite 200, Houston, TX 77098–

4096, 713–313–2274, Office Hours: 7:45

AM–4:30 PM

Louisiana State Office, Hale Boggs Federal

Building, 501 Magazine Street, 9th Floor,

New Orleans, LA 70130–3099, 504–589–

7201, Office Hours: 8:00 AM–4:30 PM

Lubbock Area Office, George H. Mahon

Federal Building and United States

Courthouse, 1205 Texas Avenue, Lubbock,

TX 79401–4093, 806–472–7265, Office

Hours: 8:00 AM–4:45 PM

New Mexico State Office, 625 Truman Street,

N.E., Albuquerque, NM 87110–6472, 505–

262–6463, Office Hours: 7:45 AM—4:30

PM

Oklahoma State Office, 500 West Main Street,

Suite 400, Oklahoma City, OK 73102, 405–

553–7401, Office Hours: 8:00 AM—4:30

PM

San Antonio Area Office, Washington

Square, 800 Dolorosa Street, San Antonio,

TX 78207–4563, 210–472–6800, Office

Hours: 8:00 AM—4:30 PM

Shreveport Area Office, 401 Edwards Street,

Suite 1510, Shreveport, LA 71101–3289,

318–676–3385, Office Hours: 7:45 AM—

4:30 PM

Texas State Office, 1600 Throckmorton

Street, P.O. Box 2905, Fort Worth, TX

76113–2905, 817–978–9000, Office Hours:

8:00 AM—4:30 PM

Tulsa Area Office, 50 East 15th Street, Tulsa,

OK 74119–4030, 918–581–7434, Office

Hours: 8:00 AM—4:30 PM

Great Plains

Iowa State Office, Federal Building, 210

Walnut Street, Room 239, Des Moines, IA
23956 Federal Register / Vol. 63, No. 83 /Thursday, April 30, 1998 / Notices

50309–2155, 515–284–4512, Office Hours:

8:00 AM—4:30 PM

Kansas/Missouri State Office, Gateway Tower

II, 400 State Avenue, Kansas City, KS

66101–2406, 913–551–5462, Office Hours:

8:00 AM—4:30 PM

Nebraska State Office, Executive Tower

Centre, 10909 Mill Valley Road, Omaha,

NE 68154–3955, 402–492–3100, Office

Hours: 8:00 AM—4:30 PM

St. Louis Area Office, Robert A. Young

Federal Building, 1222 Spruce Street, 3rd

Floor, St. Louis, MO 63103–2836, 314–

539–6583, Office Hours: 8:00 AM—4:30

PM

Rocky Mountains

Colorado State Office, 633—17th Street,

Denver, CO 80202–3607, 303–672–5440,

Office Hours: 8:00 AM—4:30 PM

Montana State Office, Federal Office

Building, 301 South Park, Room 340,

Drawer 10095, Helena, MT 59626–0095,

406–441–1298, Office Hours: 8:00 AM—

4:30 PM

North Dakota State Office, Federal Building,

P.O. Box 2483, Fargo, ND 58108–2483,

701–239–5136, Office Hours: 8:00 AM—

4:30 PM

South Dakota State Office, 2400 West 49th

Street, Suite I–201, Sioux Falls, SD 57105–

6558, 605–330–4223, Office Hours: 8:00

AM—4:30 PM

Utah State Office, 257 Tower Building, 257

East—200 South, Suite 550, Salt Lake City,

UT 84111–2048, 801–524–3323, Office

Hours: 8:00 AM—4:30 PM

Wyoming State Office, Federal Office

Building, 100 East B Street, Room 4229,

Casper, WY 82601–1918, 307–261–6250,

Office Hours: 8:00 AM—4:30 PM

Pacific/Hawaii

Arizona State Office, Two Arizona Center,

400 North 5th Street, Suite 1600, Phoenix,

AZ 85004, 602–379–4434, Office Hours:

8:00 AM—4:30 PM

California State Office, Philip Burton Federal

Building and U.S. Courthouse, 450 Golden

Gate Avenue, San Francisco, CA 94102–

3448, 415–436–6550, Office Hours: 8:15

AM—4:45 PM

Fresno Area Office, 2135 Fresno Street, Suite

100, Fresno, CA 93721–1718, 209–487–

5033, Office Hours: 8:00 AM—4:30 PM

Hawaii State Office, Seven Waterfront Plaza,

500 Ala Moana Boulevard, Suite 500,

Honolulu, HI 96813–4918, 808–522–8175,

Office Hours: 8:00 AM—4:00 PM

Los Angeles Area Office, 611 West 6th Street,

Suite 800, Los Angeles, CA 90017–3127,

213–894–8000, Office Hours: 8:00 AM—

4:30 PM

Nevada State Office, 333 North Rancho Drive,

Suite 700, Las Vegas, NV 89106–3714,

702–388–6525, Office Hours: 8:00 AM—

4:30 PM

Reno Area Office, 1575 Delucchi Lane, Suite

114, Reno, NV 89502–6581, 702–784–5356,

Office Hours: 8:00 AM—4:30 PM

Sacramento Area Office, 777—12th Street,

Suite 200, Sacramento, CA 95814–1997,

916–498–5220, Office Hours: 8:00 AM—

4:30 PM

San Diego Area Office, Mission City

Corporate Center, 2365 Northside Drive,

Suite 300, San Diego, CA 92108–2712,

619–557–5310, Office Hours: 8:00 AM—

4:30 PM

Santa Ana Area Office, 3 Hutton Centre

Drive, Suite 500, Santa Ana, CA 92707–

5764, 714–957–3745, Office Hours: 8:00

AM—4:30 PM

Tucson Area Office, Security Pacific Bank

Plaza, 33 North Stone Avenue, Suite 700,

Tucson, AZ 85701–1467, 520–670–6237,

Office Hours: 8:00 AM—4:30 PM

Northwest/Alaska

Alaska State Office, University Plaza

Building, 949 East 36th Avenue, Suite 401,

Anchorage, AK 99508–4135, 907–271–

4170, Office Hours: 8:00 AM—4:30 PM

Idaho State Office, Plaza IV, 800 Park

Boulevard, Suite 220, Boise, ID 83712–

7743, 208–334–1990, Office Hours: 8:00

AM—4:30 PM

Oregon State Office, 400 Southwest Sixth

Avenue, Suite 700, Portland, OR 97204–

1632, 503–326–2561, Office Hours: 8:00

AM—4:30 PM

Spokane Area Office, Farm Credit Bank

Building, Eighth Floor East, West 601 First

Avenue, Spokane, WA 99204–0317, 509–

353–2510, Office Hours: 8:00 AM—4:30

PM

Washington State Office, Seattle Federal

Office Building, 909 1st Avenue, Suite 200,

Seattle, WA 98104–1000, 206–220–5101,

Office Hours: 8:00 AM—4:30 PM

[FR Doc. 98–11392 Filed 4–29–98; 8:45 am]

BILLING CODE 4210–32–P